Kenya - Additional Financing for the Water and Sanitation Services Improvement Project : resettlement policy framework

THE GOVERNMENT OF KENYA MINISTRY OF WATER AND IRRIGATION WATER & SANITATION SERVICE IMPROVEMENT PROJECT (WASSIP AF) RESETTLEMENT POLICY FRAMEWORK (RPF) FINAL REPORT December, 2011 Prepared By;  Table of ContentS TABLE OF CONTENTS ........................................................................................................................... 23 GLOSSARY OF TERMS .......................................................................................................................... 67 DEFINITIONS ........................................................................................................................................ 67 ACRONYMS AND ABBREVIATIONS................................................................................................. 910 EXECUTIVE SUMMARY .................................................................................................................... 1011 PROJECT BACKGROUND ....................................................................................................................... 1011 Project Description ......................................................................................................................... 1011 Reasons for the use of a Resettlement Policy Framework .............................................................. 1011 Resettlement Requirements ............................................................................................................. 1112 Purpose of the Resettlement Policy Framework ............................................................................. 1112 Possible types of Resettlement ........................................................................................................ 1213 LEGISLATIVE FRAMEWORK .................................................................................................................. 1213 INSTITUTIONAL IMPLEMENTATION ARRANGEMENTS ............................................................................ 1314 Valuation and Compensation.......................................................................................................... 1314 Preparation and Implementation of RAP........................................................................................ 1314 Grievance Redress Mechanisms ..................................................................................................... 1415 Monitoring and Evaluation............................................................................................................. 1415 Estimated Budget ............................................................................................................................ 1415 Annual Reporting and Performance Review Requirements ............................................................ 1415 Capacity Building and Training ..................................................................................................... 1516 Key Highlights of the RPF .............................................................................................................. 1516 1. INTRODUCTION......................................................................................................................... 1718 PROJECT CONTEXT ............................................................................................................................... 1718 OBJECTIVES .......................................................................................................................................... 1819 JUSTIFICATION FOR THE RPF................................................................................................................ 1819 2. PROJECT DESCRIPTION ......................................................................................................... 2021 WATER AND SANITATION SERVICE IMPROVEMENT PROJECT ............................................................... 2021 Nairobi Water and Sewerage Institutional Restructuring Project (NWSIRP) ................................ 2021 OBJECTIVES OF THE PROJECT ............................................................................................................... 2122 The Kenya Water and Sanitation Service Improvement Project (WaSSIP) .................................... 2122 Rationale for Continued Bank Involvement .................................................................................... 2223 PROPOSED PROJECT DEVELOPMENT OBJECTIVE(S)................................................................................ 2223 PROJECT COMPONENTS AND RESETTLEMENT IMPLICATIONS ............................................................... 2324 Rehabilitation and Extension of Water Supply Facilities ............................................................... 2324 Rehabilitation and Extension of Wastewater and Sanitation Facilities .......................................... 2324 Institutional Strengthening Program .............................................................................................. 2324 Investment requirement................................................................................................................... 2324 Implementation ............................................................................................................................... 2425 COMPONENT 1: SUPPORT TO THE ATHI WATER SERVICES BOARD SERVICE AREA ..... 2425 Rehabilitation and Extension of Water Supply Facilities ............................................................... 2425 Rehabilitation of existing water supply systems.............................................................................. 2425 Construction of water treatment works and related works in small towns ..................................... 2425 Extension of water distribution networks and metering.................................................................. 2425 Improvement and development of new water sources..................................................................... 2425 Rehabilitation and Extension of Wastewater and Sanitation Facilities – ....................................... 2526 2  COMPONENT 2: SUPPORT TO THE COAST WATER SERVICES BOARD SERVICE AREA.. 2526 Rehabilitation and Extension of Water Supply Facilities ............................................................... 2526 Rehabilitation of existing water supply systems for Mombasa and WSP’s..................................... 2526 Construction of Water Supply and related works in small WSP’s .................................................. 2627 Improvement and development of new water sources..................................................................... 2627 COMPONENT 3: SUPPORT TO THE LAKE VICTORIA NORTH WATER SERVICES BOARD (LVNWSB) SERVICE AREA ............................................................................................................ 2627 Rehabilitation and Extension of Water Supply Facilities ............................................................... 2627 Rehabilitation of Water Supply Systems ......................................................................................... 2627 Consulting services for design and supervision.............................................................................. 2627 Expansion of Water supply Systems................................................................................................ 2627 Butere and Malaba/Malakisi Towns ............................................................................................... 2728 Rehabilitation and Extension of Wastewater Facilities. ................................................................. 2728 Mumias town Construction Works. ................................................................................................. 2728 On site sanitation. ........................................................................................................................... 2728 Malaba-Kocholia Sewerage............................................................................................................ 2728 Kimilili Town- development of sewerage system ............................................................................ 2728 3. METHODOLOGY AND CONSULTATION............................................................................. 2829 DETAILED AND IN-DEPTH LITERATURE REVIEW .................................................................................... 2829 FIELD VISITS ........................................................................................................................................ 2829 INTERACTIVE DISCUSSIONS .................................................................................................................. 2829 4. POTENTIAL IMPACTS OF THE PROJECT .......................................................................... 2930 DEFINITION OF PROJECT AFFECTED PEOPLE (PAPS)............................................................................ 2930 PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL ........................................................................ 2930 CATEGORIES OF PAPS .......................................................................................................................... 2930 Affected individuals......................................................................................................................... 2930 APPROXIMATE NUMBER OF PAPS ........................................................................................................ 3233 Potential relocation areas............................................................................................................... 3233 5. PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT PREPARATION AND IMPLEMENTATION ............................................................................................................................ 3334 INVOLUNTARY RESETTLEMENT ............................................................................................................ 3334 PHYSICAL DISPLACEMENT .................................................................................................................... 3536 ECONOMIC DISPLACEMENT ................................................................................................................... 3637 6. IMPLEMENTATION ARRANGEMENTS ............................................................................... 3940 OVERVIEW............................................................................................................................................ 3940 SPECIFIC ROLES IN THE COMPENSATION PROCEDURE ............................................................................ 3940 (a) Public Participation with the PAPs........................................................................................... 3940 (b) Notification of land resource holders........................................................................................ 3940 (c) Documentation of Holdings and Assets ..................................................................................... 3940 (d) Agreement on Compensation and Preparation of Contracts..................................................... 3940 (e) Compensation Payments............................................................................................................ 4041 COMMUNITY COMPENSATION PAYMENTS ............................................................................................. 4041 INSTITUTIONAL ROLES IN COMPENSATION ........................................................................................... 4041 Ministry of Water and Irrigation (MoWI) ....................................................................................... 4041 Project Coordination Team (PCT) ................................................................................................. 4041 District authorities .......................................................................................................................... 4041 District Land Offices....................................................................................................................... 4142 District Development Committee .................................................................................................... 4142 Resettlement and Compensation Committees ................................................................................. 4142 Land Adjudication Boards .............................................................................................................. 4243 STEPS TO BE FOLLOWED IN LAND ACQUISITION AND RESETTLEMENT FOR THE WASSIP AF PROGRAM INVESTMENT ACTIVITIES .................................................................................. 4243 3  The screening process..................................................................................................................... 4344 Steps leading to preparation of the resettlement action plan.......................................................... 4546 Public Consultation and Participation ........................................................................................... 4647 7. PROCESS FOR SCREENING, PREPARING AND APPROVING RAPS............................. 4849 SCREENING FOR INVOLUNTARY RESETTLEMENT................................................................................... 4849 Screening checklist.......................................................................................................................... 4849 Subproject design............................................................................................................................ 4950 Baseline and Socio-economic data ................................................................................................. 4950 PREPARATION OF A SUB-PROJECT RAP................................................................................................. 5152 GRIEVANCE MECHANISM ..................................................................................................................... 5253 COMPENSATION AND BENEFITS FOR DISPLACED PERSONS ................................................................... 5354 CONSULTATION .................................................................................................................................... 5354 APPROVAL OF RESETTLEMENT ACTION PLANS .................................................................................... 5354 8. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF AFFECTED PEOPLE .... 5455 PRINCIPLES ........................................................................................................................................... 5455 ELIGIBILITY CRITERIA .......................................................................................................................... 5556 ELIGIBILITY FOR COMMUNITY COMPENSATION ................................................................................... 5960 LOSS OF PROPERTY ............................................................................................................................... 5960 LOSS OF WAGES AND INCOME ............................................................................................................... 5960 CUT-OFF DATE ...................................................................................................................................... 5960 9. COMPARISON OF KENYA LAWS AND WORLD BANK REQUIREMENTS .................. 6162 OVERVIEW OF NATIONAL LEGISLATION GOVERNING ACQUISITION AND RESETTLEMENT .............................................................................................................................. 6162 LAND TENURE SYSTEM IN KENYA........................................................................................................ 6263 Customary Land Tenure ................................................................................................................. 6263 Freehold Tenure.............................................................................................................................. 6364 Leasehold Tenure............................................................................................................................ 6364 Public Tenure.................................................................................................................................. 6364 Public Trust Doctrine: .................................................................................................................... 6465 Police Powers:-............................................................................................................................... 6465 Eminent Domain: ............................................................................................................................ 6465 Mining Act....................................................................................................................................... 6465 Physical Planning Act..................................................................................................................... 6566 The Forests Act 2005 ...................................................................................................................... 6566 REQUIREMENTS OF THE WORLD BANK FOR RESETTLEMENT ........................................... 6566 1. INVOLUNTARY RESETTLEMENT SHOULD BE AVOIDED WHEREVER POSSIBLE, OR MINIMIZED, EXPLORING ALL ALTERNATIVES. ...................................................................... 6768 2. RESETTLEMENT PROGRAMS SHOULD BE SUSTAINABLE, INCLUDE MEANINGFUL CONSULTATION WITH AFFECTED PARTIES, AND PROVIDE BENEFITS TO THE AFFECTED PARTIES. ......................................................................................................................... 6768 3. DISPLACED PERSONS SHOULD BE ASSISTED IN IMPROVING LIVELIHOODS ETC, OR AT LEAST RESTORING THEM TO PREVIOUS LEVELS..................................................... 6768 COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO THE PROCESS ............................................................................................................................................... 7172 10. METHODS OF VALUING AFFECTED ASSETS.................................................................... 7273 TYPES OF COMPENSATION PAYMENTS .................................................................................... 7273 VALUATION OF ASSETS AND NATIONAL LAW ....................................................................... 7273 VALUATION PROCEDURE ...................................................................................................................... 7273 Use of Standard Valuation Tables .................................................................................................. 7273 4  Preparation of Asset Inventory ....................................................................................................... 7374 Methods of Compensation............................................................................................................... 7374 Cash Payments................................................................................................................................ 7374 VALUATION METHODS .......................................................................................................................... 7475 Replacement Cost Approach........................................................................................................... 7475 Gross Current Replacement Cost ................................................................................................... 7475 Other methods................................................................................................................................. 7475 CALCULATION OF COMPENSATION BY ASSETS ...................................................................................... 7576 Compensation for Land................................................................................................................... 7576 Land Measurement.......................................................................................................................... 7576 Calculation of Crops Compensation Rate....................................................................................... 7677 Compensation for Buildings and Structures ................................................................................... 7778 Compensation for Community Assets.............................................................................................. 7778 Compensation for Sacred Sites ....................................................................................................... 7778 Compensation for Loss of Businesses ............................................................................................. 7879 Compensation for Cultivated Crops (both cash and subsistence) and Trees.................................. 7879 Compensation for vegetable gardens and beehives ........................................................................ 7879 Compensation for horticultural, floricultural and fruit trees.......................................................... 7879 Other domestic fruit and shade trees .............................................................................................. 7980 11. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT IMPLEMENTATION TO CIVIL WORKS ...................................................................................................................................... 8283 OVERVIEW............................................................................................................................................ 8283 PROJECT LAUNCHING............................................................................................................................ 8283 IMPLEMENTATION SCHEDULE ............................................................................................................... 8384 12. GRIEVANCES REDRESS MECHANISMS.............................................................................. 8586 OVERVIEW............................................................................................................................................ 8586 GRIEVANCE REDRESS PROCESS ............................................................................................................. 8687 Process............................................................................................................................................ 8788 Grievance Log................................................................................................................................. 8889 Monitoring Complaints................................................................................................................... 8889 13. RPF IMPLEMENTATION BUDGET ........................................................................................ 8990 14. MECHANISM FOR CONSULTATIONS AND PARTICIPATION OF DISPLACED PERSONS IN PLANNING, IMPLEMENTATION AND MONITORING ...................................... 9192 OVERVIEW............................................................................................................................................ 9192 DATA COLLECTING PHASE .................................................................................................................... 9293 IMPLEMENTATION OPERATION .............................................................................................................. 9394 MONITORING AND EVALUATION PHASE ............................................................................................... 9394 15. ARRANGEMENTS FOR MONITORING AND EVALUATION ........................................... 9495 OVERVIEW............................................................................................................................................ 9495 INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE ................................................................ 9596 INDICATORS TO MEASURE RAP PERFORMANCE .................................................................................. 9596 MONITORING OF RPF IMPLEMENTATION.............................................................................................. 9798 Storage of PAPs Details.................................................................................................................. 9899 Annual Audit ..................................................................................................................................99100 SOCIO-ECONOMIC MONITORING...........................................................................................................99100 ANNEX.................................................................................................................................................100101 ANNEX A: SAMPLE RESETTLEMENT SCREENING FORM ...................................................100101 ANNEX B: CENSUS AND LAND ASSET INVENTORY FORM ................................................102103 ANNEX C: SAMPLE GRIEVANCE REDRESS FORM ................................................................106107 ANNEX D: TERMS OF REFERENCE FOR RPF FOR WASSIP AF ...............................................................107108 5  GLOSSARY OF TERMS DEFINITIONS Unless the context dictates otherwise, the following terms will have the following meanings: “Replacement cost for houses and other structures