Helpdesk Research Report: Policies on Displacement and Resettlement

Helpdesk Research Report: Policies on Displacement and Resettlement 23.09.2011 Query: Identify key donor and NGO approaches to preventing or limiting the impact of developmentinduced displacement and resettlement. Where possible give examples of how these policies and procedures have been applied. Enquirer: Governance and Social Development Branch, AusAID Author: Ann Kangas (ann@gsdrc.org) Contents 1. Overview 2. Multilateral agencies policies on development-induced displacement and resettlement 3. Key donor policies on displacement and resettlement 4. Implementation of development-induced displacement and resettlement policies 5. Bibliography 6. Additional information 1. Overview Displacement can be caused by a number of factors, including conflict, natural disaster and development. Most donor and NGO policy appears to focus on conflict-induced and natural disasterinduced displacement. Multilateral agencies, however, have generated more comprehensive guidelines and principles to address issues relating to development-induced displacement and resettlement, most likely as a result of their larger involvement in this area. This report surveys a selection of donor and NGO policies and guidelines on displacement, and looks at some of the social safeguards relating to development-induced displacement and resettlement used by multilateral agencies. According to the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, [f]orced evictions intensify inequality, social conflict, segregation and ghettoization, and invariably affect the poorest, most socially and economically vulnerable and marginalized sectors of society, especially women, children, minorities and indigenous peoples (Kothari, 2004: p. 4). There is thus a great need to find a balance between protecting those most vulnerable to displacement and resettlement and carrying out development projects that have large positive impacts on the population as a whole. Social safeguards have been established by multilateral organisation as tools that aim to limit the negative impact on vulnerable groups. Most policy documents, including social safeguards to address development induced displacement therefore put an emphasis on prevention and alternatives to 1

resettlement as the first option to be considered. Where this is not possible they call for the minimisation of displacement, adequate compensation, participation of the displaced population in the planning process, adequate course of redress and the establishment of alternative livelihood strategies (World Bank, ADB, OECD-DAC, UN Comprehensive Guidelines on Development-Based Displacement). 2. Multilateral agencies policies on development-induced displacement and resettlement World Bank The World Bank s Operational Policy on Involuntary Settlement (2001 and updated 2007 and 2011) is the most referenced strategy relating to development-induced displacement and resettlement. The policy applies to all components a World Bank project that result in involuntary resettlement, regardless of the source of financing. The policy sets out a number of safeguards including: Avoid displacement and resettlement where possible. Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programmes, and provide enough investment resources to enable the persons displaced by the project to share in project benefits and to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels. Displaced persons should be meaningfully consulted with opportunities to participate in planning and implementing resettlement programmes. They should also have at their disposal affordable and accessible procedures for third-party settlement of disputes arising from resettlement. The borrower is required to prepare a resettlement plan, showing that displaced persons are aware of their options and rights, consulted on resettlement alternatives, provided prompt compensation and where necessary provided additional development support. Measures should also be put in place to mitigate the impact of resettlement on host communities where applicable. Compensation to displaced persons should be offered to: a) those who have formal legal rights to land; b) those who do not have formal legal rights to land at the time the preparatory census begins, but have a claim to such land or assets; and c) those who have no recognisable legal right or claim to the land they are occupying. The third category should be provided resettlement assistance in lieu of compensation for the land they occupy, if they occupy the project area prior to a cut-off date established by the borrower. Earlier this year the World Bank announced its intention to review these guidelines with an intention of completing the review in 2012 (Herbertson, 2011). ADB The ADB s safeguard policy for involuntary resettlement operates according to the following policy principles: Early screening to identify past, present, and future involuntary resettlement impacts and risks 2

Meaningful consultations with affected persons and the establishment of grievance redress mechanism Restore or improve livelihoods of displaced persons Provide physically and economically displaced persons with needed assistance Improve the standards of living of the displaced poor and other vulnerable groups to at least national minimum standards Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets. Prepare a resettlement plan covering displaced persons entitlements, the income and livelihood restoration strategy and institutional arrangements. Pay compensation and provide other resettlement entitlements before physical or economic displacement (ADB, 2009: 17). OECD-DAC OECD/DAC s Guidelines for Aid Agencies on Involuntary Displacement and Resettlement (1992) states that [a]lternatives to displacement and resettlement should be fully considered before decisions on displacement and resettlement are taken. Involuntary displacement and resettlement should be treated as an integral part of project design from the earliest stages of project preparation (p. 6). Where displacement and resettlement is deemed necessary, the guidelines set out the following safeguards: The non-action alternative should be seriously considered. In the decision-making process due weight must be given to people s needs and environmental protection. Meaningful consultation must also take place with the displaced community, ensuring the involvement of vulnerable groups. The possibility of involuntary resettlement should be determined as early as possible and project identification work should search and document technical alternatives to avoid or minimize displacement Displaced persons should be i) enabled to reconstruct a landbased or employment-based productive existence; ii) compensated for their losses at replacement cost; iii) assisted with the move and during the transition period at the relocation site; and iv) assisted in their efforts to improve their former living standards, income earning capacity, and production levels, or at least to restore them (p. 7) Resettlement components should be supervised throughout implementation and continue after the arrival of the resettled population at the new site (p. 9). UN 2003/17. Prohibition of Forced Evictions Article one states that the practice of forced eviction constitutes a gross violation of a broad range of human rights, in particular the right to adequate housing, the right to remain, the right to freedom of movement, the right to privacy, the right to property, the right to an adequate standard of living, the right to security of the home, the right to security of the person, the right to security of tenure and the right to equality of treatment. It urges governments to eliminate the practice of forced evictions by, 3

inter alia, repealing existing plans involving forced evictions as well as any legislation allowing for forced evictions. It recommends: Governments to provide immediate restitution, compensation and/or appropriate and sufficient alternative accommodation or land to persons and communities that have been forcibly evicted, following mutually satisfactory negotiations with the affected persons or groups (Article 4). That evictions deemed lawful do not breach the human rights of those displaced (Article 5). United Nations Comprehensive Guidelines on Development-Based Displacement These guidelines, produced as a result of the Expert Seminar on The Practice of Forced Evictions hosted by UNHCR in 1997, address the human rights implications of the practice of forced evictions associated with development-based displacement in urban and rural areas. They are consistent with international human rights law and international humanitarian law, but they clarify the point that forced evictions constitute a distinct practice under international law. The guidelines urge states to: Fully explore all possible alternatives to any act involving forced eviction. Ensure the displaced persons are able to access information regarding the project. Ensure the entire resettlement process is carried out in full consultation and participation with the affected persons, groups and communities, including any alternative plans proposed by those affected. If an agreement cannot be reached an independent body, such as a court of law, tribunal, or ombudsman should be called upon. Basic Principles and Guidelines on Development-based Evictions and Displacement The following guidelines on the right to non-discrimination in access to and quality of housing were prepared by the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living. They address the human rights implications of development-linked evictions and related displacement, elaborating on the comprehensive human rights guidelines on developmentbased displacement. The guidelines state that: Evictions must be carried out lawfully and only in exceptional circumstances. Authorities must be able to demonstrate that the eviction is unavoidable and consistent with international human rights commitments. All persons, groups and communities have the right to resettlement, which includes the right to alternative land of better or equal quality and housing that must satisfy the following criteria for adequacy: accessibility, affordability, habitability, security of tenure, cultural adequacy, suitability of location, and access to essential services such as health and education (p. 6). Comprehensive and holistic impact assessments should be carried out prior to the initiation of any project that could result in development-based eviction and displacement, with a view to securing fully the human rights of all potentially affected persons, groups and communities, including their protection against forced evictions. Eviction-impact assessment should also include exploration of alternatives and strategies for minimizing harm (p. 8). 4

Relocation sites must not be situated on polluted land or in immediate proximity to pollution sources that threaten the right to the highest attainable standards of mental and physical health of the inhabitants (p. 12). UN s Guiding Principles on Internal Displacement The Guiding Principles on Internal Displacement were presented to the Commission on Human Rights by the Representative to the UN Secretary-General on internally displaced persons in 1998. The guiding principles seek to protect all internally displaced persons in internal conflict situations, natural disasters and other situations of forced displacement. A handbook has also been developed to explains how best to implement the principles in the field. Principle 6 explicitly states that [t]he prohibition of arbitrary displacement includes displacement... [i]n cases of large-scale development projects, which are not compelling and overriding public interest. The guiding principles follow a similar pattern to the World Bank operational policy on involuntary settlement, emphasising amongst other things: Minimise displacement where possible and if not possible the free consent of those displaced should be sought. Involve those affected in the planning and management of the operation. Not violating the rights to life, dignity, liberty and security of those affected by displacement. The right to adequate standard of living for displaced persons (OCHA, 2004). 3. Selection of donor and NGO policies on displacement and resettlement The following section outlines a selection of donors and NGOs strategies to address displacement caused by conflict, disasters or development projects. Donors In general most donors do not appear to have a specific policy on development-induced displacement. Rather this issue falls under other policies, or is covered in multilateral agencies policies (Rew et al, 2000:100). DFID DFID does not have a specific policy on development-induced displacement. However, its policy on humanitarian support (DFID, 2011) sets out four ways the UK will work in humanitarian emergencies: 1. Provide aid according to need and need alone, in line with the humanitarian principles of humanity, impartiality, neutrality and independence. 2. Follow Good Humanitarian Donorship principles and best practice, and encourage others to do likewise. 3. Work multilaterally and with other partners to expand the donor base for humanitarian action and greater burden sharing. 4. Strengthen our commitments to be transparent and accountable to beneficiaries, and encourage our partners to do likewise (p. 20). 5

In order to prevent or limiting the impact of displacement and resettlement DFID: Makes building resilience a core part of its approach, and where possible lead in driving better coordination of all partners including governments, UN, NGOs and others in building resilience; Ensure that the response do no harm, supports long-term resilience and development work and deliver the right results for affected people; Implements the appropriate political, security, humanitarian and development actions necessary to uphold respect for international law and protect civilians USAID USAID s policy on internal displacement (USAID, 2004) is driven by humanitarian, development, political and security concerns. Three core principles guide USAID s work towards IDPs: 1. Do no harm 2. Making use of UN Guiding Principles on Internal Displacement as a framework for response 3. Ensuring comprehensive commitment to the broad range of needs of IDPs. DANIDA In its strategy on Humanitarian Action 2010-2015 (Danish Ministry of Foreign Affairs, 2009) commits to fully comply with International Humanitarian Law, Human Rights Law and Refugee Law. The strategy also sets out to: Strengthen protection for refugees and IDPs, including strengthening the existing protection framework. Ensuring that durable solutions to displacement and that IDPs and refugees enjoy the full protection of the state. SDC The SDC s approach to ensure human rights are incorporated in its development cooperation is based on ten strategic principles. One of these principles deals with preventing negative effects of projects and programmes. This includes ensuring that Projects should be checked for negative consequences (e.g. population displacement, restricted access to services, strengthening authoritarianism, undermining the position of women (SDC, 2004:11). SDC s humanitarian arm aims to prepare communities vulnerable to displacement through: Develop and strengthen risk recognition, assessment and evaluation capacities Support integral risk management capacities Support disaster and crisis management structures at national and local levels Promote knowledge and experience-exchange mechanisms Strengthen international cooperation (SDC, 2010: 11). 6

NGOs International NGOs mainly get involved in displacement issues through advocacy on behalf of people threatened with displacement, providing support for those displaced and providing critique of donor policy or input into UN resolutions (Rew et al 2000:101). ICRC ICRC aims to advocate for and utilise existing international law in order to: Preserve conditions enabling the civilian population to stay in their homes. Protect people who are uprooted. Promote the affected communities self- sufficiency and preserve the displaced persons coping mechanisms. Encourage their return as soon as the conditions permit (Krill, 2001). National Institutions for the Promotion and Protection of Human Rights The strategy followed by the National Institutions for the Promotion and Protection of Human Rights (2006) includes: Advocate for a human rights approach to migration and migration management, while acknowledging that states are responsible for guaranteeing the rights of all individuals. Ensuring efficient domestic legal protection of all migrants. Encourage the development of a national legal framework for upholding the rights of internally displaced persons. 4. Implementation of development-induced displacement and resettlement policies Some of the above mentioned policies on development-induced displacement and resettlement require the project implementer to draft a resettlement plan which outlines how project the will be planned with displaced persons input, how the information will be channelled to resettlers, what the grievance procedures to be established will be and how the resettlers will be compensated and their livelihoods restored (World Bank, ADB) However, as highlighted by NGOs in 2008 findings from evaluation studies conducted by the ADB itself affirm concerns that have been raised by displaced communities for years essentially that actual conditions on the ground make a mockery of the promises enshrined in the Resettlement Policy (Levitt, 2008). An internal review of the World Bank also acknowledges that while the safeguards and sustainability policies have helped to avoid or mitigate large-scale social and environmental risks in the projects financed by the WBG during the review period, fiscal years 1999 2008, the policy has suffered from the following weaknesses in implementation: Categorization of risks has not been consistent across the WBG programmes The compliance-based approach is increasingly becoming less effective as the WBG s portfolio moves beyond traditional investment projects 7

The existing social safeguards do not provide adequate coverage of community impacts, labour and working conditions, health, safety, and security issues at the project level Monitoring, evaluation, and completion of reporting is often weak Weaknesses in systems and instruments for accountability and grievance redress (World Bank, 2010). A further problem with the World Bank safeguard policy according to the World Resources Institute is that it covers as little as 16% of its total portfolio by volume of lending (Herbertson, 2011). 5. Bibliography ADB, 2009, Safeguard Policy Statement http://www.adb.org/documents/policies/safeguards/safeguard-policy-statement-june2009.pdf Danish Ministry of Foreign Affairs, 2009, Strategy for Danish Humanitarian Action 2010-2015: Addressing Vulnerability, Climate Change and Protection Challenges http://um.dk/en/~/media/um/danish-site/documents/danida/det-goer-vi/udvindsats/stabilitet/strategyfordanishhumanitarianaction2010-15.ashx DFID, 2011, Saving lives, preventing suffering and building resilience: The UK Government s Humanitarian Policy http://www.dfid.gov.uk/documents/publications1/the%20uk%20government's%20humanitarian%20 Policy%20-%20September%202011%20-%20Final.pdf Herbertson, K., 2011, World Bank vs. World Bank: Protecting Safeguards in a Modern International Institution, World Resources Institute http://www.wri.org/stories/2011/05/world-bank-vs-world-bank-protecting-safeguards-moderninternational-institution Koenig, D., unknown, Contradictory Notions of Participation? The Case of Development-Induced Involuntary Resettlement http://www.afsp.msh-paris.fr/activite/diversafsp/colllaios05/txt/koenig.pdf Kothari, M., 2004, Basic Principles and Guidelines on Development-based Evictions and Displacement: Annex 1 of the Annual report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living to the ECONOMIC AND Social Council http://www2.ohchr.org/english/issues/housing/docs/guidelines_en.pdf Krill, F., 2001, The ICRCs Policy on Refugees and Internally Displaced Civilians http://www.droit-international-humanitaire.org/telechargements/pictures/krill_idps_ref_icrc%20.pdf Levitt, J., 2008, Involuntary Resettlement & the Asian Development Bank: Proposed new ADB policy will lead to excessive forced displacement and impoverishment of vulnerable populations across Asia, NGO Forum on ADB http://www.forum-adb.org/backup/articles/involuntary-resettlement-and-the-adb.htm National Institutions for the Promotion and Protection of Human Rights, 2006, The Santa Cruz Declaration, Eighth International Conference 8

http://www.internaldisplacement.org/8025708f004cfa06/(httpkeydocumentsbycategory)/3841a6fb8468ccb8c1257 235003B0676/$file/Santa_Cruz_Declaration_E.pdf OCHA, 2004, Guiding Principles on Internal Displacement http://www.brookings.edu/fp/projects/idp/resources/gpenglish.pdf OECD-DAC, 1992, Guidelines for Aid Agencies on Involuntary Displacement and Resettlement in Development Projects, Paris: Organisation for Economic Co-operation and Development http://www.oecd.org/dataoecd/37/27/1887708.pdf Rew, A., Fisher, E. and Pandey, B., 2000, Addressing Policy Constraints and Improving Outcomes in Development-Induced Displacement and Resettlement Projects, A review prepared for ESCOR and the Research Programme on Development-Induced Displacement and Resettlement organised by the Refugee Studies Centre, University of Oxford http://law.wustl.edu/library/cdroms/refugee/data/rsc%20reports%5caddressing%20policy%20con straints.pdf SDC, 2004, Independant Evaluation of SDC's Human Rights and Rule of Law Guidance Documents: Influence, Effectiveness and Relevance within SDC http://www.oecd.org/dataoecd/35/11/36853549.pdf SDC, 2010, Humanitarian Aid of the Swiss Confederation: Strategy 2010 http://www.sdc.admin.ch/en/home/activities/humanitarian_aid/objective UN Sub-Commission on the Promotion and Protection of Human Rights, Resolution 2003/17 on the Prohibition of Forced Evictions, 13 August 2003, E/CN.4/Sub.2/RES/2003/17 http://www.un.org/terrorism/pdfs/3/g0316422.pdf UN, 1997, United Nations Comprehensive Guidelines on Development-Based Displacement http://www.cohre.org/sites/default/files/un_guidelines_on_development_based_displacements.pdf USAID, 2004, USAID Assistance to Internally Displaced Persons Policy http://www.usaid.gov/policy/ads/200/200mbc.pdf World Bank, 2010 Safeguards and Sustainability Policies in a Changing World: An Independent Evaluation of World Bank Group Experience internal review http://web.worldbank.org/wbsite/external/extoed/extsafandsus/0,,menupk:6120534~pag epk:64829575~pipk:64829612~thesitepk:6120524,00.html World Bank, 2011, OP. 4.12 Involuntary Resettlement http://web.worldbank.org/wbsite/external/projects/extpolicies/extopmanual/0,,conte ntmdk:20064610~menupk:4564185~pagepk:64709096~pipk:64709108~thesitepk:502184,00.html 9

6. Additional information Key websites DFID, USAID, SIDA, CIDA, Danida, SDC, COHRE, Oxfam, World Bank, OHCHR, ADB, IADB, World Resource Institute, Global Database on the Guiding Principles of Internal Displacement, Internal Displacement Monitoring Centre, ICRC, GTZ About Helpdesk research reports: Helpdesk reports are based on 2 days of desk-based research. They are designed to provide a brief overview of the key issues, and a summary of some of the best literature available. Experts are contacted during the course of the research, and those able to provide input within the short time-frame are acknowledged 10