Mozambique - Transfrontier Conservation and Tourism Development Project : resettlement plan

RP328 TRANSFRONTIER CONSERVATION AREAS AND TOURISM DEVELOPMENT PROJECT MOZAMBIQUE Resettlement Policy Framework February 21st, 2005 TFCA TDP - Draft - Resettlement Policy Framework 210205 List of Abbreviations BP Bank Policy CBNRM Community based natural resource management CC Consultative Council CDS-ZC Centre for Sustainable Development-Coastal Zone COGEP Participatory Management Council CPDF Community Planning and Development Forum DA District Administration DAS Water and Sanitation Department (DPOPH) DINAGECA National Directorate of Geography and Cadastre DINAPOT National Directorate for Territorial Planning DINATUR National Tourism Directorate DIPTUR Provincial Directorate of Tourism DNA National Directorate of Water DNAC National Directorate of Conservation Areas DNAIA National Directorate of Environmental Assessment DNFFB National Directorate of Forestry and Wildlife DNGA National Directorate for Environmental Management DPA Provincial Directorate of Agriculture DPCA Provincial Directorate for Coordination of Environmental Affairs DPOPH Provincial Directorate of Public Works and Housing DPPD Provincial Directorate of Planning and Development EA Environmental Assessment EIA Environmental Impact Assessment GEF Global Environment Facility GOM Government of Mozambique IDA International Development Association IDP Integrated Development Plan IFC International Finance Corporation LAA Land Acquisition Assessment LNP Limpopo National Park MADER Ministry of Agriculture and Rural Development MAE Ministry of State Administration MICOA Ministry for Coordination of Environmental Affairs MINAG Ministry of Agriculture (created 2005) MINED Ministry of Education MISAU Ministry of Health MITUR Ministry of Tourism MOPH Ministry of Public Works and Housing MPD Ministry of Planning and Development (created 2005) MSR Maputo Special Reserve NGO Non governmental organisation NP National Park NRM Natural resources management OP Operational Policy PA Protected Area PAP Project affected person PRA Participatory rural appraisal RAMP Resources Access Management Plan TFCA TDP - Draft - Resettlement Policy Framework 210205 RAP Resettlement Action Plan RPF Resettlement Policy Framework SAFMAR Nacional Maritime Administration and Inspection Services SEA Strategic Environmental Assessment SIA Social Impact Assessment SMME Small and Medium Enterprise SPER Provincial Rural Extension Services (DPADER) SPFFB Provincial Forestry and Wildlife Services (DPADER) SPGC Provincial Geography and Cadastre Services (DPADER) TFCA Transfrontier Conservation Area TFCATDP Transfrontier Conservation Areas and Tourism Development Project TFCAU Transfrontier Conservation Areas Unit TFCA TDP - Draft - Resettlement Policy Framework 210205 Table of Contents 1. EXECUTIVE SUMMARY ................................................................................................................I 1. PROJECT DESCRIPTION AND BACKGROUND ...................................................................... 1 2. PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT PREPARATION AND IM PLEM ENTATIO N............................................................................................................................ 2 3. LEGAL FRAMEWORK .................................................................................................................. 5 4. PLANNING PROCEDURES AND IDENTIFICATION OF IMPACTS................................ 9 5. MITIGATION INSTRUMENTS .............................................................................................. 11 6. INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS.................................. 14 7. PUBLIC CONSULTATION AND GRIEVANCE MECHANISMS ....................................... 16 8. MONITORING ARRANGEMENTS ........................................................................................ 19 9. C O ST S.............................................................................................................................................. 20 10. A PPEN DIC ES ................................................................................................................................ 22 10.1. A FULL RAP OUTLINE.......................................................... 22 111 TFCA TDP - Draft - Resettlement Policy Framework 210205 TRANSFRONTIER CONSERVATION AREAS AND TOURISM DEVELOPMENT PROJECT MOZAMBIQUE Resettlement Policy Framework I. Executive Summary The Government of Mozambique with financing from IDA and the GEF is proposing a 15 year second phase for the Transfrontier Conservation Areas support programme -- the Transfrontier Conservation Areas and Tourism Development Project. It aims to support the conservation of biodiversity while improving the livelihood of the local communities through economic development, in particular sustainable tourism in five large transfrontier conservation areas (TFCAs) which include both core protected areas and multiple use (Interstitial) areas. In both areas, the local communities are to play an important role in a sustainable management of the natural resources and the development of economic activities. Main project activities will include legal designation of TFCAs, the preparation and implementation of a participatory Integrated Development Plan (IDP) in each TFCA to provide an environmentally sustainable framework for land use planning, natural resource management and development investment within the TFCA, the development of environmentally sound and socially progressive nature tourism and improving the effectiveness of the protected areas (PAs) networks within the TFCAs by improving management capacity and supporting creation of new formal and informal PAs. Key issues relating to community well-being implied in the design, development and implementation of the second phase of the TFCATDP include clarifying the status and rights of people currently residing inside core PAs; the role of IDP with regard to the position of communities living in and around protected areas and other key stakeholders; the poor socio-economic status of communities and importance of the Community and Private Sector-Led Tourism Development component to stimulate local livelihoods development; and, ensuring successful community-based conservation and participation of local NGOs. The development of community managed nature tourism may require land acquisition to build and develop access infrastructure, and buildings. The project may also cause displacement of people from their homes and areas as a result of the threat of wildlife. Presently the location, nature and scope of land acquisition and displacement are not yet known. When, the details of land acquisition and involuntary resettlement are not fully known, a Resettlement Policy Framework (RPF) that establishes the policy principles for the development of specific Resettlement Action Plans (RAPs) is developed for public information and discussion. As, subsequent to the RPF, outlines of different initiatives are known in sufficient detail, a RAP will be developed for each one based on the framework agreed upon in this RPF. 1 TFCA TDP - Draft - Resettlement Policy Framework 210205 Resettlement covers physical displacement and economic displacement. Thus the need for resettlement and compensation refers to the impact of the development causing the loss of, or loss of access to, any assets growing on or permanently affixed to the land, such as shelters, buildings and crops and also to the impact causing loss of or access to an economic resource base or local communities' means of livelihood. Losses may be total or partial. The absence of legal title to use and usufruct of the land does not limit rights to compensation. Preference should be given to land based resettlement strategies for displaced people whose livelihoods are land-based. If sufficient alternative land is not available, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. People affected by PAs should be assisted to improve or restore their livelihoods in a manner that maintains the sustainability of the parks and protected areas. Mitigation actions When an activity entailing land acquisition or/and displacement is identified, alternative designs should be prepared that seek to minimize the impact wherever possible. If the nature and scope of the undertaking demand that an Environmental Impact Assessment (EIA) is undertaken, a scoping phase prior to the EIA will identify the scope and impact of land acquisition required by project. It will also identify likely socio-economic impacts on affected populations, probable impacts related to associated facilities such as work camps, pipelines, transmission lines, etc. that are necessary for its construction or operation, and probable induced impacts, including likelihood of in-migration to the project area. The EIA itself will include a social impact assessment (SIA) that will identify and quantify impacts and the numbers of people affected by the project (PAPs). A socio- economic baseline survey should include a census of all PAPs and provide the basis for estimation of impacts on the population. EIAs require extensive and reported public consultation during preparation. Mitigating action plans are also required to be prepared as part of the EIA. EIA / SIA mitigation plans should outline the procedures used to minimize the negative impacts on the community as whole or on part of it or on single households. Where these require resettlement, these procedures will be defined in detail in a Resettlement Action Plan. If activities carried out by the project cause unavoidable impacts requiring land acquisition the TFCA Unit will conduct a concise Land Acquisition Assessment (LAA). Likewise, in the case of awarded concessions, and once a concession has been demarcated, it should be subject to a Land Acquisition Assessment. The Land Acquisition Assessment is a simple profile of the land to be acquired or awarded as a concession. An abbreviated RAP describes the project activity and actions to minimise resettlement; it provides an officially certified survey of displaced persons, an asset inventory and valuation and, if appropriate, socio-economic survey. It describes in detail the compensation and other resettlement assistance including entitlement to ii TFCA TDP - Draft - Resettlement Policy Framework 210205 participation in alternative livelihoods development activities to be provided. It also describes the results of consultations with displaced people about acceptable alternatives. It must identify institutional responsibility for implementation and procedures for grievance redress, as well as arrangements for implementation and monitoring. An implementation schedule and detailed budget are required. In cases were an activity or sub-project will cause involuntary resettlement or negative impacts on people's livelihoods of a significant scale, the agency responsible will prepare a full RAP for that particular sub-project or activity. The scope and level of detail of the RAP will vary with the magnitude and complexity of the resettlement involved. The organisation and minimum of information required for a RAP should conform to requirements in the World Bank's policies on Involuntary Resettlement OP/BP 4.121 and this Framework. Institutional organisation RAPs will be developed for sub-projects and activities identified for implementation in the IDPs. These cover PAs and buffer zones (MITUR responsibility), and the interstitial areas where DNFFB (MINAG) is responsible for conservation and sustainable community management of natural resources. At provincial level DPA is responsible for land-use delimitation and demarcation (SPGC), and sustainable resource management in interstitial areas (SPFFB). Responsibility for producing the RAP lies with the Project Component lead agency and the TFCA Unit - the Project Authority. A consultant may be contracted to carry out socio-economic studies and an SIA. When contracted the consultant would also be responsible for stakeholder consultation, facilitating and supervising compensation negotiations and agreements and producing the RAP document. Responsibility for resettlement implementation lies with the Project Authority, and it is this that will organise technical support from the district government for site demarcation and land acquisition for resettlement among other things. The Project Authority may contract additional assistance to facilitate resettlement such as contractors for house design and/or construction, consultants to oversee the process and NGOs to facilitate the process with the PAPs. It may be useful to convene a small advisory group of resettlement related specialists who can be called upon to assist the Project Authority in monitoring and preventing negative outcomes during resettlement implementation - particularly in the areas where community relationships with the authorities has been ambivalent in the past. A specific government officer from the Project Authority should be attributed no less than 75% of his/her time to organising and directly supervising resettlement implementation at any given project site, and provided with field facilitators. If this is not possible, one or more NGOs active in the TFCA should be contracted to facilitate the social and organisational aspects of resettlement. The participation of these NGOs in the consultation process required to prepare the RAP would be advantageous. See Annex A. 111 TFCA TDP - Draft - Resettlement Policy Framework 210205 At community level a RAP working group will be set up by each affected Community Planning and Development Forum (CPDF) at zone level with community and local leader membership, while an interzonal RAP working group will be formed from members of the interzonal CPDF, and will include local government representatives of the territorial areas covered. CPDFs will be the key forum for linking community issues, including resettlement and grievances with local government and the TFCA's IDP Coordinator. CPDFs and RAP working groups should be trained and supported by NGOs where possible. At district level the district governments, led by the District Administrator will be responsible for leading a District Resettlement Committee which will report to a Provincial Resettlement Management Group. The IDP Coordinator as a member of the District Resettlement Committee will be the first level link with the Project Authority. Public consultation and grievances A local communication strategy stressing awareness-raising activities about the sub- project and resettlement procedures and entitlements should be planned to be continued throughout preparation and implementation of resettlement in order to reduce misunderstanding and grievances. Communities will be involved in awareness- raising and training concerning their rights and obligations; how to obtain legal advice and representation, and how to seek redress against what they regard as unfair practices by investment partners. Training for technical teams, CPDFs and local leaders in conflict management will also assist in minimizing the negative impact of conflicts. The RAP preparation process is participatory and through consultation during the socio-economic studies and impact assessments potential conflicts and communication channels for grievances should be identified. The consultation process must involve all potentially affected people. During and after implementation individual and group consultation should continue to verify progress in taking up new livelihoods activities and in restoring their lives to the levels they were prior to resettlement. Grievances concerning proposed or actual resettlement arrangements can initially be presented for local customary redress or placed before recognised community courts. Failing resolution, issues may be presented to the local RAP working group for transmission through to the District Resettlement Committee and the IDP Coordinator on behalf of the Project Authority for redress. If this route is not appropriate or the issue is not resolved, it may be formally taken to the Provincial Resettlement Management Group and/or the Provincial Governor. If a community is in conflict with a private-sector developer, the issue will be taken first to a community court. Failing resolution there, it will be taken to the Ministry or agency with titular responsibility for the investment. Provisions to appeal with sectoral grievances to higher levels of government such as National Directors and Ministers exist in most legislation. Should any party be dissatisfied, the grieved party may take the complaint to court where it will be dealt with under Mozambican law. The full costs of resettlement including compensation and mitigating activities are approximately US $ 8,665,280. This figure will be revised during project appraisal. iv TFCA TDP - Draft - Resettlement Policy Framework 210205 The TFCATDP adaptive management model uses monitoring and evaluation as tools to ensure the continued relevance of project direction and activities. Community consultation and participation in the RAP planning process will identify progress and impact indicators. These will be used to formulate the RAP, for participatory monitoring and providing feedback to external monitors during the implementation of the RAP. Communities will also participate in external evaluation of outcomes of resettlement. The activities implied in any written agreements between the Project Authority and community representatives will be jointly monitored and where possible community organizations will be responsible for ensuring the compliance of community members. v TFCA TDP - Draft - Resettlement Policy Framework 210205 1. Project Description and Background The Government of Mozambique with financing from IDA and the GEF is proposing a Transfrontier Conservation Areas and Tourism Development Project (TFCATDP) which represents the second phase of a support programme (the Transfrontier Conservation Areas (TFCA) Programme) which is expected to last approximately 15 years. It aims to support the conservation of biodiversity while improving the livelihood of the local communities through economic development, in particular sustainable tourism in five large transfrontier conservation areas (TFCAs) which include both core protected areas and multiple use (interstitial) areas. In both areas, the local communities are to play an important role in a sustainable management of the natural resources and the development of economic activities. The main mechanisms to achieve these goals will be: 1. Legal designation of TFCAs, including establishment of boundaries; and developing regulations, criteria, procedures and institutional structures for planning, management and development, including a provision for Integrated Development Planning as the guiding framework; 2. The preparation and implementation of locally-led Integrated Development Planning (IDP) in each TFCA, to provide an environmentally sustainable framework for land use planning, natural resource management and development investment within the TFCA. The local communities, through their representatives, will be fully involved in the preparation and implementation of the local IDPs; 3. The development of environmentally sound and socially progressive nature tourism (emphasizing community/private sector partnership), and directly related economic activities in areas with high tourism potential; and 4. Improving the effectiveness of the protected areas (PAs) networks within the TFCAs by: (i) improving the management capacity of the National Directorate for Conservation Areas (DNAC), (ii) improving the organizational and management capacity of the leaders of the local capacities, (iii) expanding or creating new formal PAs, and (iv) supporting the establishment of community reserves and conservation areas (informal PAs) in key areas outside the formal PAs (e.g. corridors, dispersal areas, cultural sites, etc.) Phase II will be guided overall by the tourism policy and strategy in the areas of biodiversity conservation, policy development and harmonization, tourism planning, infrastructure development, private sector and community development. Key issues relating to community well-being implied in the design, development and implementation of the second phase of the TFCA and TD project include: * The controversial issue of the status and rights of people currently residing inside vulnerable core PAs. * Role of Integrated Development Planning and position of communities living in and around protected areas. The importance of a structured, participatory, spatial planning process to develop an agreed-upon common framework for the many different actors and interests. 1 TFCATDP - Draft - Resettlement Policy Framework 210205 * Socio-economic status of communities and importance of the Community and Private Sector-Led Tourism Development component to stimulate local livelihoods development. * Community-based conservation and tourism opportunities and participation of local NGOs. 2. Principles and Objectives Governing Resettlement Preparation and Implementation The TFCATDP endorses and will promote the development of further policies and their implementation to minimize to the extent possible of land acquisition for public interest, and land-use changes that cause adverse socio-economic impacts. It is designed to mitigate as effectively as possible the adverse impacts of unavoidable land acquisition and involuntary resettlement. A key mitigating tool is the project's central focus on a participatory planning and implementation approach supported by an adaptive management model. The TFCATDP is to be implemented in a vast geographical area, on the Mozambican side of three priority TFCAs with the prospect of finalizing arrangements for the establishment of two more. It will eventually include seven parks, reserves and partially protected areas. The TFCA concept and project design promote the development of different sustainable resource use activities in buffer and interstitial zones created around PAs. Through the many project components, implemented via different government sector agencies, the project also explicitly links conservation and tourism development activities to community participation and access to direct and indirect benefits, as well as encourages community land delimitation to strengthen their rights bases. The development of community managed nature tourism may require land acquisition to build and develop infrastructure, and buildings. The project may also cause displacement of people from their homes and areas as a result of the threat of wildlife. Presently the location, nature and scope of land acquisition and displacement are not yet known. Concessions awarded and with land demarcated will be subject to a Land Acquisition Assessment to verify if communities are to be displaced or goods lost as a result of proposed development. This short document will identify the land, communities, land uses and attitudes of the communities towards the concession. Their signed agreement is necessary to assure World Bank agreement to their undertaking resettlement activities. When the details of land acquisition and involuntary resettlement are fully known, a Resettlement Action Plan (RAP) can be defined to provide an implementation guide for the operation. When, however, the details of land acquisition and involuntary resettlement are not fully known, a Resettlement Policy Framework (RPF) that establishes the policy principles for the development of specific RAPs is developed for public information and discussion. As, subsequent to the RPF, outlines of different initiatives are known in sufficient detail, a RAP will be developed for each one based on the framework agreed upon in this RPF. 2 TFCA TDP - Draft - Resettlement Policy Framework 210205 The principles outlined in the World Bank's Operational Policy OP/BP 4.12 are used in preparing the Policy Framework. These principles and the resettlement measures stemming from them will apply to all sub projects of the TFCATDP, whether or not the scale and complexity of resettlement issues require preparation of a RAP. It is widely understood that involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. The Bank's overall policy objectives on involuntary resettlement are the following: * Involuntary resettlement and land acquisition should be minimized of avoided where possible. Where land acquisition is unavoidable, the project will be designed to minimize adverse impacts. * Resettlement activities should be conceived and executed as sustainable development programmes. Sufficient investment resources should be provided to enable the persons displaced by the project to share in project benefits. * Displaced people should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. * Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. The OP 4.12 on Involuntary Resettlement ensures that the population displaced by a project receives benefits from it. This covers those with usufruct or customary rights to the land or other resources taken for the project. The OP is inclusive, ensuring that all those affected both directly and indirectly by project developments are compensated as part of the project. Resettlement covers physical displacement and economic displacement. Thus the need for resettlement and compensation refers to the impact of the development causing the loss of, or loss of access to, any assets growing on or permanently affixed to the land, such as shelters, buildings and crops and also to the impact causing loss of or access to an economic resource base or local communities' means of livelihood. Losses may be total or partial. The absence of legal title to use and usufruct of the land does not limit rights to compensation. Preference should be given to land based resettlement strategies for displaced people whose livelihoods are land-based. If sufficient alternative land is not available, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented. The policy is specific about resettlement in the case of the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. These restrictions include restrictions on the use of resources imposed on people living outside the park or protected area, or on those who continue living inside the park or protected area during and after project implementation. People affected by PAs should be assisted to improve or restore their 3 TFCATDP - Draft - Resettlement Policy Framework 210205 livelihoods in a manner that maintains the sustainability of the parks and protected areas. It should be noted that OP 4.12 does not apply to restrictions of access to natural resources under community-based projects. Thus where the community using the resources decides to restrict access to these resources, provided the community decision-making process is deemed adequate by the Bank, and that it provides for identification of appropriate measures to mitigate any adverse impacts on the vulnerable members of the community these restrictions are not considered involuntary. The need to involve communities in the planning and implementation of interventions that result from these policies is stressed. Conflict resolution mechanisms should be identified as part of the above planning and implementation. Particular attention must be paid to the needs of vulnerable groups, especially those living below the poverty line, the landless, the elderly, women and children, indigenous peoples and ethnic minorities. Implementation of resettlement activities must be linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. Measures required prior to displacement include provision of compensation and of other assistance required for relocation, and preparation and provision of resettlement sites with adequate facilities. The taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons. Cash compensation for lost assets should be paid for livelihood sources that are not land-based. Compensation levels should be sufficient to replace the assets at full replacement cost in local markets. Displaced persons and their communities, and host communities receiving them, should be provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms must be established for these groups. Infrastructure and public services must be provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources should be provided to compensate for the loss of access to community resources such as fishing areas and fuel resource areas. Patterns of community organization appropriate to the new circumstances should be based on choices made by the displaced persons. Resettlement programs will include adequate institutional arrangements to ensure effective and timely design, planning and implementation of resettlement and rehabilitation measures. Adequate arrangements for effective and timely internal and external monitoring will be made on implementation of all resettlement measures. 4 TFCA TDP - Draft - Resettlement Policy Framework 210205 The total cost of resettling approximately 1,140 families is US $ 8,665,280, the details of which may be seen in section 9 below. 3. Legal Framework The Mozambican Constitution (2004) - One of the fundamental principles of the Constitution is that natural resources and means of production are public property of collective interest. Specifically, land belongs to the State, and use rights can only be awarded by the State. Art. 111 clarifies that with insofar as the State awards title to use rights of the land, it also recognises and protects acquired hereditary and occupation rights. However exception is when an area is a legal reserve (i.e. a Protected Zone) or where the land has been legally attributed to another person or entity. Land Law, no 19/1997 provides the basis for defining people's land use rights, providing the details of rights based on customary claims and the procedures for acquisition of title for use and benefits by communities and individuals. The law recommends a consultation-based process that recognizes customary rights as the means for identifying the claims of communities and individual members of communities without title. Art 24 identifies that in rural areas local communities participate in: a) the management of natural resources, b) the resolution of conflicts, c) the process of obtaining title as established in no. 3, of Art. 13 of this law, and d) in the identification and definition of the boundaries of the land they occupy. In the first two activities (...) local communities use among others, customary practices. It defines that the right to use and usufruct of the land may be acquired through occupation by Mozambican individuals who have been using the land in good faith for at least ten years, and by local communities whose right to use and benefit of the land will comply with the principles of co-titularity. It specifies that no land use and benefit rights can be acquired in total and partial protection zones which are considered public domain, however special licences for specific activities may be issued. Zones of total protection are to be used for nature conservation and protection activities or be areas of State defence and security. Indeed, existing rights to use and usufruct of the land may be terminated through revocation of such right for reasons of public interest, after the payment of fair compensation, in which case the non-removable improvements will revert to the State. Compensation for losses incurred as a result of relocation is recommended in the Land Law Regulations 66/1998. Basic compensation guidelines are provided in the form of tables produced and updated by the Provincial Directorate of Agriculture and Rural Development covering the minimum values attributed at the current market value to various annual and tree crops. The guideline for assessing values of houses produced by the Provincial Directorate of Public Works and Housing is based on the Ministerial Diploma 119/1994 of 14th September. 5 TFCATDP - Draft - Resettlement Policy Framework 210205 Forestry and Wildlife Law no 10/1997 - identifies the principles of local community participation in sustainable natural resources management inside as well as outside of PAs. However whereas the Land Law does not permit any use of resources in PAs, the Forestry and Wildlife Law prohibits hunting, agriculture and livestock rearing in national parks which are protected areas, unless otherwise stipulated in a management plan. Indirectly the law recognises the presence of people in PAs when it stipulates that management plans for PAs must be formulated with the collaboration of the local communities. It also emphasises that conservation and sustainable use resources should harmonise with actions of the local authorities within the framework of decentralization. The Regulations for Forestry and Wildlife (Decree no 12/2002), determine communities as having have an inalienable right to draw benefit from conservation that uses land and resources over which they have tenure or hold rights of access and use. * It proposes 20% of concession fees should go to local communities resident in the concession area. * Communities associated with a conservation area have a right to participate in decision making that affects them, their livelihood and wellbeing. * Local Participatory Management Councils (COGEPs) constituted as associations with representation of all stakeholders with interests in the use of natural resources in a given area may be created as a mechanism for articulating and defend participants' interests. The mechanisms for channelling and utilizing the 20% of taxes to benefit local communities and for the delegation of powers in the management of forest and wildlife resources have not yet been created. Until they are, local communities will have difficulties negotiating equitable and optimal agreements regarding alternatives to resource-use restrictions and resettlement considerations. With the view of improving the protection and management of Forest and Wildlife Conservation Areas outside of protected areas, the Forestry and Wildlife policy encourages (i) the creation of autonomous development societies to administer and manage conservation areas with the involvement of private sector and local communities; (ii) revision of the boundaries of parks and reserves, and creation of Transfrontier Conservation Areas through demarcation and development of existing National Parks and Reserves with the involvement of private sector and communities. Tourism - The Presidential Decree 1/2000, creates the Ministry of Tourism and Decree 9/2000 identifies the National Directorate for Conservation Areas (DNAC) as the institution responsible for the overall management of all conservation areas in Mozambique with the main purpose of developing tourism. ]Environmental Law no 20/1997 - defines responsibilities for establishing Environmental Protection Areas to safeguard socio-economic, biodiversity and ecosystems interests. It stipulates that local communities and to a certain extent NGOs and the private sector shall participate in the management of such areas, and will be subject to monitoring and inspection by government. It also identifies prohibited activities as those that may threaten conservation, reproduction, quality and quantity of biological resources. 6 TFCA TDP - Draft - Resettlement Policy Framework 210205 The regulations on Environmental Impact Evaluation (Decree no 45/2004) obligate a project proponent to carry out consultation and public participation particularly in the case of PAPs who's use of natural resources is restricted by a project or physical displacement is implied through the project preparation process. The EIA regulations omit discussion of environmental management plan requirements. In 2000 the Ministry for Coordination of Environmental Affairs (MICOA) produced extensive guidelines on the Criteria for Resettlement of Populations in Rural Areas that were aimed to facilitate the process of resettlement after the floods. The updated Maritime Fisheries Decree, no 43/2003 defines the responsibility for creation of four types of marine protected areas. There are additional fishery-related regulations relevant to the protection of marine resources, the Fisheries Law 3/1990; the regulations for Maritime Fisheries, 16/1996; and the ministerial decree of 23 April 2002 declaring a Moratorium on coral and ornamental fish collection and trade. The Mozambique navy, SAFMAR and MICOA have a compliance role in fisheries management. While there are no specific legal guidelines for the social aspects of resettlement Mozambique's ratification of the International Conventions of the Rights of the Child and Human Rights, Elimination of All Forms of Discrimination Against Women, Mozambique's agenda on Human Settlement and the Labour law define specific rights based on equity and equal opportunity without discrimination to the benefits of private enterprise and investments. All Mozambican guidelines point out the importance of involving the Local Administration (District level and below) in the process of resettlement to ensure it is locally appropriate, and so that government personnel may learn and apply similar procedures to other instances of resettlement in their territory. World Bank policy on involuntary resettlement covers the direct economic and social impacts of the expropriation of land or the restriction of access to natural resources. OP 4.12 describes the coverage of the policy as direct economic and social impacts that result from Bank-assisted investment projects, and are caused by the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. People may lose their ownership, occupancy, or use rights, because of land acquisition or restriction of access in the creation of legally designated parks and protected areas. Restriction of traditional access to resources in legally designated parks and protected areas is an OP 4.12 issue. OP 4.12 is also concerned with conservation schemes (for example, wildlife reserves, national parks, classified forests) that may not acquire land through eminent domain, insofar as their declaration limits access to resources in the protected area and may directly affect livelihoods and incomes. 7 TFCATDP - Draft - Resettlement Policy Framework 210205 Sustainability requirements may mean that local residents stop or reduce their activities, OP 4.12 requires that these residents must be confident that they can find alternative sources of food or livelihoods. The Mozambican Tourism Policy and Strategy endorse the Land Use Planning regulations and Environmental legal framework in supporting this approach to sustainable human development and environmental management. For sector investment operations or sub-projects that may involve involuntary resettlement and where the exact scale of impacts and affected people is not known, the project implementing agency must screen sub-projects through the submission of a. resettlement policy framework prior to appraisal that conforms to OP 4.12. The framework estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs. If financial intermediary operations involve involuntary resettlement a RPF should also be submitted prior to appraisal. The RPF includes an assessment of the institutional capacity and procedures of each of the financial institutions that will be responsible for subproject financing. If resettlement is not foreseen prior to appraisal, but during design or implementation is found to be necessary, the legal agreements specify the obligation of the financial intermediaries to obtain from the potential project proponents a resettlement plan consistent with OP/BP 4.12. Mozambican legislation concerning resettlement is minimal, however it does require payment of compensation and it also automatically triggers the realization of an EIA and thus the production of an environmental management plan. However it makes no distinct reference to a resettlement planning process. In the absence of such guidance, the principles and procedures stipulated in the Bank's OP/BP 4.12 will prevail and supplement all the gaps. For all sub-projects involving resettlement, a draft RAP must be provided to the Bank for approval before the sub-project is accepted for Bank financing. Mozambican Law is unclear as to the status and rights of people living in PAs. People who have spent more than 10 years there do not in fact have rights to use and benefit of the land safeguarded by their period of residence as might be implied by the Land Law. To the contrary, it clearly prohibits any legal rights to use of this land other than those of the State, unless a special license is granted. However local communities can secure a platform for benefit from the Wildlife and Forestry legislation entitling them to benefits from concession fees for use of land in PAs where they are 'local communities', possibilities to participate in the creation of management plans, and the possibility to include certain uses of resources in PAs in the management plans that are prohibited by the Land Law. The nature of the 'special license' identified in the Land Law that could permit use of land in PAs is not clear. The Bank's OP/BP 4.12 focus on access restrictions to resources and their use in PAs. They require that all negative impacts on the livelihoods of people affected by existence of a PA be addressed and treated as 'resettlement'. As such, regardless of legal land tenure status, the Bank considers their losses sufficient entitlement for compensation and where necessary, resettlement as a development-oriented activity is an important mitigation action. While the Mozambican legal framework also requires 8 TFCA TDP - Draft - Resettlement Policy Framework 210205 compensation to be awarded to all people who lose assets to a development project, the loss of access to natural resources is not identified as an entitlement category for compensation in Mozambican legislation. Entitlement assessments should in all areas not mentioned by Mozambican law be guided by the World Bank's OP/BP 4.12. 4. Planning Procedures and Identification of Impacts Minimizing impacts A Process Framework has been prepared for the TFCATDP since it involves involuntary restriction of access to legally designated parks and protected areas. This describes the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts during the design and implementation of the project. The project also includes the design of zoning plans the implementation of which will restrict community use and access to resources in different areas. These will result on the one hand in progressive nature tourism initiatives and other related economic activities carried out by communities in partnership with private sector entities. On the other hand, potential conflicts with wildlife in and around PAs may cause loss of property and the need for local people to relocate to safer areas. The TFCATDP foresees the rehabilitation or provision of priority infrastructure such as roads and lodges in the PAs and surrounding areas which will require the acquisition of land and possibly involuntary displacement. At this stage it is not possible to estimate the scope or even if the activities resulting from these partnerships or infrastructure construction will require relocation or loss of people's assets. When an activity entailing land acquisition or/and displacement is identified, alternative designs should be prepared that seek to minimize the impact wherever possible. All activities implying people's resettlement, tourism infrastructure in rural areas without land use planning for 150 beds or more or covering an area of more than 10 ha.; camp sites in areas larger than five hectares; the creation of national parks, reserves, wildlife management areas and buffer zones, commercial use of wildlife and plants and the introduction of exotic species of these; and particularly, activities planned in environmentally sensitive areas or where there are conflicts of resource use, are required by Mozambican law to have an EIA performed. A scoping phase prior to the EIA will identify the scope and impact of land acquisition required by project. It will also identify other likely impacts on affected populations, probable impacts related to associated facilities such as work camps, pipelines, transmission lines, etc. that are necessary for its construction or operation, and probable induced impacts, including likelihood of in-migration to the project area. The EIA itself will include a social impact component that will identify and quantify impacts and the numbers of people affected by the project (PAPs). A socio-economic baseline survey should include a census of all PAPs and provide the basis for estimation of impacts on the population. EIAs require extensive and reported public consultation during preparation. Mitigating action plans are also required to be prepared as part of the EIA. 9 TFCATDP - Draft - Resettlement Policy Framework 210205 EIA mitigation plans should outline the procedures used to minimize the negative impacts on the community as whole or on part of it or on single households. Where these require resettlement, these procedures will be defined in detail in a Resettlement Action Plan. A social impact assessment with a socio-economic baseline study, and detailed inventory of assets (with photographic records where possible) are also required by for the subsequent preparation of a RAP. OP/BP 4.12 specifies that a full RAP is required if over 200 people must be relocated or if the affected people are not physically displaced but lose over 10% of their assets due to the project. If the impact is less than this an abbreviated resettlement plan should be prepared instead. Land Acquisition Assessment If activities carried out by the project cause unavoidable impacts requiring land acquisition the TFCA Unit will conduct a concise Land Acquisition Assessment (LAA). Likewise, in the case of awarded concessions, once a concession has been demarcated, it should be subject to a LAA. The LAA is a simple profile of the land to be acquired or awarded as a concession. In case of land acquisition, the LAA will identify: (i) the location of the land being acquired; (ii) its size; Its status (public, private, communal, legally protected etc..); (iii) its current use(s) (agriculture, grazing, residential etc...); (iv) the current beneficiary (ies); and (v) how this land is being or planned to be acquired (exchange, donated by the government, voluntarily donated by the communities or individual(s), purchased, etc..). In case of awarded concessions in PAs and buffer zones, in addition to the five points mentioned above, (If local communities are or were among the users of the land, then it is important to record the following: * The attitude of communities vis-A-vis the concession and record whether they have been consulted and informed about it (information and Awareness campaigns); * Whether the communities' land has been delimited; * Whether a certificate of land use was issued to the communities; and * Whether they agree to the use of the land for the purposes of the concession and why they do so. If they agree to the use of the land by a concessionaire, their expectations, their perceptions of their roles in the development and the conditions which they see as pre-requisites to their continuing or improved livelihood status as a result of the concession. If the communities do not agree to the concession, then it will be necessary to return to the concessionaire to redefine its boundaries and/or objectives with relation to the land area. It will be necessary that the Assessment document is signed by all parties involved in the concession implementation including representatives of the communities - whether they have agreed or not to the concession. 10 TFCA TDP - Draft - Resettlement Policy Framework 210205 An independent agent (NGO for instance), or experts from the TFCA Unit should carry out the Land Acquisition Assessment. The author's own comments and observations about the situation will comprise part of a report submitted to the TFCAU and World Bank. It is necessary for the LAA to be signed by the author and the representative of the concerned stakeholders (local authorities, representatives of the communities, including NGOs, TFCA Unit, etc..). The LAA should be approved by the World Bank before resettlement and concession development are initiated. On the basis of the Land Acquisition Assessment the Bank will also advise the MITUR if a full or abbreviated RAP should be prepared or not, and if other remedial actions need to be taken. The submission of the Assessment and approval by the Bank is a condition that must be met prior to approval of the activity / project and the initiation of any works. 5. Mitigation Instruments Whenever a TFCATDP component investment unavoidably entails land acquisition or change in land use that results in adverse effects on residents or users, the responsible agency will develop for public information, discussion and agreement, a full draft or an abbreviated draft RAP to guide implementation of the resettlement operation. Each RAP will accord with the principles and procedures of this Policy Framework. An abbreviated RAP will present: * A description of the project activity and actions to minimise resettlement; * An officially certified survey of displaced persons (census), asset inventory and valuation and, if appropriate, socio-economic survey; * A detailed description of compensation and other resettlement assistance including entitlement to participation in alternative livelihoods development activities to be provided; * Results of consultations with displaced people about acceptable alternatives; * A description of institutional responsibility for implementation and procedures for grievance redress; * Arrangements for implementation and monitoring; and * a timetable and budget detailing all costs, including relocation, compensation, administrative costs and monitoring fees. In cases were an activity or sub-project will cause involuntary resettlement or negative impacts on people's livelihoods of a significant scale, the agency responsible will prepare a full RAP for that particular sub-project or activity. The scope and level of detail of the RAP will vary with the magnitude and complexity of the resettlement involved. The organisation and minimum of information required for a RAP should conform to requirements in OP/BP 4.12 (refer to the policy for full details and requirements), the most important issues that must be covered are the following: (a) The findings of the socio-economic studies carried out as part of the EIA / social impact assessment (SIA) and RAP preparation with the involvement of potentially displaced people. These must include the results of a census of current occupants of the affected area to establish a basis for the eligibility criteria and to exclude 11 TFCA TDP - Draft - Resettlement Policy Framework 210205 subsequent inflows of people from eligibility for compensation and resettlement assistance. Study results should present the socio-economic and cultural characteristics, livelihoods sources and quantified income from formal and informal activities and health of displaced households. Of particular interest in the TFCAs are people's land tenure and transfer systems, an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area. Patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project should be shown, and the formal and informal institutions that may be relevant to the consultation and resettlement strategies. Details of the scale and extent of partial and total physical and economic losses expected for all affected people and vulnerable groups in particular. Since the preparatory process may take a fairly long period, provision must be made to update information on displaced people's livelihoods and standards of living so that the latest information is available at the time of their displacement. (b) Also required is an analysis of the legal framework including relevant laws (land, environment, social welfare, public administration) and steps necessary to recognize legal claims to land-use rights; analysis of the power of eminent domain and the nature of compensation, applicable legal and administrative procedures available to displaced persons in the judicial process, any available alternative dispute resolution mechanisms that may be relevant to resettlement under the project. Gaps between local laws and the Bank's resettlement policy, and the mechanisms to bridge such gaps must be demonstrated. The RAP is a tool to guide implementation of resettlement and to protect the interests of project affected people. It should strive to be as clear and useful as possible. Its elaboration also requires descriptions and operationally oriented analyses of: i. The institutional framework for resettlement implementation: agencies responsible, the role and capacity of NGOs and agencies potentially involved, and steps to enhance capacity where necessary. ii. Eligibility criteria for compensation and other resettlement assistance and relevant cut-off dates. iii. Valuation methodology for assessing losses and description of compensation for losses. iv. Resettlement measures presented as the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy. Resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them. 12 TFCA TDP - Draft - Resettlement Policy Framework 210205 v. Alternative relocation sites considered and justification for selection. A description of the institutional and technical arrangements for identifying and preparing relocation sites comparable to the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources. Discussion of measures necessary to prevent land speculation or influx of ineligible persons at the selected sites, should be accompanied by procedures for physical relocation under the project, including timetables for site preparation and transfer; and the legal arrangements for regularizing tenure and transferring titles to resettlers. vi. Plans to provide adequate housing, infrastructure, and social services to resettlers and host populations. vii. An assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts within and around specific site boundaries. viii. Involvement of resettlers and host communities in preparing the RAP, a summary of their views and choices made regarding resettlement sites and organization of settlement, compensation and assistance, access to cultural property, and a description of the strategy for consultation with and participation of resettlers and hosts in the design and implementation of the resettlement activities. ix. Measures to mitigate the impact of resettlement on host communities, including consultations with host communities and local governments; arrangements for prompt tendering of any payment due the hosts for land or other assets provided to resettlers; arrangements for addressing conflicts that may arise between resettlers and host communities; and measures necessary to augment services in host communities to make them at least comparable to services available to resettlers. x. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; coordination arrangements, measures needed to strengthen the implementing agencies' capacity to carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate. xi. Affordable and accessible grievance procedures for third-party settlement of disputes arising from resettlement should be described taking into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. Displaced people should also be able to communicate their concerns to project authorities throughout planning and implementation, and institutionalized measures to ensure this must be devised. It must be shown how vulnerable groups such as indigenous people, ethnic minorities, the landless, and women will be adequately represented. 13 TFCA TDP - Draft - Resettlement Policy Framework 210205 xii. An implementation schedule covering all resettlement activities from preparation through implementation and indicating how the resettlement activities are linked to the implementation of the overall project. xiii. Costs and budget tables showing itemized cost estimates for all resettlement activities. xiv. Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate by the Bank. Performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed. 6. Institutional and Implementation Arrangements Planning and Implementing agencies MITUR is responsible for tourism development in all PAs, and contains the TFCA unit as the lead agency for implementing the TFCATDP, facilitating the process with implementation partners involved in each component. Local NGOs engaged, under the supervision of the TFCA Unit and DNAC (the institution responsible for management of PAs) for activities such as community mobilization, awareness raising skills training may also be involved in resettlement facilitation. RAPs will be developed for projects and activities identified for implementation in the IDPs. These cover PAs and buffer zones (MITUR responsibility), and the interstitial areas where DNFFB (MINAG) is responsible for conservation and sustainable community management and natural resources. At provincial level DPA is responsible for land-use delimitation and demarcation (SPGC), and sustainable resource management in interstitial areas (SPFFB). ]Responsibility for producing the RAP lies with the Project Component lead agency and the TFCA Unit - the Project Authority. A consultant may be contracted to carry out socio-economic studies and an SIA. When contracted the consultant would also be responsible for stakeholder consultation, facilitating and supervising compensation negotiations and agreements and producing the RAP document. Responsibility for resettlement implementation lies with the Project Authority, and it is this that will organise technical support from the district government for site demarcation and land acquisition for resettlement among other things. The Project Authority may contract additional assistance to facilitate resettlement such as contractors for house design and/or construction, consultants to oversee the process and NGOs to facilitate the process with the PAPs. It may be useful to convene a small advisory group of resettlement related specialists who can be called upon to assist the Project Authority in monitoring and preventing 14 TFCA TDP - Draft - Resettlement Policy Framework 210205 negative outcomes during resettlement implementation - particularly in the areas where community relationships with the authorities has been ambivalent in the past. A specific government officer from the Project Authority should be attributed no less than 75% of his/her time to organising and directly supervising resettlement implementation at any given project site, and provided with field facilitators. If this is not possible, one or more NGOs active in the TFCA should be contracted to facilitate the social and organisational aspects of resettlement. The participation of these NGOs in the consultation process required to prepare the RAP would be advantageous. Implementation arrangements Participation in resettlement planning begins at local level. For projects located in or around each PA, zone CPDFs constituted so that representatives from village councils or committees are included will be the main consultative forums. The consultation process in a given zone will be ratified by interzonal meetings. In this way PA CPDFs will meet and arrive at consensus concerning affected people, resettlement sites and entitlements in a single forum together with buffer zone CPDFs and interstitial zone CPDFs. Working groups set up by this interzonal forum will include RAP working groups. CPDFs at zone level will also create RAP working groups with community and local leader membership, while the interzonal RAP working groups will include local government representatives of the territorial areas covered. Membership of zone CPDFs should aim to have a core of elected members who will be active over a specified period, and regular elections to ensure adequate representativity. Other members and participants should be invited to meetings on an as-needed basis. Invited participants may be specialist technicians, government members, or even representatives of other communities with experiences to share. CPDFs will be the key forum for linking community issues, including resettlement and grievances with local government and the TFCA's IDP Coordinator. CPDFs and RAP working groups should be trained and supported by NGOs where possible. At district level the district governments, led by the District Administrator will be responsible for leading a District Resettlement Committee, a sub-group of the district Stakeholder Group established for coordinating, monitoring, regulating and supervising IDP preparation. The district technical team for IDP planning selected from district government and civil society members based in the district will provide technicians from SPER and from Public Works and Housing to assist in the inventory and evaluation of PAP assets. SPGC technicians will assist with implementation by demarcating resettlement sites and formalising local territorial plans in consultation with SPFFB technicians responsible for ensuring sustainable resource use. Training and capacity development of district technical teams to carry out activities to support RAP preparation will be integral to the process. Their involvement in implementation, monitoring and evaluation of resettlement together with the project authority will assist in maintaining objectivity. If not directly involved in implementation, the district team involved in RAP preparation may be responsible for ensuring compliance with the principles and procedures required for implementation. They will report to the provincial level, and will ensure a copy of all information collected locally is also deposited at the district Development Information Centre. 15 TFCATDP - Draft - Resettlement Policy Framework 210205 RAP preparation and implementation will be made in coordination with the provincial IDP Forum and the Tourism Development Forum, the IDP Coordinator and the Regional TFCA Coordinator2. The provincial IDP Forum may create a Provincial Resettlement Management Group to supervise and assist with strategic decisions concerning resettlement sites, and implementation resources and procedures. Resettlement technical expertise that is not available from district level may need to be drawn from the provincial technical team for planning which includes DIPTUR, DPCA and DPA (SPFFB and SPGC). Intra- and interprovincial coordination will be led by the IDP Coordinator. The provincial governors as leaders of the provincial IDP Planning Forum and thereby of the Provincial Resettlement Management Group will be responsible for ensuring compliance concerning public consultation and disclosure. 7. Public Consultation and Grievance Mechanisms Conflicts or grievances arising from the resettlement planning and implementation process generally arise from poor communication, inadequate or lack of consultation, inadequate flow of accurate information, or restrictions that may be imposed on PAPs. A local communication strategy stressing awareness-raising activities about the sub- project(s) and resettlement procedures and entitlements should be planned to be continued throughout preparation and implementation of resettlement in order to reduce misunderstanding and grievances. To empower communities they will be involved in awareness-raising and training concerning their rights and obligations, how to obtain legal advice and representation, and how to seek redress against what they regard as unfair practices by investment partners. Training for technical teams, CPDFs and local leaders in conflict management will also assist in minimizing the negative impact of conflicts. The RAP preparation process is participatory and through consultation during the socio-economic studies and impact assessments potential conflicts and communication channels for grievances should be identified. The consultation process must involve all potentially affected people. Consultations and negotiations will be carried out with all PAPs who will partially or wholly lose assets as a result of project activities to determine their eligibility and preferences for compensation and participation in alternative livelihood development opportunities. During and after implementation individual and group consultation should continue to verify progress in taking up new livelihoods activities and in restoring their lives to at least the levels they were prior to resettlement. Grievance mechanisms will involve the local community influence leaders in providing a first listening and informal resolution level. These leaders should be involved in the CPDFs' RAP working groups and be involved in creating awareness that they may also be used for the transmission of grievances to these fora for informal resolution. Some land and resource-use related conflicts may be resolved by 2 Note that a consultative or liaison committee will be established for each TFCA by the Regional Coordinator. 16 TFCA TDP - Draft - Resettlement Policy Framework 210205 traditional leaders. If they are beyond their scope, they may be passed on to the local community court where it exists, for resolution if appropriate. If issues and grievances are concerned with relationships with secondary or external stakeholders, and / or are outside the capacity of the community or local authorities to resolve, they should be presented to the CPDF RAP working group for transmission to the interzonal CPDF RAP working group. If the issues are not resolvable at either of these levels, they should be transmitted via the local authorities to the District Resettlement Committee for redress or mediation, and if necessary, on through the Provincial Resettlement Management Group and/or IDP Coordinator to the Regional TFCA Coordinator on behalf of the Project Authority. Communication with the Project Authority may also be carried out directly via community representation on the TFCA Liaison Committee or alternatively through NGO facilitators. Decisions on grievance redress and communication of these to the complainant should be timely at all levels. This will promote greater trust in the communication system and improve attitudes about the project within the community. Information should normally be returned to the community using the same channels as for its initial transmission. The results should be communicated to all other levels and relevant structures at the same time for coordination and awareness purposes. If the community member / group who lodged the complaint is not satisfied with the decision of one of the formally created resettlement management structures or of the Project Authority, then as an ultimate recourse he/she/they may submit it to the Provincial Governor. In cases where conflicts or complaints are directed against governmental agencies, project management or private investors, whenever possible, PAPs and communities will be encouraged to resolve conflicts harmoniously through informal mediation by external agencies, such as NGOs or government officers. When disputes cannot be resolved informally, more formal mechanisms will be required. Where one or more communities is in conflict with a private-sector developer, the issue will be taken first to community courts. Failing resolution there, it will be taken to the Ministry or agency with titular responsibility for the investment. Administrative and Legal Procedures Provisions to appeal with sectoral grievances to higher levels of government such as National Directors and Ministers exist in most legislation. Should any party be dissatisfied, the grieved party may take the complaint to court where it will be dealt with under Mozambican law. In principle, a community can take a concessionaire or licensee to court for not abiding by the terms of an EIA. Ultimately, though not usually practiced, all citizens have the right to address complaints to the Public Prosecutor, the institution responsible for ensuring the law is correctly applied, particularly in the elaboration of territorial management instruments and their implementation. Government ministries represented by respective national and provincial directorates or departments will be called on to participate in planning and implementing resettlement activities. These will include: 17 TFCATDP - Draft - Resettlement Policy Framework 210205 * MITUR (DNAC) will enter into legally binding agreements with communities to provide funding for development projects in exchange for commitments to observe stipulated and agreed to sustainable uses of natural resources. These will have clear indications of validity period (at least three years) and conditions, and identify mechanisms for their enforcement on all parties. * MITUR approves management plans for PAs and is responsible for ensuring compliance. * Provincial Governor declares historical-cultural use zones. * MITUR (DINATUR) is responsible for supervising NGOs contracted for community capacity building and mobilisation. * MITUR / DNAC / TFCAU shall be responsible for providing technical assistance to affected persons during the adjustment period. Such assistance will include administering material grants like food and building materials, where necessary, and providing guidance on identification and development of alternative livelihood strategies. This may be outsourced. * MAE. District Administrations through local authority chiefs and traditional leaders will provide land where compensation shall include land, or where land shall be acquired for infrastructural development or tourist investments. The DA will also take a lead role, usually with assistance from a consultant or NGO in planning and implementing the physical relocation of affected people. * MINAG. (DINAGECA and DPA/SPGC) has the authority to delimit community land and authority to gazette it. The SPGC shall process land acquisition and transfers for title deeds. DPADER/SPER shall provide extension services and technical services for identification and evaluation of PAP's assets, demarcation of plots, and other technical assistance. * MOPH. The DNA and DPOPH/DAS shall be responsible for the development of potable water sources for resettlers and host communities. * Ministry of Education and Culture and MISAU. Teachers and health workers, respectively, shall be provided by these Ministries for infrastructure constructed for resettling and host communities. The TFCAU shall be responsible for coordinating inter-sectoral activities, in collaboration with the provincial IDP Planning Forum, and District Stakeholder Groups. ]Legal procedures for acquiring land, for dispossessing people of their land and property for public interest, and for restricting access to natural resources shall be observed as provided for in the Constitution and laws of Mozambique, and supplemented by this Process Framework. Particular attention during planning and implementation must be paid to the following principles outlined in the Constitution, and environmental, tourism, forestry and wildlife, land and land use laws and regulations: * Consultations with local authorities and affected people must occur before and during project implementation. * Notification of intentions or plans to restrict access to natural resource must be made public as required by the laws and this Framework. 18 TFCA TDP - Draft - Resettlement Policy Framework 210205 * Assets and other losses must be valued. Determination of compensation will be guided by Mozambican law, MINAG and MOPH sector norms and World Bank's O.P. 4.12 on involuntary resettlement. * Determination of alternative livelihood measures will be made by the affected people, with the assistance of the TFCA Unit, DPTUR, DPCA, DPA and NGOs with expertise in the initiative. * Full compensation must be paid to the affected people, and alternative livelihood measures initiated, before TFCATDP activities begin in the affected area. The World Bank must approve and abbreviated or full draft RAP document prior to its implementation. The government is responsible for making a draft RAP available at a place accessible to displaced persons and local NGOs, in a form, manner, and language that are understandable to them for consultation. The RAP is also submitted to the Bank, which makes it available to the public through its InfoShop. Following disclosure and incorporation of feedback into the RAP, and after the Bank has approved the final RAP, it and the government are obliged to disclose it again in the same manner. Any RAP that does not provide a report of public consultation carried out or fully integrates local issues and recommendations will not be approved. 8. Monitoring Arrangements The TFCATDP adaptive management model uses monitoring and evaluation as tools to ensure the continued relevance of project direction and activities. Participatory and other monitoring tools will be developed so that communities participate in verifying the impact of resettlement and alternative livelihoods activities on affected communities and individuals. Community consultation and participation in the RAP planning process will identify progress and impact indicators. These will be used to formulate the RAP, for participatory monitoring and providing feedback to external monitors during the implementation of the RAP. Communities will also participate in external evaluation of outcomes of resettlement. In principle the activities implied in any written agreements between the Project Authority and community representatives will be jointly monitored and where possible community organizations will be responsible for ensuring the compliance of community members. At community level, CPDF resettlement working groups will be the main local structure involved in participatory monitoring, they will also assist in identifying indicators for the RAP that will permit the early identification of vulnerable groups or households so that redress or assistance can be provided. Interzonal CPDF resettlement working groups and any other community management structures linked to local authorities and the provincial IDP Coordinator will be involved in managing monitoring information. Where relevant they will verify and directly respond to local issues revealed through the process or passing the information on to local authorities. 19 TFCA TDP - Draft - Resettlement Policy Framework 210205 The District Resettlement Committee will be responsible for coordinating its members for monitoring, regulating and supervising RAP implementation. Development Information Centres will contain RAP monitoring information managed by the district technical team. District and provincial technical teams will regularly monitor status of vulnerable groups and households through consultation, and where necessary follow- up work with communities and individuals will identify activities and sources of income that can improve their well-being. The TFCATDP Monitoring and Evaluation specialist will be responsible for development and oversight of all monitoring and evaluation activities. The IDP Coordinators will be responsible for monitoring RAP implementation in each province in coordination with the Regional TFCA Coordinator. Via the adaptive management model the quality of monitoring processes should be regularly reviewed and improved. Issues such as leadership, representation, equity, and treatment of individuals vulnerable to specific hardships must be adequately addressed through monitoring. Training of all participants in how to use monitoring and evaluation for adaptive management decisions and how to use it as a basis for good communication flow will be essential for good project management 9. Costs The cost estimate for the implementation of resettlement is based on an approximate cost per family of US $5,600 (S400 management overhead, $2200 NGO contract, $3000 compensation). This calculation is based on consideration of management of the process by the TFCA unit and representatives in the provinces and districts as well as the management costs of NGO facilitators who will be responsible for community liaison, information management and development activities. The figures provided for measures to reduce negative impact include estimated compensation for lost tree and standing crops, replacement of houses and alternative arrangements for lost access to use of natural resources. An estimated amount for external monitoring is also provided. Of the total estimated number of families residing in PAs (7,574) it is calculated that a total of approximately 15% are likely to require resettlement during the next 15 years. The budget table shown below shows the estimated cost per family and the total estimated for the resettlement of approximately 430 families following guidelines in this Resettlement Policy framework. This budget is estimated on the ground of known planned activities in Mozambiques National Parks. As per the Letter of Sector Policy submitted by the Government, should DNAC engage in active management of other protected areas, it is expected that it will apply the Process Framework for its participatory process and the present Policy Framework in case families elect to be displaced. 20 TFCA TDP - Draft - Resettlement Policy Framework 210205 Resettlement budget Approximately 5,600 USD per family DESCRIPTION N' families Total US $ Core management organization, and supervision 1 $ 400 NGO contracts for community capacity development 1 $ 1,810 Conflict resolution solutions (.025% of total) 1 $ 190 Monitoring 1 $ 200 Compensation and mitigation measures 1 $ 3,000 SUB-TOTAL PER FAMILY $ 5,600 Estimated n' families that may require resettlement 430 $ 2,408,000 The 430 families are distributed as follows: Distribution per park per donor National park N' families Total US 5 Donor Limpopo National park 130 S 728,000 KfW Bahine National Park 200 $ 1,120,000 IDA Maputo Special Reserve 100 $ 560,000 IDA TOTAL $ 2,408,000 Estimated costs presented in this Resettlement Policy Framework will be updated and improved during project implementation. 21 TFCA TDP - Draft - Resettlement Policy Framework 210205 -10. Appendices 10.1. A Full RAP Outline Introduction Brief description of the project with a list of project components including associated facilities. Description of project components requiring land acquisition and resettlement with overall estimates of land acquisition and resettlement necessary. Minimizing Resettlement * Efforts made to minimize displacement, the results expected by these and the mechanisms used to minimize displacement during implementation. Census and Socioeconomic Surveys * The results of the census, assets inventories, natural resource assessments, and socioeconomic surveys should be presented. All categories of impacts and people affected should be identified and a summary of consultations on the results of the various surveys with affected people. If there is a need for updates to the census, assets inventories, resource assessments, and socioeconomic surveys, this should be mentioned and planned for as part of RAP monitoring and evaluation. Legal Framework * All relevant Mozambican laws and customs that apply to resettlement and the gaps between the Mozambican laws and World Bank policies should be identified. Project specific legal mechanisms to address conflicts may be covered here. Entitlements * Describe entitlement policies for each category of impact and specify that resettlement implementation will be based on specific provisions of agreed RAP. * Describe method of valuation used for affected structures, land, trees, and other assets. Prepare entitlement matrix. Resettlement Measures and Income Restoration * Are the compensation entitlements sufficient to restore income streams for each category of impact? What additional economic rehabilitation measures are necessary? * Briefly spell out the compensation packages and restoration strategies for each category of impact and describe their institutional, financial, and technical aspects. * Describe the process of consultation with affected populations and their participation in finalizing strategies for income restoration. * How do these strategies vary with the area of impact? * Does income restoration require change in livelihoods, development of alternative farmlands or some other activities that require a substantial amount of training, time for preparation, and implementation. * How are the risks of impoverishment to be addressed? * What are the main institutional and other risks for the smooth implementation of the resettlement programs? 22 TFCA TDP - Draft - Resettlement Policy Framework 210205 * Describe the process for monitoring the effectiveness of the income restoration measures. * Describe any social or community development programs currently operating in or around the project area. If programs exist, do they meet the development priorities of their target communities? Are there opportunities for the project proponent to support new programs or expand existing programs to meet the development priorities of communities in the project area? Resettlement Sites * Does the project require community relocation sites? Have affected people been involved in a participatory process to identify sites, assess advantages and disadvantages of each site, and select preferred sites? * Have the affected people been involved in developing an acceptable strategy for housing replacement? Will new housing be constructed/allocated? * Does the project involve allocation of agricultural land or pasture/rangeland? * Have the individual households that will be allocated lands been involved in identifying potential new sites, and have they explicitly accepted the selected sites? * Describe the specific process of involving affected populations in identifying potential housing sites, assessing advantages and disadvantages, and selecting sites. * Describe the feasibility studies conducted to determine the suitability of the proposed sites, including natural resource assessments (soils and land use capability, vegetation and livestock carrying capacity, water resource surveys) and environmental and social impact assessments of the sites. * Demonstrate that the land quality and area are adequate for allocation to all of the people eligible for allocation of agricultural land. Provide data on land quality and capability, productive potential, and quantity. * Give calculations relating to site requirements and availability. * Describe mechanisms for: 1) procuring, 2) developing and 3) allotting resettlement sites, including the awarding of title or use rights to allotted lands. * Provide detailed description of the arrangements for site development for agriculture, including funding of development costs. * Have the host communities been consulted about the RAP? Have they participated in the identification of likely impacts on their communities, appropriate mitigation measures, and preparation of the RAP? Do the host communities have a share of the resettlement benefits? Housing, Infrastructure and Social Services * Describe plans to provide or to finance resettlers' provision of housing, water supply and access roads infrastructure, and social services such as schools and health services; * Describe plans to ensure comparable services to host populations; * Provide information about any necessary site development, engineering, and architectural designs for these facilities. Environmental protection and management * Describe the boundaries of the relocation area; * Assess the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). Participation and Consultation * Describe the various stakeholders. 23 TFCA TDP - Draft - Resettlement Policy Framework 210205 * Describe the process of promoting consultation/participation of affected populations and stakeholders in resettlement preparation and planning. * Describe the involvement of resettlers and host communities in preparing the RAP, a summary of their views and choices made regarding resettlement sites and organization of settlement, compensation and assistance, access to cultural property. * Describe the process of involving affected populations and other stakeholders in implementation and monitoring. * Describe the plan for disseminating RAP information to affected populations and stakeholders, including information about compensation for lost assets, eligibility for compensation, resettlement assistance, and grievance redress. Measures to mitigate the impact of resettlement on host communities * Describe and report on consultations with host communities and local governments; * Describe arrangements for prompt tendering of any payment due the hosts for land or other assets provided to resettlers; arrangements for addressing conflicts that may arise between resettlers and host communities; and measures necessary to augment services in host communities to make them at least comparable to services available to resettlers. Institutional Arrangements * Describe the institution(s) responsible for delivery of each item/activity in the entitlement policy; implementation of income restoration programs; and coordination of the activities associated with and described in the resettlement action plan. * State how coordination issues will be addressed in cases where resettlement is spread over a number of jurisdictions or where resettlement will be implemented in stages over a long period of time. * Identify the agency that will coordinate all implementing agencies. Does it have the necessary mandate and resources? * Describe the external (non-project) institutions involved in the process of income restoration (land development, land allocation, credit, training) and the mechanisms to ensure adequate performance of these institutions. * Discuss institutional capacity for and commitment to resettlement. * Describe mechanisms for ensuring independent monitoring, evaluation, and audit of the RAP and for ensuring that corrective measures are carried out in a timely fashion. Grievance Redress * Describe the step-by-step process for registering and addressing grievances and provide specific details regarding a cost-free process for registering complaints, response time, and communication modes. * Describe the mechanism for appeal. * Describe the provisions for approaching civil courts if other options fail. Implementation Schedule * List the chronological steps in implementation of the RAP, including identification of agencies responsible for each activity and with a brief explanation of each activity. * Prepare a month-by-month implementation schedule (using a Gantt chart, for example) of activities to be undertaken as part of resettlement implementation. * Describe the linkage between resettlement implementation and initiation of civil works for each of the project components. 24 TFCA TDP - Draft - Resettlement Policy Framework 210205 Costs and Budgets * Provide a clear statement of financial responsibility and authority. * List the sources of funds for resettlement and describe the flow of funds. * Ensure that the budget for resettlement is sufficient and included in the overall project budget. * Identify resettlement costs to be funded by the government and the mechanisms that will be established to ensure coordination of disbursements with the RAP and the project schedule. * Prepare an estimated budget, by cost and by item, for all resettlement costs including planning and implementation, management and administration, monitoring and evaluation, and contingencies. * Describe the specific mechanisms to adjust cost estimates and compensation payments for inflation and currency fluctuations. * Describe the provisions to account for physical and price contingencies. * Describe the financial arrangements for external monitoring and evaluation including the process for awarding and maintenance of contracts for the entire duration of resettlement. Monitoring and Evaluation * Describe the internal/performance monitoring process. * Define key monitoring indicators derived from baseline survey. Provide a list of monitoring indicators that will be used for internal monitoring. * Describe institutional (including financial) arrangements. * Describe frequency of reporting and content for internal monitoring. * Describe process for integrating feedback from internal monitoring into implementation. * Define methodology for external monitoring. * Define key indicators for external monitoring. * Describe frequency of reporting and content for external monitoring. * Describe process for integrating feedback from external monitoring into implementation. * Describe arrangements for final external evaluation. Annexes * Copies of census and survey instruments, interview formats, and any other research tools. * Information on all public consultation including announcements and schedules of public meetings, meeting minutes, and lists of attendees. 25