Kenya - Nairobi Metropolitan Services Improvement Project : resettlement policy framework

 RP1224 REPUBLIC OF KENYA MINISTRY OF NAIROBI METROPOLITAN DEVELOPMENT RESETTLEMENT POLICY FRAMEWORK FOR NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT (NaMSIP) December 2011 By: Architect David Iluve Kithakye P.O. Box 75855, Nairobi, 00200 Tel: +254 722 379290 Email: David.kithakye@yahoo.co.uk EXECUTIVE SUMMARY i  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 This report outlines the Resettlement Policy Framework (RPF) for the Nairobi Metropolitan Services Improvement Project (NaMSIP) being implemented by the Ministry of Nairobi Metropolitan Development (MONMED) with funding assistance from the World Bank. MONMED was established through a Presidential Circular on 0I May 2008 with a mandate to create a metropolitan region comprising of 15 Local Authorities including the City of Nairobi. The Nairobi Metropolitan Rgion (NMR) extends over 32,000 square kilometres include the following local authorities grouped as follows: Core Nairobi comprising the City Council of Nairobi; The Northeern Metro comprising the Municipal Council of Kiambu, Municipal Council of Limuru, the Municipal Council of Limuru; the Municipal Council of Ruiru; the Municipal Council of Thika, Town Council of Karuri; Town Council of Kikuyu; and County Council of Kiambu; The Southern Metro comprising of the Town Council of Kajiado and the County Council of Olkejuado; and The Eastern Metro comprising of the Town Council of Tala/Kangundo, Municipal Council of Machakos, the Municipal Council of Mavoko, and the County Council of Masaku. Although NMR is the most urbanized region in Kenya, it faces several development challenges which if unattended to, will hinder the region from the benefits of urbanization And realization of the Nairobi Metro 2030 Vision of creating a World Class African Metropolis by 2030. The main metropolitan challenges include: - Uncompetitive metropolitan economy caused by high cost of land, high cost of infrastructure, inadesquate skilled manpower, poor safety and security and poor performing institutions; - Inadequate Infrastructure and Utilities arising from poor service connections, poor network accessibility, inadequate capital investments and inadequate operations and maintenance; - Poor quality of Life resulting from poor access to medical services, poor quality of housing, inadequate access to housing, poor access to education services and ineffective spatial planning regime; - Poor Safety and Security caused by poor public and individual safety, internal strife, regional instability, inadequate emergency services, negative public image, poor business environment; - Ineffective metropolitan Governance due to inadequate capacity in governance institutions, poor client focus, weak and uncoordinated efforts of various institutions. The Nairobi Metropolitan Services Improvement Project (NaMSIP) is an integral element of the Country Partnership Strategy (CPS) between the World Bank the Government of Kenya, which will contribute to the goals of the Kenya Government’s Vision 2030, and through the strenghthening of governance of and within the region for improved service delivery, contribute towards the realization of the vision of creating a World Class African Metropolis by the year 2030. The project has the following four components: ii  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 1. Institutional Reform and Development focusing on capacity enhancement of the local entities within the region and that of the Ministry to competently deliver the objectives of the project., 2. Critical local government infrastructure and services which will finance critical infrastructure and investments for selected urban areas within Nairobi Metropolitan Region. 3. Critical metropolitan infrastracture and services which will assist in providing metropolitan infrastructure in the areeas of solid waste, transport, and sewrage services, which are crucial for the service delivery and development within the region. 4. Project Management, Monitoring and Evaluation which will finance the management activities associated with project implementation, including establishing and implementing a comprehensive monitoring and evaluation (M&E) system and training of the implementing agencies. NaMSIP is at the planning stage and as such the projects to be executed for each component are yet to be defined and physical locations identified. The Ministry for Nairobi Metropolitan Development, using a World Bank Programme Preparation Facility has engaged a team of consultants to provide inputs into the preparation of NaMSIP including the preparation of the Resettlement Policy Framework (RPF) and the Environmental and Social Management Framework (ESMF). The RPF will guide implementation of NaMSIP civil works packages to provide safeguards against adverse impacts of displacement and consequent disruption of livelihoods of the affected persons. The RPF has been prepared in conformity with the World Bank Safeguard Operational Policy, OP 4.12 – Involuntary Resettlement - and anchored in the legal provisions of the Kenya Government. Where the two are diverge, OP 4.12 prevails The RPF will guide implementation of NaMSIP civil works packages to provide safeguards against adverse impacts of displacement and consequent disruption of livelihoods of the affected persons. The RPF examines the process of displacement and resettlement and discusses the following measures of avoiding, and where unavoidable, minimising the impact: • Involving the communities and Project Affected Persons (PAPs) as early as possible in the project and engaging the community in the design and implementation of the of the projects; • Keep the PAPs fully informed of any eventualities including possibility of being compensated and/or resettled. • Preparing, updating and adhering to Regional and Development plans to ensure that developments are located appropriately. The Ministry will establish a Forward Planning Unit which will consider long-term projections and requisite provision of land and space; • In the event that displacement cannot be avoided, , the process of assessing who is affected, determing the appropriate mitigation measure – compensation and/or resettlement - will be carried out with involvement and consultations of the persons affected, in a transparent manner and with a grievance redress mechanism in place. Coordination of the NaMSIP will require adequate capacity at MONMED to match the responsibility of delivering the World Class African Metropolis by 2030. The detailed iii  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 Resettlement Action Plans (RAPs) which will be prepared once the projects are definitely defined should be simple and clear and to be understood by all actors, but at the same time comprehensive. The arrangements for monitoring the resettlement and compensation activities fall under the overall monitoring programme of the entire NaMSIP which will be carried out by the PCT. It is important to involve the communities and the PAPS in the M&E process. They have local information on trends and challenges and they know the best way to articulate the same. Periodic evaluations will be made in order to determine whether:- - the PAPs have been compensated as required under OP 4.12; - economic rehabilitation measures have been implemented; and - the PAPs have the same or better standard of living than before. A number of objectively verifiable indicators shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively and qualitatively measuring the physical and socio-economic status of the PAPs, to determine and guide improvement in their social wellbeing. KEY HIGHLIGHTS OF THE RPF The key highlights in this RPF report is presented as follows: Principles and objectives governing resettlement preparation and implementation. A description of the process for preparing and approving resettlement plans. Land acquisition and likely categories of impact. Eligibility criteria for defining various categories of project affected persons. A legal Framework reviewing the fit between the laws of Kenyan and regulations and World Bank policy requirements and measures proposed to bridge any gaps between them. Organizational procedures for the delivery of entitlements, including an Entitlements Matrix. A description of the implementation process, linking resettlement implementation to civil works. Descriptions of grievance redress mechanisms. A description of mechanisms for consultations with, and participation of PAPs in planning, implementation, and monitoring of NaMSIP activities. Arrangements for monitoring by the implementation agency and, if required, by independent monitors. iv  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 CONTENTS EXECUTIVE SUMMARY.................................................................................................................................. i KEY HIGHLIGHTS OF THE RPF ..................................................................................................... iv CONTENTS........................................................................................................................................................ v ABBREVIATIONS AND ACRONYMS ........................................................................................................ viii GLOSSARY OF TERMS ................................................................................................................................... x Definitions........................................................................................................................................................... x 1 CHAPTER ONE: INTRODUCTION .................................................................................................. 1 1.1 Background: .................................................................................................................................. 1 1.2 The Assignment: ........................................................................................................................... 1 1.3 Objective of the Assignment......................................................................................................... 2 1.4 The need for the Resettlement Policy Framework ........................................................................ 2 1.5 Resettlement Policy Framework Report Layout .......................................................................... 3 2 CHAPTER TWO: METHODOLOGY AND CONSULTATIONS............................................................ 5 2.1 Resettlement Policy Framework Preparation Process................................................................... 5 2.2 Results on Findings....................................................................................................................... 6 2.2.1 National Context: .................................................................................................................. 7 2.2.2 Nairobi Metropolitan Region (NMR) ................................................................................... 8 2.2.3 NaMSIP preparation: ........................................................................................................ 910 2.2.4 The Kenya Constitution: ..................................................................................................... 11 2.2.5 Resettlement Policy Frameworks:................................................................................... 1112 2.2.6 Public Works................................................................................................................... 1112 2.2.7 Housing and upgrading Programmes: ............................................................................. 1213 3 CHAPTER THREE: PROJECT DESCRIPTION.................................................................................... 13 3.1 The Project Objective............................................................................................................ 1314 3.2 Proposed project components for NaMSIP............................................................................. 1314 3.3 Analysis of the components .................................................................................................... 1516 4 CHAPTER FOUR: IMPACTS ON PEOPLE AND LIVELIHOODS................................................. 1718 4.1 Displacements ......................................................................................................................... 1718 4.2 Categories of Project Affected People (PAPs)........................................................................ 1718 4.3 Response mechanism to the needs of the listed PAPs categories ........................................... 1819 5 CHAPTER FIVE: PRINCIPLES & OBJECTIVES GOVERNING PREPARATION OF RPF ...... 1920 5.1 Involuntary Resettlement: ....................................................................................................... 1920 5.2 Socio-economic displacement:................................................................................................ 2021 5.3 Physical displacement: ............................................................................................................ 2021 5.4 Screening of projects for displacement impacts...................................................................... 2021 5.5 Socio-economic Survey of Affected Households ................................................................... 2021 5.6 Implementation Conceptual framework.................................................................................. 2122 6 CHAPTER SIX: THE ENTITLEMENT MATRIX FOR NAMSIP ................................................ 2223 6.1 Nature and scope of displacement impacts under NaMSIP .................................................... 2223 v  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 6.2 Computation of Compensation: .............................................................................................. 2223 6.3 The Entitlement Matrix ........................................................................................................... 2324 6.4 Compensation for vulnerable groups ...................................................................................... 2324 7 CHAPTER SEVEN: LEGAL FRAMEWORK FOR RESETTLEMENT ............................................ 2627 7.1 Land Bill 2011 ........................................................................................................................ 2728 7.2 Land Acquisition..................................................................................................................... 2728 7.3 Physical Planning Act ............................................................................................................. 2728 7.4 World Bank Operational Policies OP 4.12........................................................................... 2829 7.5 Gaps between GoK and WB Policies...................................................................................... 2829 8 CHAPTER EIGHT: PLANNING FRAMEWORK FOR RESETTLEMENT...................................... 3334 8.1 Planning for resettlement ........................................................................................................ 3334 8.2 Spatial Planning in the context of Resettlement Policy Framework ..................................... 3334 8.3 Land use and Resettlement Planning. ..................................................................................... 3435 8.4 Resettlement Planning Requirements ..................................................................................... 3435 8.5 Resettlement Policy Framework and NaMSIP implementation.............................................. 3435 9 CHAPTER NINE: CONSULTATION AND GRIEVANCE REDRESS MECHANISMS ......... 3637 Overview ............................................................................................................................................. 3637 9.1 Mechanisms for consultation .................................................................................................. 3637 9.1.1 Data Collecting phase...................................................................................................... 3738 9.1.2 Implementation Operation .............................................................................................. 3738 9.1.3 Monitoring and evaluation phase ................................................................................... 3738 9.2 Grievance Redress Mechanism. .............................................................................................. 3839 9.2.1 Grievance Procedures...................................................................................................... 3839 9.2.2 Grievance redress process ............................................................................................... 3839 9.2.3 Timeliness of the process ................................................................................................ 3940 9.2.4 The process...................................................................................................................... 3940 9.2.5 Grievance Log................................................................................................................. 4041 9.2.6 Monitoring Complaints ................................................................................................... 4041 9.3 Institutional Arrangements...................................................................................................... 4041 9.3.1 Institutional Coordination ............................................................................................... 4041 9. 3.2 NaMSIP Coordinating Team: ................................................................................................. 4142 9.7 The Ministry of Nairobi Metropolitan Development .............................................................. 4243 10 CHAPTER TEN: METHODS OF VALUING AFFECTED ASSETS.......................................... 4344 10.1 TYPES OF COMPENSATION PAYMENTS............................................................................... 4344 10.2 VALUATION OF ASSETS AND NATIONAL LAW..................................................................... 4344 10.3 VALUATION PROCEDURE .................................................................................................... 4445 10.4 Preparation of Asset Inventory ........................................................................................... 4445 10.5 VALUATION METHODS........................................................................................................ 4546 10.6 CALCULATION OF COMPENSATION BY ASSETS................................................................... 4546 vi  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 10.6.1 Compensation for Land ................................................................................................... 4546 10.6.2 Land Measurement ............................................................................................................. 4647 10.6.3 Calculation of Crops Compensation Rate ....................................................................... 4647 10.6.4 Compensation for Buildings and Structures...................................................................... 4748 10.6.5 Compensation for Community Assets................................................................................. 4849 10.6.6 Compensation for Sacred Sites ........................................................................................... 4849 10.6.7 Compensation for Loss of Businesses ............................................................................... 4849 10.6.8 Compensation for Cultivated Crops (both cash and subsistence) and Trees.................... 4849 10.6.8 Compensation for vegetable gardens and other activities.................................................. 4950 10.6.9 Compensation for horticultural, floricultural and fruit trees............................................. 4950 10.6.10 Other domestic fruit and shade trees......................................................................... 5051 11 IMPLEMENTATION ARRANGEMENTS ..................................................................................... 5152 11.1 Public Consultation and participation ..................................................................................... 5152 11.2 Stakeholders Workshop .......................................................................................................... 5152 11.3 Inventory/Census of PAPs to prepare Assets Registers .......................................................... 5253 11.4 Linking implementation to civil works ................................................................................... 5354 11.5 Preparation of Resettlement Action Plans (RAPs).................................................................. 5354 12 CHAPTER ELEVEN: MONITORING AND EVALUATION...................................................... 5556 12.1 Setting of Monitoring and Evaluation Goals........................................................................... 5556 12.2 Responsibility of the authorities.............................................................................................. 5657 12.3 Indicators to Determine Status of Affected People ................................................................. 5657 12.4 Indicators to Measure RAP Performance................................................................................ 5758 12.5 Monitoring of RPF Implementation........................................................................................ 5758 12.6 Storage of data and information:............................................................................................. 5859 12.7 Socio-economic monitoring .................................................................................................... 5859 APPENDIX 1 ................................................................................................................................................ 5960 APPENDIX 2 ................................................................................................................................................ 6061 APPENDIX 3 ................................................................................................................................................ 6162 Appendix 4: RPF POWER POINT PRESENTATION ..................................................................... 6667 Appendix 5: Minutes of Stakeholder Workshop 20 December 2011 .......................................................... 6667 TABLES AND FIGURES FIGURES Figure 2.2.1: Nairobi Metropolitan Region (NMR)...................................................................................... 8 Figure 5.5.1: Implementation Conceptual Framework ........................................................................... 2122 Figure 8.5.1: Implementation Conceptual Framework ........................................................................... 3536 vii  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 Figure 9.5.1: Conceptual Framework for NaMSIP Coordination ........................................................... 4142 Figure 9.7.1: Ministry Organizational Structure ..................................................................................... 4243 TABLES Table 2.2.1: Assignment Delivery Plan ........................................................................................................ 7 Table 2.2.2: Analysis of Main Metropolitan Region Challenges................................................................ 10 Table 3.3.1: Components Analysis – Inputs and Potential Socio-Economic Impacts ............................ 1617 Table 6.4.1: Entitlement Matrix .............................................................................................................. 2425 Table 7.5.1: Comparative Analysis of World Bank Op 4.12 and Gok Law ........................................... 3031 Table 7.5.2: Comparative Analysis of WB OP 4.12 and GoK Requirements ....................................... 3233 Table 10.4.1 Forms of Compensation ..................................................................................................... 4445 ABBREVIATIONS AND ACRONYMS GOK Government of Kenya MONMED Ministry of Nairobi Metropolitan Development MoF Ministry of Finance NaMSIP Nairobi Metropolitan Services Improvement Project RPF Resettlement Policy Framework ESMF Environment and Social Management Framework RAP Resettlement Action Plans PAPS Project Affected Persons OP Operational Policies ERS Economic Recovery Strategy CPS Country Strategy Partnership viii  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 PCN Project Concept Note PCT Project Coordination Team KISIP Kenya Informal Settlements Improvement Programme KMP Kenya Municipal Programme NRMP Natural Resources Management Programme KSUP Kenya Slum Upgrading Programme KURA Kenya Urban Roads Authority KeRRA Kenya Rural Roads Authority KeNHA Kenya National Highway Authority NUTIP National Urban Transport Improvement Project IMSWM Integrated Metropolitan Solid Waste Management SDP Spatial Development Plan NMR Nairobi Metropolitan Region UN-HABITAT United Nation’s Human Settlement Programme WB World Bank ix  Resettlement Policy Framework DECEMBER NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 2011 GLOSSARY OF TERMS Definitions Resettlement Policy Framework (RPF) is the instrument prepared to guide resolution of displacement arising from project activities. It sets out the compensation policy and resettlement arrangements to address the needs of the affected persons to ensure that their livelihoods are restored to pre-project levels or better. Resettlement Action Plans (RAPs) is a resettlement instrument to be prepared when the location(s) of civil works are identified. RAPs contain specific and binding provisions to resettle and/or compensate the affected persons before implementation of the activities. Involuntary Resettlement means the involuntary acquisition of land resulting in direct or indirect economic and social impacts due to loss of benefits from use of land, relocation of structures, loss of access to assets, loss of income and means of livelihood and loss of social networks. Project Affected Persons (PAPs) are the persons affected because they have lost their land, their properties, their incomes and livelihoods due to land and space being required for use in carrying out civil works for the project. Displacement means dispossessing someone of their land or part of their land so as to utilize the same for civil works. The affected person is required to relocate. Compensation means the payment in kind, cash or other assets given to a displaced person in exchange for the acquisition of land including activities; Resettlement Assistance means the measures to ensure that displaced persons who require to be physically relocated are assisted with resettlement plans, materials and means whichever is applicable for ease of relocating and restoration of livelihoods. Land Acquisition means the repossession of or alienation of land, buildings or other assets there on for purpose of making Land available for project activities. Cut off date is the date of commencement of the census of persons affected by the project within the project area. This is the date on and beyond which any person whose land is occupied for project use, will not be eligible for compensation. Census means a field survey carried out to identify and determine the number of persons affected by the project activities or displaced to leave land for civil works. The census provides basic information needed to determine the appropriate resettlement option including compensation. x  Resettlement Policy Framework NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT 1 CHAPTER ONE: INTRODUCTION Background: The Ministry of Nairobi Metropolitan Development (MONMED) was created via presidential circular no. 1 of May 2008 and mandated among others to establish and develop the Nairobi Metropolitan Region. The Ministry started by defining a vision to create a World Class African Metropolis by 2030. This required elaborating strategies and building the capacity to take on the responsibility to improve core public infrastructure of Nairobi City and the 14 Local authorities in the metropolitan area. Public infrastructure is chief enabler in the achievement of the economic pillar of the vision 2030 and enhanced National Economic Development. The establishment of the Ministry of Nairobi Metropolitan Development came at a time when Kenya was recovering from the post-election violence of December 2007/January 2008. The impact of the post-election violence changed Kenya’s social and economic outlook drastically as the gains of the previous five years were lost. The establishment of a new Ministry following such an experience was therefore a bold yet very demanding choice. The Ministry’s vision of a World Class African Metropolis was equally demanding. The creation of the most urbanized region was an affirmation of the benefits of urbanization in line with the globally accepted norm: “Cities are Engines of economic growth