Kenya - Second Nairobi Sanitation OBA Project : resettlement plan : Resettlement policy framework

 SFG3485 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 ............................................................................................................................. 2 GLOSSARY OF TERMS ............................................................................................................................ 6 DEFINITIONS .......................................................................................................................................... 6 ACRONYMS AND ABBREVIATIONS..................................................................................................... 9 EXECUTIVE SUMMARY .........................................................................................................................10 PROJECT BACKGROUND ............................................................................................................................10 Project Description ..............................................................................................................................10 Reasons for the use of a Resettlement Policy Framework ...................................................................10 Resettlement Requirements ..................................................................................................................11 Purpose of the Resettlement Policy Framework ..................................................................................11 Possible types of Resettlement .............................................................................................................12 LEGISLATIVE FRAMEWORK .......................................................................................................................12 INSTITUTIONAL IMPLEMENTATION ARRANGEMENTS .................................................................................13 Valuation and Compensation ...............................................................................................................13 Preparation and Implementation of RAP .............................................................................................13 Grievance Redress Mechanisms ..........................................................................................................14 Monitoring and Evaluation ..................................................................................................................14 Estimated Budget .................................................................................................................................14 Annual Reporting and Performance Review Requirements .................................................................14 Capacity Building and Training ..........................................................................................................15 Key Highlights of the RPF ...................................................................................................................15 1. INTRODUCTION..............................................................................................................................17 PROJECT CONTEXT ....................................................................................................................................17 OBJECTIVES ...............................................................................................................................................17 JUSTIFICATION FOR THE RPF .....................................................................................................................18 2. PROJECT DESCRIPTION ..............................................................................................................20 WATER AND SANITATION SERVICE IMPROVEMENT PROJECT ....................................................................20 Nairobi Water and Sewerage Institutional Restructuring Project (NWSIRP) .....................................20 OBJECTIVES OF THE PROJECT ....................................................................................................................21 The Kenya Water and Sanitation Service Improvement Project (WaSSIP) .........................................21 Rationale for Continued Bank Involvement .........................................................................................22 PROPOSED PROJECT DEVELOPMENT OBJECTIVE(S) .....................................................................................22 PROJECT COMPONENTS AND RESETTLEMENT IMPLICATIONS ....................................................................23 Rehabilitation and Extension of Water Supply Facilities ....................................................................23 Rehabilitation and Extension of Wastewater and Sanitation Facilities ...............................................23 Institutional Strengthening Program ...................................................................................................23 Investment requirement ........................................................................................................................23 Implementation ....................................................................................................................................24 COMPONENT 1: SUPPORT TO THE ATHI WATER SERVICES BOARD SERVICE AREA ............24 Rehabilitation and Extension of Water Supply Facilities ....................................................................24 Rehabilitation of existing water supply systems ...................................................................................24 Construction of water treatment works and related works in small towns ..........................................24 Extension of water distribution networks and metering .......................................................................24 Improvement and development of new water sources ..........................................................................24 Rehabilitation and Extension of Wastewater and Sanitation Facilities – ............................................25 COMPONENT 2: SUPPORT TO THE COAST WATER SERVICES BOARD SERVICE AREA .........25 2  Rehabilitation and Extension of Water Supply Facilities ....................................................................25 Rehabilitation of existing water supply systems for Mombasa and WSP’s ..........................................25 Construction of Water Supply and related works in small WSP’s .......................................................26 Improvement and development of new water sources ..........................................................................26 COMPONENT 3: SUPPORT TO THE LAKE VICTORIA NORTH WATER SERVICES BOARD (LVNWSB) SERVICE AREA ..................................................................................................................26 Rehabilitation and Extension of Water Supply Facilities ....................................................................26 Rehabilitation of Water Supply Systems ..............................................................................................26 Consulting services for design and supervision ...................................................................................26 Expansion of Water supply Systems. ....................................................................................................26 Butere and Malaba/Malakisi Towns ....................................................................................................27 Rehabilitation and Extension of Wastewater Facilities. ......................................................................27 Mumias town Construction Works. ......................................................................................................27 On site sanitation. ................................................................................................................................27 Malaba-Kocholia Sewerage .................................................................................................................27 Kimilili Town- development of sewerage system .................................................................................27 3. METHODOLOGY AND CONSULTATION ..................................................................................28 DETAILED AND IN-DEPTH LITERATURE REVIEW .........................................................................................28 FIELD VISITS .............................................................................................................................................28 INTERACTIVE DISCUSSIONS .......................................................................................................................28 4. POTENTIAL IMPACTS OF THE PROJECT ...............................................................................29 DEFINITION OF PROJECT AFFECTED PEOPLE (PAPS) .................................................................................29 PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL .............................................................................29 CATEGORIES OF PAPS ...............................................................................................................................29 Affected individuals..............................................................................................................................29 APPROXIMATE NUMBER OF PAPS .............................................................................................................32 Potential relocation areas ....................................................................................................................32 5. PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT PREPARATION AND IMPLEMENTATION .................................................................................................................................33 INVOLUNTARY RESETTLEMENT .................................................................................................................33 PHYSICAL DISPLACEMENT .........................................................................................................................35 ECONOMIC DISPLACEMENT ........................................................................................................................36 6. IMPLEMENTATION ARRANGEMENTS ....................................................................................39 OVERVIEW.................................................................................................................................................39 SPECIFIC ROLES IN THE COMPENSATION PROCEDURE .................................................................................39 (a) Public Participation with the PAPs ................................................................................................39 (b) Notification of land resource holders .............................................................................................39 (c) Documentation of Holdings and Assets ..........................................................................................39 (d) Agreement on Compensation and Preparation of Contracts..........................................................39 (e) Compensation Payments.................................................................................................................40 COMMUNITY COMPENSATION PAYMENTS ..................................................................................................40 INSTITUTIONAL ROLES IN COMPENSATION ................................................................................................40 Ministry of Water and Irrigation (MoWI) ............................................................................................40 Project Coordination Team (PCT) ......................................................................................................40 District authorities ...............................................................................................................................40 District Land Offices ............................................................................................................................41 District Development Committee .........................................................................................................41 Resettlement and Compensation Committees ......................................................................................41 Land Adjudication Boards ...................................................................................................................42 STEPS TO BE FOLLOWED IN LAND ACQUISITION AND RESETTLEMENT FOR THE WASSIP AF PROGRAM INVESTMENT ACTIVITIES ........................................................................................42 The screening process ..........................................................................................................................43 3  Steps leading to preparation of the resettlement action plan ...............................................................45 Public Consultation and Participation ................................................................................................46 7. PROCESS FOR SCREENING, PREPARING AND APPROVING RAPS..................................48 SCREENING FOR INVOLUNTARY RESETTLEMENT........................................................................................48 Screening checklist...............................................................................................................................48 Subproject design .................................................................................................................................49 Baseline and Socio-economic data ......................................................................................................49 PREPARATION OF A SUB-PROJECT RAP......................................................................................................51 GRIEVANCE MECHANISM ..........................................................................................................................52 COMPENSATION AND BENEFITS FOR DISPLACED PERSONS ........................................................................53 CONSULTATION .........................................................................................................................................53 APPROVAL OF RESETTLEMENT ACTION PLANS .........................................................................................53 8. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF AFFECTED PEOPLE .........54 PRINCIPLES ................................................................................................................................................54 ELIGIBILITY CRITERIA ...............................................................................................................................55 ELIGIBILITY FOR COMMUNITY COMPENSATION ........................................................................................59 LOSS OF PROPERTY ....................................................................................................................................59 LOSS OF WAGES AND INCOME ....................................................................................................................59 CUT-OFF DATE ...........................................................................................................................................59 9. COMPARISON OF KENYA LAWS AND WORLD BANK REQUIREMENTS .......................61 OVERVIEW OF NATIONAL LEGISLATION GOVERNING ACQUISITION AND RESETTLEMENT ...................................................................................................................................61 LAND TENURE SYSTEM IN KENYA.............................................................................................................62 Customary Land Tenure ......................................................................................................................62 Freehold Tenure...................................................................................................................................63 Leasehold Tenure .................................................................................................................................63 Public Tenure .......................................................................................................................................63 Public Trust Doctrine: .........................................................................................................................64 Police Powers:-....................................................................................................................................64 Eminent Domain: .................................................................................................................................64 Mining Act............................................................................................................................................64 Physical Planning Act ..........................................................................................................................65 The Forests Act 2005 ...........................................................................................................................65 REQUIREMENTS OF THE WORLD BANK FOR RESETTLEMENT ..................................................65 1. INVOLUNTARY RESETTLEMENT SHOULD BE AVOIDED WHEREVER POSSIBLE, OR MINIMIZED, EXPLORING ALL ALTERNATIVES. ...........................................................................67 2. RESETTLEMENT PROGRAMS SHOULD BE SUSTAINABLE, INCLUDE MEANINGFUL CONSULTATION WITH AFFECTED PARTIES, AND PROVIDE BENEFITS TO THE AFFECTED PARTIES. ..............................................................................................................................67 3. DISPLACED PERSONS SHOULD BE ASSISTED IN IMPROVING LIVELIHOODS ETC, OR AT LEAST RESTORING THEM TO PREVIOUS LEVELS..........................................................67 COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO THE PROCESS ....................................................................................................................................................71 10. METHODS OF VALUING AFFECTED ASSETS .........................................................................72 TYPES OF COMPENSATION PAYMENTS ..........................................................................................72 VALUATION OF ASSETS AND NATIONAL LAW .............................................................................72 VALUATION PROCEDURE ...........................................................................................................................72 Use of Standard Valuation Tables .......................................................................................................72 Preparation of Asset Inventory ............................................................................................................73 Methods of Compensation ....................................................................................................................73 4  Cash Payments .....................................................................................................................................73 VALUATION METHODS ...............................................................................................................................74 Replacement Cost Approach ................................................................................................................74 Gross Current Replacement Cost ........................................................................................................74 Other methods ......................................................................................................................................74 CALCULATION OF COMPENSATION BY ASSETS ...........................................................................................75 Compensation for Land........................................................................................................................75 Land Measurement...............................................................................................................................75 Calculation of Crops Compensation Rate ............................................................................................76 Compensation for Buildings and Structures ........................................................................................77 Compensation for Community Assets...................................................................................................77 Compensation for Sacred Sites ............................................................................................................78 Compensation for Loss of Businesses ..................................................................................................78 Compensation for Cultivated Crops (both cash and subsistence) and Trees .......................................78 Compensation for vegetable gardens and beehives .............................................................................78 Compensation for horticultural, floricultural and fruit trees ...............................................................79 Other domestic fruit and shade trees ...................................................................................................80 11. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT IMPLEMENTATION TO CIVIL WORKS ...........................................................................................................................................82 OVERVIEW.................................................................................................................................................82 PROJECT LAUNCHING.................................................................................................................................82 IMPLEMENTATION SCHEDULE ....................................................................................................................83 12. GRIEVANCES REDRESS MECHANISMS ...................................................................................85 OVERVIEW.................................................................................................................................................85 GRIEVANCE REDRESS PROCESS ..................................................................................................................86 Process .................................................................................................................................................87 Grievance Log......................................................................................................................................88 Monitoring Complaints ........................................................................................................................88 13. RPF IMPLEMENTATION BUDGET .............................................................................................89 14. MECHANISM FOR CONSULTATIONS AND PARTICIPATION OF DISPLACED PERSONS IN PLANNING, IMPLEMENTATION AND MONITORING ...........................................91 OVERVIEW.................................................................................................................................................91 DATA COLLECTING PHASE .........................................................................................................................92 IMPLEMENTATION OPERATION ...................................................................................................................93 MONITORING AND EVALUATION PHASE ....................................................................................................93 15. ARRANGEMENTS FOR MONITORING AND EVALUATION ................................................94 OVERVIEW.................................................................................................................................................94 INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE .....................................................................95 INDICATORS TO MEASURE RAP PERFORMANCE........................................................................................95 MONITORING OF RPF IMPLEMENTATION ...................................................................................................97 Storage of PAPs Details .......................................................................................................................98 Annual Audit ........................................................................................................................................99 SOCIO-ECONOMIC MONITORING.................................................................................................................99 ANNEX .......................................................................................................................................................100 ANNEX A: SAMPLE RESETTLEMENT SCREENING FORM ..........................................................100 ANNEX B: CENSUS AND LAND ASSET INVENTORY FORM .......................................................102 ANNEX C: SAMPLE GRIEVANCE REDRESS FORM .......................................................................106 ANNEX D: TERMS OF REFERENCE FOR RPF FOR WASSIP AF .....................................................................107 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