RP470 I s k MUNICIPIO DE MAPUTO CONSELHO MUNICIPAL MAPUTO MUNICIPAL DEVELOPMENT PROGRAM MOZAMBIQUE Resettlement Policy Framework October 18th, 2006 Resettlement Policy Framework List of Abbreviations AIDS Acquired Immunodeficiency Syndrome APIE Administration for State Property / Administra do do Parque de Imobiliairio do Estado APL Adaptable Programme Loan BP Bank Policy CBO Community based organization CMM Maputo Municipal Council / Conselho Municipal de Maputo DC Cadastre Department / Departamento de Cadastro DGA Environmental Management Department / Departamento de Gestdo Ambiental DM Municipal District / Distrito Municipal DPU Urban Planning Department / Departamento de Planifica,ao Urbana DUC Urbanization and Construction Department / Departamento de Construcdo e Urbanizacdo EA Environmental Assessment EIA Environmental Impact Assessment GDEI Office for Institutional and Strategic Development / Gabinete de Desenvolvimento Estrategico e Institucional GIS Geographic Information System GOM Government of Mozambique HIV Human Immunodeficiency Virus IDA International Development Association LAA Land Acquisition Assessment MAE Ministry of State Administration / Ministerio de Administra,do Estatal MICOA Ministry for Coordination of Environmental Affairs / Ministerio para Coordena,co de AcCdo Ambiental MISAU Ministry of Health / Ministerio de Saude MOPH Ministry of Public Works and Housing / Ministerio das Obras Ptiblicas e Habita,cdo NGO Non governmental organisation OP Operational Policy PDMM Maputo Municipal Development Programme / Programa de Desenvolvimento do Municipio de Maputo RAP Resettlement Action Plan RC Resettlement Committee RPF Resettlement Policy Framework SIA Social Impact Assessment i Resettlement Policy Framework Table of Contents I. EXECUTIVE SUMMARY ..................... ....................................................I 1. INTRODUCTION .......... ..............................................................................1 2. PROJECT DESCRIPTION ........................................................1 3. POTENTIAL IMPACTS OF THE PROJECT .....................................4 4. PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT POLICY FRAMEWORK PREPARATION AND IMPLEMENTATION ........................5 5. THE PROCESS FOR PREPARING AND APPROVING RESETTLEMENT PLANS .............8 6. ELIGIBILITY CRITERIA FOR DEFINING CATEGORIES OF PEOPLE AFFECTED BY THE PROJECT ............................................................................................18 7. LEGAL FRAMEWORK: A REVIEW OF THE LAWS AND REGULATIONS OF MOZAMBIQUE AND WORLD BANK POLICY REQUIREMENTS AND THE PROPOSED MEASURES TO BRIDGE THE GAPS BETWEEN THEM ...................................................... 21 8. METHOD FOR VALUING AFFECTED ASSETS ..................................................................... 27 9. ORGANISATIONAL PROCEDURES FOR DELIVERY OF REQUIREMENTS ......... 30 10. THE IMPLEMENTATION PROCESS LINKING RESETTLEMENT IMPLEMENTATION AND CIVIL WORKS .........................................................................................33 11. GRIEVANCE REDRESS MECHANISMS ....................................................................... 36 12. ARRANGEMENTS FOR FUNDING RESETTLEMENT .......................... 38 13. THE MECHANISMS FOR CONSULTATION AND PARTICIPATION OF DISPLACED PEOPLE IN PLANNING, IMPLEMENTATION, AND MONITORING ............... 39 14. MONITORING AND EVALUATION ARRANGEMENTS ......................... 41 11. APPENDICES ................................................................................................. 44 10. 1. A FULL RAP OUTLINE. . ......................................................... 44 10.2 LIST OF FUNCTIONS OF THE OFFICER RESPONSIBLE FOR RESETTLEMENT IN THE ENVIRONMENTAL MANAGEMENT DEPARTMENT . ................................................... 48 10.3 LIST OF PEOPLE CONSULTED DURING RPF PREPARATION ...............................50 10.4 INSTITUTIONAL ORGANIZATION AND OVERVIEW OF RESPONSIBILITIES FOR RESETTLEMENT .... 51 ii Resettlement Policy Framework MAPUTO MUNICIPAL DEVELOPMENT PROGRAM MOZAMBIQUE Resettlement Policy Framework I. Executive Summary The Municipal Council of Maputo with financing from an Adaptable Programme Loan (APL) comprising a two phase IDA Credit, is preparing an eight year Maputo Municipal Development Programme. It aims to support implementation of the Municipal Council's 10 year widely inclusive and ambitious proposal to improve municipal governance through restructuring and improving accountability, improve municipal planning capacity, services and infrastructure. The IDA credit will be used to provide funds in two phases: the first for three years of priority urban development planning and capacity development with a few investments in rapid impact infrastructure and service improvements, and the second for five years which will consolidate the initial capacity development, emphasising deconcentration of services, improved governance, and scaling up infrastructure investments. Municipal citizens are to play an important role in developing municipal plans for land-use, urbanisation, and service and infrastructure management. The Council has already started to involve its citizens in an iterative process used to develop a more open governance style, beginning with consultations during the Mayor's election process and then refined through a process of diagnostic analysis of the Council and its governance relationships. The Programme focuses initially on developing a communication strategy that will prepare the mechanisms for a wide and productive flow of information between the Municipal Council and the urban citizens, particularly those with less resources living in peri-urban areas. Using this and a more flexible and better structured management system, in the longer term citizens will become directly involved in partnerships, monitoring and ensuring the sustainable management of urban services, responsive governance, and the upgrading of living conditions and public facilities. Main Programme activities include an institutional and organizational development component aiming at rationalizing the municipality's internal processes for service delivery, improving the performance of the municipality's functional units and improving governance. A component on revenue and expenditure reforms aims to improve municipal financial performance, increase income and budget management. A third component will support urban planning and targeted investments to improve and rehabilitate critical urban services. This will be carried out in two main ways: by improving the planning and management of urban space and by strengthening service delivery in priority sectors. Key issues relating to community well-being implied in the design, development and implementation of the Maputo Municipal Development Programme include: a) clarification of the role of municipal authorities in relation to the central and provincial governments that also have jurisdiction extension over Maputo; b) the i Resettlement Policy Framework emphasis on development of a systematic communication strategy to secure effective stakeholder participation in developing and implementing the Programme, greater participation in sub-municipal governance, and broad-based buy-in by municipal stakeholders to help sustain political commitment; c) institutionalising participatory spatial planning linking governance reform with the gradual deconcentration of selected services to the districts; d) decentralization of some very basic functions to the Municipal Districts. This Resettlement Policy Framework covers the first and second phases of the Municipal Development Programme. In Phase I only the development of a cemetery is likely to cause displacement of people from their homes and livelihood sources. Phase II will focus on broader improvements of living conditions and use of urban space and services. This may cause larger scale displacement and land use rights may have to be acquired for larger scale construction works and possibly for displaced people's resettlement. Presently the location, nature and scope of displacement are not yet known. When, the details of involuntary resettlement and acquisition of land use rights 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, when deemed relevant, a RAP will be developed for each one based on the framework agreed upon in this RPF. 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, businesses, 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. According to World Bank policy the absence of legal title to use and benefit from the land does not limit rights to compensation. The Bank also emphasises that land-based resettlement strategies should be used for displaced people whose livelihoods are land-based. In the case of Mozambique this must be interpreted as access to land for use for livelihood support, thus if sufficient alternative land is not available, other options built around opportunities for employment or self-employment should be provided in addition to cash compensation for assets lost. Encroachment on project sites during prolonged planning processes is becoming common in Maputo. Houses, businesses and other structures - some temporary others permanent, as well cultivation in open areas are common. People displaced by PDMM developments should be assisted to improve or restore their livelihoods in a manner that maintains the sustainability of their interaction with the economic resources available to them. Mitigation actions A preliminary review carried out for the preparation of this Resettlement Policy Framework has identified that in Phase I potential displacement is only likely at a low ii Resettlement Policy Framework level at a cemetery development site but may occur on a very minor scale at other sites. The costs of resettlement can add significant amounts to project budgets and wherever possible resettlement should be avoided. Where it is not possible to choose another location alignment of boundaries for a project, activities should be defined so that the least amount of people is affected without affecting the viability of the project. The PDMM includes inputs to the design of zoning and detailed land-use plans the implementation of which will define community use and access to economic resources in different areas. Urban land-use changes may cause loss of property and the need for local residents to relocate to other areas. It may marginalise some of the weaker members of households affected by these changes who are unable to take up the alternatives offered easily. Planning together with local people should identify vulnerable people and address their needs as early as possible in the project preparation process. If plans to improve low-income areas of the city can incorporate the resettlement that may be necessary into the direct benefits of the Programme, resettlement solutions may include voluntary relocation as part of a location's social uplift programme. When an activity that causes displacement is identified, alternative designs must be prepared to minimize the impact wherever possible. If activities carried out by a project unavoidably cause displacement or require the acquisition of land use rights the CMM should conduct a concise Land Acquisition Assessment (LAA) as a screening mechanism to identify if resettlement planning will be required. Although this World Bank requirement is not legally applicable in Mozambique since land cannot be acquired, the screening process is a useful mechanism for a project where the enforcement of Municipal land use rights is likely to cause displacement of local people, and it is an obligatory World Bank requirement. Thus where encroachment over the past few years means that physical and/or economic displacement will occur, an adapted simple LAA can be incorporated into the screening process to be used for these projects. If this screening device detects the likelihood of displacement then it must be submitted to the World Bank for identification of what type of resettlement planning will be necessary. This RPF and World Bank policy OP 4.12 will be used to guide the development of an action plan. Under Mozambican law all projects must be screened using a standard checklist to identify whether an environmental assessment (EA) is necessary. Should screening identify the displacement of any people, this fact will necessitate an EA. A simple EA or more complex Environmental Impact Assessment (EIA) may be undertaken depending on the nature and size of the potential environmental and social impacts. In all cases a scoping phase to define the terms of reference for the EIA will identify the scale of displacement likely to be caused by a project and general potential impacts of this. The EIA will present details of likely socio-economic impacts on people of project development and any associated facilities required for construction or operation. It will also identify 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 or displaced by the project. A iii Resettlement Policy Framework socio-economic baseline survey should include a census of all displaced people 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, according to World Bank requirements, these procedures will be defined in detail in a Resettlement Action Plan (RAP). If in Phase II concessions involving land use rights acquisition are awarded for example, once a concession has been demarcated, it should be subject to a Land Acquisition Assessment. An abbreviated RAP is used if the scale of resettlement is low. It 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, a socio- economic survey. It describes in detail the compensation and other resettlement assistance including entitlement to 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 where an activity or project will cause involuntary resettlement or negative impacts on people's livelihoods of a significant scale, the CMM will prepare a full RAP for that particular project or activity. The scope and level of detail of a 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 Screening Screening of a project that may require resettlement planning is initiated by the municipal department or other agency responsible for proposing the project. In Phase I this may include the Cemetery Management Department of the Municipal Council (CMM), the Transport Department, and the Solid Waste Management Department. In Phase II there will be broader involvement of the Municipal Markets and Fairs Department and Urban Planning Department as projects developed by them trigger resettlement activities. Two simple checklists must be completed, one for the World Bank and another for the Ministry for Coordination of Environmental Action. Once completed the Environmental Management Department of the CMM will ensure that if any displacement is registered, the checklists are submitted to the World Bank and MICOA respectively. Also see Annex 10.1. iv Resettlement Policy Framework RAP development Responsibility for ensuring the production of a RAP lies with the Environmental Management Department delegated by the Programme Authority, the Office for Institutional and Strategic Development (GDEI). A consultant may be contracted to carry out socio-economic studies, an SIA and the RAP. The consultant would be responsible for stakeholder consultation, facilitating and supervising compensation negotiations and agreements and producing the draft RAP document. The Phase I consultants would also be involved in developing capacity of municipal personnel responsible for resettlement in the Environmental Management Department. Resettlement implementation Responsibility for resettlement implementation lies with the Programme Authority, which will task the Environmental Management Department to organise technical support from the various municipal departments for site demarcation and acquisition of use rights for land for resettlement if necessary. The Environmental Management Department may on behalf of the Programme Authority contract additional assistance to facilitate resettlement such as contractors for house design and/or construction, consultants to oversee the process and facilitators of the consultation, compensation negotiation and resettlement processes with the displaced people. It may be useful to convene a small advisory group of resettlement specialists who can be called upon to assist the Programme Authority and the municipal technical departments in monitoring and preventing negative outcomes during resettlement implementation. The Environmental Management Department (DGA) is expected to be created and its capacity built during Phase I. It is recommended that capacity is also developed in the Environmental Management Department to supervise and manage the social inputs to the resettlement process during Phase I of the Programme. Until capacity is developed in the Environmental Management Department to manage the social aspects of resettlement, the RAP consultants in Phase I and the resettlement advisory group may help provide inputs and special guidance in these aspects to the Department. A specific person in the Environmental Management Department should be designated by the Programme Authority and attributed no less than 75% of his/her time to organising and directly supervising resettlement implementation at project sites, and be provided with field facilitators. If this is not possible, other facilitators active in the city should be contracted to carry out the social and organisational aspects of resettlement. The participation of the same facilitators in the consultation process required to prepare the RAP would be advantageous. At community level a resettlement committee should be established to represent the interests of those who will be displaced. The local Resettlement Committee (RC) will be identified by the local Neighbourhood (bairro) Collective and include a sub-group of its members as well as other trusted local influence leaders and representatives of the displaced people. It will be a key forum for linking community issues, including resettlement and grievances with the social facilitator, the Municipal District, the Department for Environmental Management and ultimately the Municipal Assembly or Law Courts. v Resettlement Policy Framework For the implementation of a RAP, an ad hoc Working Group of the Municipal District (DM) Consultative Committee (CC) should be set up with community and local leader membership (drawn from the local resettlement committee) from an affected area in the DM territory. RCs and CC Resettlement Working Groups should be trained in social and management issues and supported by social facilitators where possible. At DM level, the DM Administrator will be responsible for leading the district CC Resettlement Working Group, a group of stakeholders concerned with PDMM activities in the DM. The district CC Resettlement Working Group will coordinate, monitor and supervise community consultation and participation in RAP implementation at district level. The Working Group should coordinate its activities with the CMM's Environmental Management Department, and must ensure a copy of all information collected locally is deposited at the referred to department and the Communication Office. Intra- and interdepartmental coordination will be overseen by the GDEI. The GDEI will also be responsible for ensuring compliance concerning public consultation and disclosure. Public consultation and grievances A local communication strategy stressing awareness-raising activities about the project(s) and resettlement procedures and entitlements should be carried out throughout preparation and implementation of resettlement in order promote dialogue and to reduce misunderstandings 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. Training for technical personnel from the CMM, the district CC Resettlement Working Group members and local leaders in conflict management can assist in minimizing the negative impact of conflicts. The Resettlement Policy Framework and RAP preparation processes are participatory. Via 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 displaced people. During and after resettlement, individual and group consultation should be continued by social facilitators to verify progress in people taking up new livelihoods activities and in restoring their lives to the levels they were prior to resettlement. Displaced people's and host community grievances concerning proposed or actual resettlement arrangements can initially be presented for local redress to the Quarter Chief, a local influence leader or the local Resettlement Committee. Failing resolution at community level, issues may be presented to the district CC Resettlement Working Group for resolution or transmission via the Environmental Management Department to the Programme Authority or it may be formally taken to the Municipal Assembly to investigate and coordinate appropriate solutions. Grievances may also be taken to the social facilitator working with the affected community. This channel may assist in local resolution or provide a rapid channel for timely resolution involving the CMM's Environmental Management Department. vi Resettlement Policy Framework Unresolved issues, dissatisfaction with solutions or if a community is in conflict with a private-sector contractor, may require formal recourse to the Municipal Assembly via the customary presentation and hearing of a municipal citizen's petition. Failing resolution there, it will be taken to the Ministry or agency with titular responsibility for the investment. Provisions to appeal concerning sectoral grievances to higher levels of govemment 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 costs of resettlement including compensation and mitigating activities in Phase I are approximately US $ 300,000. This figure will be revised during project appraisal. Phase II costs will be estimated at the end of Phase I. The PDMM aims to develop a management model that uses monitoring and evaluation as tools to ensure the continued relevance of programme 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, and subsequently for monitoring and external audits 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 Programme Authority and community representatives will be jointly monitored and where possible community organizations will be responsible for ensuring the compliance of community members. The Programme Authority GDEI will be responsible for ensuring the adequate design, development and oversight of general resettlement monitoring and evaluation systems. vii Resettlement Policy Framework 1. Introduction Introduction The PDMM is to be implemented within the Municipality's territorial area of 422 square kilometres on both sides of Maputo Bay. Although implementation will focus on issues related to Maputo city, policy and planning initiatives will be harmonised with neighbouring Matola. Maputo city covers sprawling peri-urban areas that surround and radiate out from the commercial and residential 'cement city'. Lying adjacent to the city centre are the high density inner and middle peri-urban neighbourhoods where people live in a mixture of permanent housing and more temporary housing in congested and unplanned settlements. Interspersed are lower density middle peri-urban neighbourhoods with a more organised physical appearance made up of temporary and semi-permanent housing. Maputo's high density peri-urban neighbourhoods are characterised by closely packed settlements of people displaced by the war and who over time have been gradually converting their temporary accommodation into simple cement block houses with corrugated iron rooves. The changes over the past five years have been phenomenal, and despite the proximity between dwellings, the continued construction of permanent housing in unplanned areas is transforming the high density areas. Individual (dispersed) plots were demarcated by the council during the previous Mayor's term, as a way of regularising existing occupation. This was carried out at the request of 'adverse possession2' rights holders, or those who had occupied land more recently without prior authorisation. The present Council office bearers have stopped this practice, and intend instead to undertake the regularisation of whole areas rather than individual plots, starting with a number of relatively well-structured neighbourhoods, through annual and longer term plans as resources become available. 2. Project Description Project description Maputo Municipality is preparing a Maputo Municipal Development Programme (PDMM) with financing from an Adaptable Programme Loan (APL) comprising an IDA Credit in two phases providing direct budget support for the PDMM over approximately eight years. Implementation will be divided in two phases. Phase I (three years) will focus on institutional and financial restructuring and some low cost, quick win infrastructure and service delivery improvements. Phase II (five years) will consolidate the achievements of Phase I and will finance large scale infrastructure and service delivery improvements. This Resettlement Policy Framework (RPF) will provide guidelines for the eight years of implementation. At the end of Phase I, the 2 The rights that arise from extended occupation, without opposition, of land in which another person has rights. 1 Resettlement Policy Framework RPF will be reviewed, scaled up, and a revised budget presented to cover the broader scope of activities in Phase II. The PDMM reflects a desire by the City Council of Maputo (CMM) to undertake comprehensive reforms in the management of the city and to move towards its vision of prosperity, attractiveness, cleanliness and safety. It also reflects the recognition by the Government and CMM that improvements in service delivery will primarily depend on the capacity of the city to undertake key institutional and financial reforms necessary to ensure greater autonomy, capacity and sustainability of the city. Municipalities have only existed in Mozambique since 1998 and the new entities have not yet changed their organizational culture, operational systems, or reduced staff so that they are better suited to decentralized management and service delivery. The CMM carried out a series of consultations, and set out its 10 year vision and strategy with a three year first phase of priorities. IDA funds will be transferred to the Municipal treasury to cover the majority of improvements in institutional and organizational development, financial management and certain priorities in the area of service delivery in Phase I. The first phase of the PDMM recognizes that the City has extremely limited capacity to raise its own revenues and to provide any quality services to its citizens. Therefore the priority for Phase I is to achieve a basic level of functionality in terms of good governance, financial stability and institutional capacity that will provide a platform for sustainable improvements to service delivery. It will also include planning for larger infrastructure and service delivery investments in Phase II. The second phase will focus on the consolidation of Phase I reforms, investment in sustainable infrastructure and service delivery improvements on a larger scale, and greater involvement of non-IDA financing. The Programme is made up of three main components: * Component A: Institutional Development and Municipal Governance * Component B. Municipal Finance * Component C. Improved Service Delivery Each component is subdivided into subcomponents, the ones of most interest to the formulation of this Policy Framework being in Components A and C. Component B is important insofar as it is the guarantee of financial management quality of PDMM all funds, including those used for resettlement activities. Sub-component A. 1: Institutional Reform and Strengthening is concerned with enabling CMM processes and structure to effectively face the challenges of municipal development. It entails six specific objectives: (a) to simplify CMM organization and management; (b) to implement strategic human resource management; (c) to improve the performance of support systems and service delivery processes; (d) to improve CMM information systems and technology; (e) to decentralize and integrate planning and management of CMM programs; and (f) to ensure adequate material recourses for CMM operations. 2 Resettlement Policy Framework Sub-component A.2: Improved Municipal Governance aims to involve municipal citizens in a more participatory, transparent and responsive municipal governance process. This will be carried out to meet five objectives: (1) Improve communication between the CMM and municipal citizens in order to respond to the priorities and preoccupations of local communities; (2) Improve interaction between the CMM structures and the Municipal Assembly; (3) Increase transparency concerning management of resources administered by the municipality; (4) Improve coordination between the CMM and other actors in the public sector; (5) Increase the number of and effectiveness of partnerships between the CMM and non governmental partners in the City. Sub-component B. 1: Revenues; aims to increase municipal revenues by enhancing the capacity of the municipality to identify and better utilize existing and potential revenue sources. Sub-component B.2: Expenditures; will improve the Municipality's planning, execution, and control budgetary functions and systems. Capacity building will include appropriate information technologies and training of appropriately qualified personnel. Sub-component C.1: Urban Planning; will improve the efficacy of the management and the planning of services through the development of participatory spatial development plans, sectoral masterplans, low-income area upgrading strategy and investment projects. It will include implementation of a GIS system for urban and peri-urban areas, linking land use planning and infrastructure improvements with the land use and tax registries. Methodological tools, training, technical assistance and mentoring will improve planning. The municipal bylaws concerning management of urban space will be reviewed and revised. Sub-component C.2: Infrastructure and Service delivery; aims to increase the availability and the quality of infrastructure and equipment to improve service delivery through an adequate management of investments. In Phase I the sub- component will: (a) improve the conditions of existing paved and unpaved roads & associated drainage and ensure conditions for future expansion; (b) increase the quality and coverage of solid waste management services through improvements in the CMM's internal solid waste management operations as well as partnerships with the private and non-government sector; (c) improve the quality of cemeteries provided by municipalities; and (d) increase public safety through increased street lighting especially in low-income peri-urban settlements. Phase II will expand the scope of activities and outputs. All changes will be registered in an addendum to this RPF developed at the end of Phase I. Increasing accountability and responsiveness to municipal citizens means that they will have the opportunity to play an important role in the sustainable management of municipal resources and in the planning and development of economic activities. The main mechanisms to achieve these goals will be: 1. Development of legal instruments and plans for urban and territorial development, ecological zoning, a transport masterplan, and a sanitation and 3 Resettlement Policy Framework drainage masterplan via a consultative process, and improving support for a restructured land use allocation process. 2. A crosscutting communication strategy will guide provision of timely and relevant information aimed to engage citizens in the management of their urban environment and to enhance their participation in municipal govemance. 3. Development and dissemination of accessible messages regarding municipal policies, programmes and regulations as well as the rights and responsibilities of citizens and municipal officials. 4. Improved information flows between the CMM and key local political officials, including members of the Municipal Assembly, Municipal Districts and Neighbourhood Secretaries, will improve the consistency and quality of municipal policies and their implementation. 5. The capacity of municipal citizens and community-based institutions to articulate their concems and to contribute to municipal planning and budgeting will also be strengthened, progressively linked to CMM's decentralization process as the roles of district and neighbourhood structures are gradually enhanced. 6. Cooperation and coordination between the CMM and key public sector actors will be strengthened to support better service delivery. Key issues relating to community well-being implied in the design, development and implementation of the first phase of the PDMM include: * The role of national govemment in clarifying the role of municipal authorities in relation to the central and provincial govemments that also have jurisdiction extension over Maputo in establishing a framework for coordination. * The emphasis on development of a systematic communication strategy to secure effective stakeholder participation in developing and implementing the Programme, greater participation in sub-municipal govemance, and broad- based buy-in by municipal stakeholders to help sustain political commitment. * The introduction of participatory spatial planning that will link govemance reform with the gradual deconcentration of selected services to the districts. * The decentralization of some very basic functions to the Municipal Districts in order to improve efficiency and accountability as well as build capacity at these levels for more effective collaboration between citizens and their local authorities. Some infrastructure construction developed in Phase I will require resettlement of families presently occupying these areas. The total cost of resettling and compensation about 40 families for lost assets is calculated as approximately US $ 300,000 in the first phase, the details of which may be seen in section 12 below. 3. Potential Impacts of the Project Phase I of the MMPD focuses on the preparation of improved communication and accountability systems, participatory spatial and sectoral plans as well as quick impact infrastructure improvements. Improvements in community consultation conceming service priorities, land-use planning and land use titling processes will be 4 Resettlement Policy Framework implemented with the collaboration of different government agencies. The programme explicitly addresses the need to link urban development planning to community participation and access to direct and indirect benefits. Planned development of new cemeteries to effectively start tackling the economic and social burden resulting from increasing demand on cemetery space and the health and cultural issues stemming from current high level of exhumations occurring may cause displacement of people occupying the areas targeted for development. The Programme may also cause displacement of people from their homes and / or areas of informal business as a result of urban and peri-urban road rehabilitation and improvements, and possibly in the improvement of solid waste disposal sites. Presently the location, nature and scope of land use rights acquisition and displacement are not yet known. Phase II of the Programme will improve service delivery both in terms of quality and coverage and undertake larger investments in infrastructure development. This will involve participatory planning and management of urban space, upgrading of areas with spontaneous and disordered settlement as well as strategic investments in infrastructure and capacity development with clear maintenance and cost recovery strategies that will ensure the sustainability of the City's services. The details of activities in Phase II are not yet known, but it is expected that they may require acquisition of land use rights and will cause displacement of people from their homes and businesses. The scope of activities that may trigger the World Bank's Operational Policy / Bank Policy (OP/BP) 4.12 will be reviewed at the end of Phase I and this framework amended as necessary through provision of an addendum. 4. Principles and Objectives Governing Resettlement Policy Framework Preparation and Implementation Resettlement Policy Framework Preparation 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 causing displacement are known in sufficient detail, a RAP will be developed for each one based on the framework agreed upon in this RPF. 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 projects of the PDMM, whether or not the scale and complexity of resettlement issues require preparation of a full RAP. The present Resettlement Policy Framework is being developed as part of the preparations for the PDMM since the Programme will involve improvements in physical infrastructure such as roads (widening and surface improvements) and 5 Resettlement Policy Framework drainage, the development of new cemeteries, improvement of solid waste disposal sites and street lighting that may have some negative socio-economic effects on local residents in the development area. In the second phase of the Programme, the implementation of zoning plans, reorganization of densely populated spontaneous settlement areas, establishment of new planned urban residential areas and expanded service provision will involve projects that may require acquisition of land use rights and resettlement planning on a larger scale. The objective of the Policy Framework is to ensure that by screening infrastructure improvements and changes in land-use, identifying where acquisition of land use rights is inevitable, and where resettlement and compensation for local people's losses is unavoidable, that mitigating activities may be designed and carried out in a socially sustainable manner. This will require the provision of adequate resources to meet the needs of the displaced people whether they are physically or economically displaced by project activities. It also requires adequate consultation with the project affected people to ensure that they maintain or improve their livelihoods and standards of living after resettlement and/or compensation. Resettlement General Principles 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 screening process provided through the development of this Framework is consistent with the Bank's safeguard OP/BP 4.12 for Involuntary Resettlement. The policy requires that all activities financed by the Bank are screened for potential impacts, and that the required resettlement and compensation is carried out on the basis of screening results. The Framework takes into account the provisions of local legislation and the World Bank's policy objectives on involuntary resettlement which are the following: * Involuntary resettlement and land acquisition should be minimized or avoided where possible. Where acquisition of land use rights is unavoidable, projects 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 people displaced by a project to share in project benefits. * Displaced people should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programmes. * Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them to pre- displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. Specijic Principles The OP 4.12 on Involuntary Resettlement ensures that the population displaced by a project receives benefits from it. This covers those with benefits from or customary rights to the land or other resources taken for the project. The OP is inclusive, 6 Resettlement Policy Framework 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, * to the impact causing loss of, or access to, an economic resource base or local communities' means of livelihood. If the impacts include physical relocation, measures must be taken to ensure that the displaced persons are provided assistance (such as moving allowances) during relocation and provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. Losses may be total or partial. World Bank policy emphasises that the absence of legal title to use and benefit 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 altemative 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 need to involve displaced people in the planning and implementation of interventions that result from these policies is stressed. Resettlement planning includes early screening, scoping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement activity. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. Potentially displaced persons must be informed at an early stage about the resettlement aspects of the project and development plans must take their views into account. 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. It may be necessary to ensure that displaced persons are provided with support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living. They may during this period be provided with development assistance in addition to compensation measures such as land preparation, credit facilities, training, or job opportunities. 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 to be taken prior to displacement include provision of compensation and of other assistance required for relocation, and preparation and provision of resettlement sites with adequate facilities. 7 Resettlement Policy Framework * 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. Payment of cash compensation for lost assets may be appropriate where livelihoods are not land-based or where they are, but the land taken for the project is a small fraction of the affected asset and the residual is economically viable. It may also be paid of there are active markets for land use titles, housing, and labour, displaced persons use such markets, and there is sufficient supply of land and housing. 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 that provide timely responses must be established for these groups. Infrastructure and public services in settlement areas 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 agricultural areas and wood fuel resource areas. Patterns of community organization appropriate to the new resettlement circumstances should be based on choices made by the displaced persons. Resettlement programmes 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. Acquisition of land use rights for development 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, people occupying or using it, land uses and attitudes of the people towards the acquisition. Their signed agreement is necessary to assure World Bank agreement to their undertaking resettlement activities. 5. The Process for Preparing and Approving Resettlement Plans Institutional organisation and responsibilities The CMM is responsible for most urban development in the Maputo city territory, and contains an Office for Strategic and Institutional Development (GDEI), the agency responsible for leading the change management and institutional reform planning and supervision process that comprises the core of the PDMM. GDEI has a strategic position responsible for management and oversight of inter-institutional relationships, 8 Resettlement Policy Framework communication mechanisms and strategic planning of the municipal units involved in implementing each component of the PDMM. Planning to avoid resettlement The PDMM includes inputs to the design of zoning and detailed land-use plans the implementation of which will define community use and access to economic resources in different areas. Preparation of zoning and other physical land-use and similar plans will involve consultation with communities in a systematic way that will be institutionalised by the Programme so that adverse socio-economic impacts such as displacement can be avoided as much as possible. Low-income families and new migrants occupy poor quality housing often in areas where they are illegal and where they have access to minimal if any public services. Working with CBOs and social development specialists during planning and implementation of major changes can help minimize the negative impacts by specifically identifying potentially vulnerable groups early on in the process. By emphasising capacity development that will bring together technical GIS information management and participatory planning methods, it is expected that inputs to the management of urban space, the approval of infrastructure plans, development of spatial and sectoral plans, as well as the processes and procedures related to the granting of land use rights, and the implementation of an information system for these purposes will mitigate as effectively as possible the adverse impacts of unavoidable acquisition of land use rights and involuntary resettlement. A key mitigating tool is the programme's focus on improving the CMM's effective communication with its various audiences as a basis for improved governance. The PDMM foresees the rehabilitation and upgrading of priority infrastructure such as roads in the city and peri-urban areas, the creation of a new cemetery in the outer peri- urban area and the upgrading of solid waste disposal areas which may cause involuntary displacement in the first phase of the Programme. Encroachment onto roadsides and unoccupied spaces means many are now occupied by businesses constructed from permanent and temporary materials, houses, some temporary others permanent, and cultivation. The absence of signs and low-level enforcement of the CMM claims to land areas, has meant that under the pressures to find residential space, the use of plots is informally 'sold' to willing buyers. The period between planning urban development and implementation of projects will provide the opportunity for influxes of new occupants into some project areas in Phase II. The costs of resettlement can add significant amounts to project budgets. Where it is not possible to choose another location, alignment of boundaries for project activities, adjusting siting criteria, or changing construction techniques to avoid pockets of dense settlement and reduce the surface area of impact respectively, should be explored and adopted as long as the project is still economically viable. Compensating many people for minor or partial land acquisition may cost far less than physically relocating a few affected families to an area close by and ensuring that their livelihoods are as little disrupted as possible or providing them with income- restoring alternatives. These potential impacts must be reviewed at the project planning stage. 9 Resettlement Policy Framework The longer term perspective of the development programme for Maputo involves the design of projects which will require planners to address issues related to the upgrading of low-income settlement, and the development of new expansion areas. Maputo has a growing number of unplanned informal settlements being built on land that is unsuitable for building (e.g. it is polluted, has steep erodable slopes, or is prone to flooding). Some of these areas will be targeted for improvement and/or resettlement through the Programme. Voluntary resettlement is not covered by the World Bank's policy OP 4.12. The high cost of involuntary resettlement may be offset if plans to improve low-income areas of the city can incorporate the resettlement that may be necessary into the direct benefits of the Programme, providing solutions to resettlement that include voluntary relocation as part of a location's social uplift programme. In all cases project screening will identify appropriate resettlement planning procedures. Project screening A preliminary review carried out for the preparation of this Resettlement Policy framework has identified that in Phase I potential displacement is only likely at a cemetery development site. If activities carried out by a project unavoidably cause displacement or require the acquisition of land use rights the CMM should conduct a concise Land Acquisition Assessment (LAA) as a screening mechanism to identify what kind of resettlement planning will be required. Although this World Bank requirement is not legally applicable in Mozambique since land cannot be acquired, the screening process is a useful mechanism for a project where the enforcement of Municipal land use rights is likely to cause displacement of local people, and it is an obligatory World Bank requirement. Thus where encroachment over the past few years means that physical and/or economic displacement will occur or land use rights will need to be acquired, an adapted simple LAA can be incorporated into the screening process to be used for these projects. If this screening device detects the likelihood of displacement then it must be submitted to the World Bank for identification of what type of resettlement planning will be necessary. This RPF and World Bank policy OP 4.12 will be used to guide the development of an action plan. Under Mozambican law all projects must be screened using a standard checklist to identify whether an environmental assessment (EA) is necessary. Should screening identify the displacement of any people, this fact will necessitate an EA. A simple EA or more complex Environmental Impact Assessment (EIA) may be undertaken depending on the nature and size of the potential environmental and social impacts. In all cases a scoping phase to define the terms of reference for the EIA will identify the scale of displacement likely to be caused by a project and general potential impacts of this. Both screening methods will be carried out as part of project development in the PDMM. 10 Resettlement Policy Framework Land Acquisition Assessment If activities carried out by the Programme cause unavoidable impacts requiring acquisition of land use rights the CMM's Environmental Management Department will ensure that the municipal department or agency responsible for the project conducts a concise Land Acquisition Assessment (LAA). In case of land use rights acquisition, the LAA will identify: (i) the location of the land for which rights are being acquired; (ii) its size; its status (public use rights, private, legally protected etc..); (iii) its current use(s) (agriculture, commercial, residential etc...); (iv) the current beneficiary (ies) and their approximate numbers; and (v) how the use rights for this land is being or planned to be acquired (exchange, donated by the government, purchased, etc..). The authors of the LAA will also make their own comments and observations about the situation that will comprise part of a report submitted to the 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 community associations, the CMM, etc.). The LAA should be approved by the CMM and the World Bank before resettlement and site development are initiated. On the basis of the Land Acquisition Assessment the Bank will advise the CMM 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. Institutional responsibilityfor screening World Bank and MICOA screening assessments will be carried out on all development projects in Phase I where displacement is likely to occur. Assessments will involve the Municipal Transport Department concerning road development and the Cemetery Management Department for new cemetery sites. Solid waste disposal activities under the Solid Waste Management Department should also be screened in Phase I. In Phase II there will be broader involvement of the Municipal Markets and Fairs Department and Urban Planning Department among others, as projects developed by them trigger resettlement activities. Minimizing impacts When an activity entailing acquisition of land use rights or/and displacement is identified, alternative designs must be prepared to minimize the impact wherever possible. Any activities implying people's resettlement, urban plot demarcation and/or the development of new residential neighbourhoods covering more than 20 hectares, establishment or expansion of recreation areas equal to or greater than five hectares, and establishment of riew locations for municipal solid waste disposal to handle more than 500 tons a day, are required by the Mozambican regulations to have a full environmental impact assessment (EIA) performed. 11 Resettlement Policy Framework The scoping phase of the environmental assessment will identify the terms of reference for the impact study and the scale of socio-economic impact of displacement caused by a project. It will also identify other likely impacts on affected populations, probable impacts related to associated facilities such as work camps, access routes, use of public services, etc. that are necessary for the construction and operational phases of a project, and probable induced impacts, including likelihood of subsequent in-migration to the project area. The EIA will include a social impact component that will identify and quantify impacts and the numbers of people affected by the project. A socio-economic baseline survey will include a census of all people affected by the project and provide the basis for estimation of impacts on the population. EIAs require extensive and recorded public consultation during preparation. Mitigating action plans are also required to be prepared as part of the EIA. EIA mitigation measures 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 (RAP). 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 preparation of a RAP. OP/BP 4.12 specifies that a full RAP is required if over 200 people must be relocated or if these 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. In the case that proposed sites are occupied, a date for a moratorium on occupiers' construction activities and investments in permanent improvements on project development land such as tree crops for example should be declared early in the planning process. A census of displaced people and their property carried out at this time will identify those who are eligible for compensation, minimize the impacts of exclusive land use by the Programme at a later date, and avoid further encroachment. The use of cut-off dates for moratoria should not however be maintained for longer periods, as this not only creates antagonism among local people which may subsequently jeopardise the success of the project, but it may negatively affect some people's livelihoods as well. In acquiring land use rights for urban expansion and development projects Maputo Municipality has in the past negotiated with communities and provided alternative plots of land. The location of resettlement sites should be as close as possible to the originally occupied area, resettled people should have access to services and to livelihoods sources, be these land for cultivation or markets for trading. The conditions of the new location should be no worse, and preferably better for the resettled people than their previous conditions. Their tenure in the new location should be secured formally. The impact of resettlement on communities already living in the resettlement area, the 'host' communities, must also be taken into account. It may be necessary to formally incorporate these people into the formal tenure system to be established for the resettled families, to avoid the development of inequalities 12 Resettlement Policy Framework and resentment. It may also be necessary to assess the impact on local resources and local services with the advent of settling families in order to plan for adequate provision for all users or in some cases further compensation. The host population should be consulted as early as possible in the resettlement planning process so that resettlement areas and facilities can be constructed taking their preferences into account as well. People's preferences about where they would like to live, where they would like to cultivate and how this can best be achieved must be taken into account during the preparation of resettlement plans. Given that people differ in their capacity to manage their resources and the pressures of having to secure livelihoods in cities mean that the weaker ones lose out, a system for monitoring resettlement and the rehabilitation of resettled people must be carried out with rapid responses to grievances and detected signs of negative impacts. Customary rights related to land use and property inheritance among the mainly patrilineal groups in Maputo have changed with influxes of new people to the city, changes in levels and types of poverty and the social and economic causes of this. Now there are more women-headed households, single parent families and families where all the members in the household are under 20 years old than ever before. Informal land allocation3 usually takes place through the neighbourhood secretaries. Payment is usually involved, but no title is provided. Since records are not changed for informal settlements, land tenure status must be assessed for every party affected by a project and for every claim for compensation, and must be treated on a case by case basis. Individual consultation, verification with local leaders and neighbours, keeping a written record of all meetings and their results, as well as agreements signed by all relevant parties identifying the losses incurred and the terms of compensation and resettlement will defend the Programme proponent against unjust claims, as well as protect the rights of the affected party. Given that it is common for the least well-off to gain their livelihoods from a variety of small trading and labour activities, consideration of adequate affordable substitution of livelihoods options must be discussed and implemented in order that the most vulnerable people are not left worse off than they were before. Preparation of Resettlement Plans Whenever a PDMM component investment unavoidably entails a change in land-use that results in physical or economic displacement of 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; Studies in Maputo cited in 'Land Tenure, Housing Rights and Gender - National and Urban Framework: Mozambique', UN HABITAT, 2005, have found, that the most important means of access to land for housing (even for formally planned and demarcated plots) are informal, and include allocation at local levels of the city administration, inheritance and ceding within families, swapping, direct occupation and private purchase. 13 Resettlement Policy Framework a An officially certified survey of displaced persons (census), asset inventory and valuation and, if appropriate, socio-economic survey; a 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 where an activity or project will cause involuntary resettlement or negative impacts on people's livelihoods of a significant scale, the CMM will prepare a full RAP for that particular 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 amount of information required for a full 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 include: (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 the census and detailed income flow information about the current occupants of the project area to establish a basis for application of the eligibility criteria and presentation of the cut-off date to exclude 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 the health of displaced households. Of particular importance is an accurate assessment of people's land tenure status and currently used transfer systems, an inventory of sources from which people derive their livelihoods and sustenance, non- title-based land use systems (including use of areas for agriculture, trade and the construction of latrines for example) governed by locally recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area. Patterns of social interaction among the affected groups, including social and economic networks and social support systems, and how they will be affected by the project must 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 displaced people and vulnerable groups in particular must be registered. 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. Given the complexity of income sources and considerations concerning relocation in urban areas, all relocation options must be discussed and solutions agreed upon. This is important because cases will vary and the solutions may have to too. 14 Resettlement Policy Framework Dividends of consulting and planning projects together with the people living in and around the area foreseen for the project may include improved project design, reduced displacement, less local resistance to the project, and greater support in operating or maintaining project-related facilities or services. (b) Also required is an analysis of the legal framework including relevant laws (land, environment, social welfare, community consultation, municipal and 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. (c) The RAP is a tool to guide implementation of resettlement and to protect the interests of people displaced by a project. It should 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. 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 land use rights and transfer ancillary resources. Discussion of measures necessary to prevent land-use 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. 15 Resettlement Policy Framework 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 government representatives; arrangements for prompt tendering of any payment due to 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 and 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 the landless, handicapped and women will be adequately represented. xii. An implementation schedule covering all resettlement activities from preparation through to implementation and follow-up indicating how the resettlement activities are linked to the implementation of the overall development 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 16 Resettlement Policy Framework reasonable period after all resettlement and related development activities have been completed. Institutional responsibilities for preparing Resettlement Plans Responsibility for ensuring a RAP is produced lies with the Programme Proponent the CMM, in which the GDEI can be considered the Programme Authority. As the Programme Authority, GDEI will be involved in RAP development only insofar as it oversees inter-institutional relationships, communication mechanisms and the development of monitoring and evaluation systems. The Programme Authority will delegate responsibility for production to the Environmental Management Department. The cross-cutting Environmental Management Department (DGA) is expected to be created and its capacity built during Phase I. The social aspects of resettlement planning and implementation are linked to environmental management planning and implementation in Mozambican legislation and in World Bank policy. The process for environmental impact assessment in Mozambique includes the screening of social impacts, and displacement of people is one of the triggers requiring an environmental impact assessment. Social and environmental impact assessments provide processes for evaluating impacts and proposing mitigating measures and plans to manage the adverse environmental and social impacts of development projects. As such it is recommended that the Environmental Management Department takes responsibility for supervision and management of the social inputs to the resettlement processes undertaken in the Programme. A list of functions of the individual or team tasked with these resettlement responsibilities is in Appendix 10.2. The CMM has already been involved in resettlement and compensation activities and has experience in these areas, though there is a need to enhance capacity in the Environmental Management Department and to develop systems for involving communities in addressing priority issues, options for organisation of resettlement implementation and rehabilitation of displaced people. A consultant should be contracted to carry out socio-economic studies, a social impact assessment and a RAP. The contracted consultant would be responsible for stakeholder consultation, facilitating and supervising compensation negotiations and agreements and producing the RAP document. The consultant would work together with and initially contribute to capacity development of the Environmental Management Department team/officer responsible for resettlement. The Municipal Urbanization and Construction Department (DUC) will be responsible for assessing the value of structural assets for compensation or replacement, and the Provincial Directorate of Agriculture for assessing agricultural assets. Participation in resettlement planning begins at local level. Local leaders and representatives from local community commissions or neighbourhood development committees should be included in the main consultative forums in a given area containing families due for to be displaced. Resettlement Plan Approval 17 Resettlement Policy Framework A draft RAP should be submitted to the CMM GDEI and the World Bank for disclosure via the World Bank InfoShop. During the disclosure period, the RAP should be presented and be made available for public consultation in an abbreviated and/or full form as appropriate for the audience, and at accessible locations in an appropriate language in or close to the project area. Feedback obtained from disclosure must be incorporated in the final document. It should be stressed however, and a RAP is essentially a working document, and as the situation on the ground changes, amendments may be needed, and these may be annexed to the original RAP following a similar disclosure procedure. 6. Eligibility Criteria for Defining Categories of People Affected by the Project Cut-off date If proposed project sites are occupied by people, a date for a moratorium on occupiers' construction activities and investments in permanent improvements on project development land such as tree crops for example should be declared by the Programme Authority. Establishing a cut-off date as early as possible in the planning process will prevent people who encroach on the area after the cut-off date, from obtaining compensation or any other form of resettlement assistance to which they are not eligible. The cut-off date for each site is to be chosen by the project developer in close consultation with the Local Authorities and other agencies responsible for land administration, together with the traditional and local influence leaders, as soon as possible after the affected land is identified. This process must be in full compliance with the conflict resolution mechanisms in this RPF and this date must be communicated effectively to the potential project affected people and surrounding local communities. The local communities and traditional leaders will play a crucial role in identifying users of land. To prevent claims from people arriving after the cut-off date, a census of displaced people and their property will be carried out at this time to identify those who are eligible for compensation is required for the development of a RAP. This will identify eligible occupants and establish the size and quality of structures, current land use, and other relevant facts. The census should be carried out in the initial stages of project identification and as soon as tentative location and physical boundaries of the project can be established. It may be carried out as part of the socio-economic baseline study for the EIA carried out by independent consultants if the baseline study is implemented at this early stage of project planning. The census should be accompanied by a photographic record which can assist in later verifications of the land-use and livelihoods activities at that time, and form part of the baseline records of displaced people. 18 Resettlement Policy Framework Categories of displaced people Implantation of new projects may involve the physical relocation of people resulting in their loss of shelter, productive assets and access to productive assets to various degrees. The World Bank considers this physical displacement. In addition to physical displacement, there are also families affected by economic displacement, the results of actions which interrupt or eliminate their access to productive assets, although they themselves will not be physically relocated. The World Bank's involuntary resettlement policy is designed to ensure that people who are physically or economically displaced as a result of development projects are no worse off than they were before displacement. The Programme proponent has the additional opportunity to provide means of restituting livelihoods aiming to ensure resettled families become better off than they were before. Assessment of the degree of impact on livelihoods should take place for all projects causing potential displacement revealed by the project screening process. It is likely that the scale of impacts in Phase II will be much greater than Phase I due to the increased area of the interventions and the fact that many of them will be aimed at upgrading areas occupied by low-income families. Categories of people who lose assets may be those indicated in the table below, however others may be identified during the development of RAPs for projects that require them. Households in which single members are affected by the project are considered members of affected families. The exact numbers of displaced people, the degree of impact on the families' livelihoods (their losses, ownership status, tenancy status etc.) will be determined during the process of developing the RAP. Criteria for assessment of potentially affected families Impact Type Description 1. Families living in development project site areas. Full physical displacement. Families that will lose their houses only. Full physical and economic Families that will lose their houses and part of their farm plots and displacement. produce 11. Families living outside development project site areas, who practice agriculture in the project area. Partial economic Families that will lose part of their farm plots and produce. displacement 111. Families who only live and cultivate in a project area during the agricultural period. Partial economic Families that will lose houses. displacement. Partial economic Families that will lose houses and part of their farm plots and produce displacement. IV. Families who carty out small businesses (with permanent or temporary structures) in a project area Partial economic Families that will lose income from closure of business and who lose displacement. structures erected for this activity in the project area. V Families living in rented houses that are located in the project area. 19 Resettlement Policy Framework Impact Type Description Partial economic Families that will lose the house they rent to live in. displacement VI Families living or working in rented houses in the project area on a seasonal or occasional basis related to livelihood/income Partial economic Families that will lose the house they rent and occasionally occupy as displacement shelter or to carry out business. VII Families renting houses used by others located in the project area Partial economic Families that will lose the house they rent to others short or longer displacement term. Land Acquisition and Likely Categories of Impact The likely (economically or physically) displaced persons can be categorized into three groups, namely; Affected Individual, Affected Household and Vulnerable Groups (which may include, HIV/AIDS affected persons, orphans, the elderly, women headed households, etc). These groups are being identified as particularly vulnerable so that special attention would be paid to them by identifying their needs from the socio-economic and baseline study so that (i) they are individually consulted and given the opportunity (i.e. not left out) to participate in the project activities, (ii) that their resettlement and compensation is designed to improve their pre-project livelihood (iii) special attention is paid to monitor them to ensure that their pre-project livelihood is indeed improved upon, (iv) they are given technical and financial assistance if they wish to make use of the grievance mechanisms of the project, and (v) decisions concerning them are made in the shortest possible time. Eligibility for Community Compensation Communities permanently losing use of land and/or access to assets and or resources under statutory rights will be eligible for compensation. Example of community compensation could be for public toilets, market place, taxi parks, schools and health posts. The rationale for this is to ensure that the pre-project socio-economic status of communities where adversely impacted, is restored. Procedures for Assessing Entitlement Procedures for assessing entitlement to compensation and other forms of assistance should be organised along the following lines: * A census of all people who will be affected by the project should be carried out in the early planning stages of the project. This will identify those eligible for assistance and discourage an inflow of people ineligible for assistance. Names of all family members and their relationship to the head of the household, details of resource use and location and household location must be registered. * Together with the local authority (neighbourhood secretary or similar), local influence leaders and a representative from the Municipal District Administration the project developer must investigate the basis of each claim of the identified families. Information should be cross-checked through initial 20 Resettlement Policy Framework interviews with the local leaders on their own, followed up with visits to each affected family to make a detailed register of all affected assets. o The inventory should record numbers of houses, the area they occupy, age, and condition, as well as the types of crops, their age, productivity and quantity and size of land areas taken and all other non-farm livelihoods sources. Assessment of the families with partial economic displacement claims should be sensitive to the complexity of obtaining access to and using livelihoods resources, so that it may be established which families will genuinely lose use of, or income from these as a result of project development. * The decision about entitlement will be made by the Programme Authority following analysis of all claims. Each family eligible for compensation or other assistance must then be informed of the basis of the decision and the options for assistance they have. * This process must be fully documented for the RAP, including the decisions taken and their reasons at every step of the way. Should complaints be lodged against decisions about eligibility, these must be dealt with through the established procedures for communicating grievances described in section 11 below. * Agreements on compensation types, location for resettlement and amounts must be signed by each family and witnessed by a local leader and government officer. The document will serve to clarify the rights of affected families and defend the project developer in the case of any claims against it. 7. Legal Framework: A Review of the laws and regulations of Mozambique and World Bank policy requirements and the proposed measures to bridge the gaps between them The Mozambican Constitution (2004) in its articles 271 and 281 determines objectives of 'local power' in organizing the participation of citizens in the solution of their own problems and those of their community, in promoting local development, in deepening and consolidating democracy and the unity of the State. Local power covers municipalities as public collective entities with bodies of representation, property and financial property and which are under the administrative supervision of the State. A fundamental principle 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. Land Law, n
Группа Всемирного банка · Resettlement Plan
Mozambique - Maputo Municipal Development Program Resettlement Policy Framework
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Resettlement Plan
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Мозамбик
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Всемирный банк