Uganda - Road Development Program (Phase 2) Project : resettlement action plan

RP103 November 2001 THE REPUBLIC OF UGANDA MINISTRY Oi: WORKS, HOUSING AND COMMUNICATIONS ROAD DEVELOPMENT PROGRAMME PHASE 2 RESETTLEMENT / LAND ACQUISITION POLICY FRAMEWORK NOVEMBER 2001 PREPARED BY: ROAD AGENCY FORMATION UNIT P.O. BOX 28487, KAMPALA. 17_ . l_.13  TA BLE OF CONTENTS PAGES NOS 1.0 INTRODUCTION 7 1.1 Background 7 1.2 Purpose of the project 7 1.3 Purpose of resettlement/land acquisition 7 1.4 Resettlement as development 8 1.5 Political commitment to resettlement 8 1.6 The project, affected sites and potential new resettlement 9 2.0 INSTITUTIONAL AND LEGAL FRAMEWORK 9 2.1 Institutional responsibilities 9 2.2 Legal Framework, laws, and regulations 10 2.2.1 The Uganda Constitution ( 1995) 10 2.2.2 The Land Act (1998) 10 2.2.3 Land Acquisition Act (1965) 10 2.2.4 The Roads Act 1964 11 2.2.5 The Town and Country Planning Act 1964 12 2.2.6 The Local Government Act 1997 12 2.2.7 The Access to Roads Act 1965 12 2.2.8 By Laws 12 2.3 World Bank Safeguard Policy on resettlement 13 2.4 Differences between Uganda Laws and the World Bank Policy 14 3.0 SOCIO-ECONOMIC PROFILE: BASELINE SURVEYS 15 3.1 Identification of project affected people 15 3:2 Demographic information 15 3:3 Land tenure regimes 16 3.3.1 Customary tenure 16 3.3.2 Freehold tenure 17 3.3.3 Mailo tenure 17 3.3.4 Leasehold tenure 17 3.3.5 Licence' or'Share cropper' 17 3.4 Farming and additional/other income-generating activities 17 3:5 Host community 18 4.0 COMMUNITY PARTICIPATION 18 4.1 Stakeholder analysis 18 4.2 Community mobilization and participation strategy 18 4.3 Office services, information and documentation 19 4.4 Involvement of the local government. 20 4.5 Involvement of NGOs 20 5.0 COMPENSATION SYSTEM 21 5.1 Inventory of impact of individual and communal properties 21 5.2 Criteria and strategy for compensation for land, houses, crops 21 other property 5.2.1 Criteria and eligibility for compensation 21 5.2.2 Land 22 5.2.3 Structures and Assets 22 2 C: Resettement LAFramework 3d Nov.  5.2.4 Crops and Trees 23 5.3 Strategy for income restoration 23 5.4 Training and manual labor opportunities 23 5.5 Conflict resolution and grievances system 23 6.0 IMPLEMENTATION iOF RESETTLEMENT/COMPENSATION 24 6.1 Resettlement Impacts and Mitigation measures 24 6.2 Provision of infrastructure and services 25 6.2.1 Individual houses 25 6:2:2 Drinking water systern 25 6.3 Environmental Manaclement 26 6.4 Payment procedures of compensation 26 6:5 Rehabilitation of incornes 26 6:6 Assistance to vulnerable people 27 6:7 Time schedule: summary of activities 27 6.10 Outline for Resettlement Action Plan 28 7.0 RESETTLEMENT BUDGET 30 7.1 Financial responsibilities 30 7.2 Approximate cost breakdown 30 7.2.1 Component Compensation Costs 30 7.2.2 Direct compensation items 31 7.2.3 Resettlement Costs 31 7.2.4 Administrative Costs 31 8.0 MONITORING AND EVALUATION SYSTEM 31 8.1 Monitoring the resettlement process 31 8.2 Evaluation of the actual results 32 9.0 CONCLUSION 35 10. APPENDICES Appendix 1: Map of Uganda showing major road development projects Appendix 2: World IBank Directive 4.30 - Involuntary Resettlement Appendix 3: Sample format for monitoring resettlement activities 3 C: Resettlement LAFramework 3d Nov.  EXECUTIVE SUMMARY 1.0 Introcduction The Govemment of Uganda (GOU) is implementing a Ten Year Road Development Programme (1996/97 - 2005/06) for the classified road network. The primary objective of Road Development Programme Phase2 (RDPP2) is to improve access to rural and economically productive areas by removing major constraints to transport services on Uganda's road network. The road investment expenditures include contribution by Uganda's development partners. All RDPP2 Projects must comply with GOU as well as Donor safeguard policies. This brings into focus the need for Uganda to have a Resettlement Frame work that takes into account these requirements. The main objective of land acquisition and resettlement is to ensure that the displaced people receive benefits from the displacing project. Compensation should aim to minimise social disruption and assist those who have lost assets as a result of a road project to maintain their livelihood through income restoration. Effective and efficient resettlement of people requires a good resettlement policy, appropriate legal framework, suitable institutional arrang9ments, adequate resources and planning guidelines. The purpose of this Resettlement Policy Framework is to present an appropriate approach to resettlement planning for road projects in Uganda. 2.0 Institutional and Legal Framework In the context of the road sector in Uganda, there are at least three actors involved in resettlement. These are the Ministry of Water, Lands and Environment (compensation), the Prime Minister's Office (resettlement) and RAFU (Lead Agency). RAFU, as the Lead Agency of the RDPP2, will take responsibility for resettlement and identifying and coordinating all the other players in resettlement. The position of the govemment of Uganda in relation to compensation to be paid if damage is caused to land is clear under the 1995 Constitution and other Ugandan laws. The following constitute the legal framework within which resettlement and compensation should take place. The laws include:-the Uganda Constitution ( 1995); the Land Act (1998); Land Acquisition Act (1965); the Roads Act 1964; the Town and Country Planning Act 1964; the Local Govemment Act 1997; and By Laws World bank Operational Directive OD 4.30 on '"Involuntary Resetilement' requires that displaced persons should be compensated at full replacement cost, assisted with relocation/resettlement and during transition period. The developer shoukl be encouraged to offer replacement land rather than cash 4 C: Resettlement LAFramework 3d Nov.  compensation when the residual land holdings are not economically viable. There are some differences between the World Bank Policy and the Ugandan Laws on Resettlement and Compensation. While for instance the Ugandan Laws restrict themselves to fair, adequate and protript compensation (which is interpreted to mean cash), the World BanA policy extends it to providing altemative land and resettling the persons. 3.0 Socio-Economic Profile: Baseline Surveys It is important that comprehensive baseline surveys of affected populaitions/communities are done. Inadequate baseline data can result in project planners lacking a realistic picture of the numbers or the social and economic organisation of the people affected by the road development. A comprehensive survey of affected populations/communities should cover the following: Identification of project affected people; Demographic information; Land tenure regimes; Farming and additional/other income-generating activities and the: 4.0 Community Participation Public involvement will assist in the following:- * Identifying cultural and communal property; * Identifying cultural/social groups which should move together; * Sensitisation of both host and resettlement communities. This should be done well in advance; * Identification of various resettlement alternatives; * Identification of vulnerable groups, which should be protected. Such groups will include disadvantaged women, the disabled, the landless, the orphans, and other minorities; As a matter of strategy, public consultation and involvement should be an ongoing activity taking place through out the entire /project cycle. They should be consulted in planning resettlement, and should play a key role in implementation at grass roots levels. NGOs with experience, knowledge of, and contacts with PAPs can assist a resettlement agency effectively in many ways. 5.0 Compensation System Affectecl persons irrespective of their status (whether they have formal title, legsalizable rights, non-legalizable) are eligible for some kind of assistance if they occupied the land before the entitlement cut-off Compensation covers: Land, Structures and Assets, and Crops and Trees, R?esettlement plans must target restoration of lost incomes due to the rcad projects. 5 C: Resettement LAFramework 3d~ Nov.  It is envisaged that a number of issues (grievances) will come up as a result of land acquisition by the project. A system must be put in place to settle these issues amicably through recognised institutions such as local councils, land boards and land tribunals to the satisfaction of involved parties. 6.0 Implementation of Resettlement/Compensation Resettlement losses most often arise because of land acquisition, through expropriation and the use of regulatory measures, to obtain land. To ensure that some people are not disadvantaged in the process of development, it is important to avoid or minimize resettlement effects. If resettlement is unavoidable, the Govemment shoula help restore the quality of life and livelihoods of those affected. Community infrastructure must be replaced and ideally improved in situations where it was deficient. This includes installation of sanitary and waste product facilities, electricity generation systems, road links and provision of water. It is essential that a resefflement timetable, which is well coordinated with proposed roadworks activities, is put in place so that the resettlement exercise is not left to be implemented towards the end of the roaid project.. 7.0 Resetilement Budget It is necessary to prepare an adequate budget to meet the costs of resettlement. If the budget is too low, then the funds will be inadequate and this will lead to delays in implementing the RDP: SecondIly, if the budget is excessive, it may discourage donors from investing in that particular road, and the Government may not be able to afford such costs. 8.0 Monitoring and Evaluation System The evaluation of results of environmental and social mitigation of the effects of road development can be carried out by comparing baseline data collected in the planning phases with targets and post-project situations. Monitoring and Evaluation will be carried out by RAFU. 9.0 Conclusion: Good practice in resettlement planning and implementation are the key to fulfilment of objectives of involuntary resettlement. It encompasses among others the following:- minimizing or eliminating involuntary resettlement, carrying out social economic surveys and census of people affected early in the project preparation; involvement of all stakeholders, compensating all affected persons and appropriate income restoration programs., 6 C: Resettlement LAFramework 3d Nov.  1.0 INTRODUCTION 1.1 Background The Government of Uganda (GOU) is implementing a Ten Year Road Development Programme (1996/97 - 2005/06) for the classified road network. The road investment expenditures include contribution by Uganda's development partners. Among them are the World Bank, European Union, African Development Bank and Nordic Fund. Each has pre-requisite resettlement standards. All RDP Projects must comply with GOU as well as Donor safeguard policies. This brings into focus the need for Uganda to have a Resettlement / Land Acquisition Policy Framework for the road sector that takes into account these requirements. This framework puts forward a procedural guide for reseftlement/land acquisition, against the current legal and policy framework in Uganda. Also included in the document are guidelines for public participation and consultation, which are fundamental requirements when issues of compensation and resettlement arise. 1.2 Purpose of the projects The Road Development Programme (RDP) covers road network improvement, road network administration and capacity building. The primary objective of RDPP2 is to improve access to rural and econornically productive areas by removing major constraints to transport services on Uganda's road network. The programme, which consist:s of 4 phases, including RDDP2 will also support actions aimed at strengthening further road sector management and the implermentation of other Road Sector Development Programme activities. 1.3 Purpose of resettlementland acquisition Under the road improvement component (i.e upgrading, rehabilitation and maintenance), it is likely that communities will be affected. This is particul!arly true of areas where roads will pass through people's properlies and dwellings. This may lead to involuntary displacement of people and to the need for land acquisition, resettlement, and compeiisation. Because involuntary displacement disrupts and impoverishes communities, it should be avoided, or at least minimised. If displacement is inevitable then displaced persons should not only be adequately compensated for their losses, but they should be given opportunities to share in road project benefits, and assisted in improving their livelihood. The main objective of land acquisition and resettlement is to ensure that thE. displaced people receive benefits from the displacing project. 7 C: Resettiement LAFramework V~ No..  Involuntary resettlement, therefore, should be an integral part of the RDPP2 projects and should be handled 'at the onset of the project, i.e at the planning and feasibility stages, and throughout the project cycle. When communities or individuals are displaced, it is likely that production systems are dismantled, kinship groups may be scattered, jobs rnay be lost, and social networks may collapse leading to a number of other socio-economic problems. The involuntary resettlement plan should consider all these socio-economic aspects of the affected people. Article 26 of the 1995 Constitution of Uganda, states that compulsory deprivation of one's property is prohibited except when taking posses;sion or acquisition is necessary for public use. If this is proved to be the case, as for a road, then acquisition is subject to prompt payment of fair and adequate compensation. Compensation should aim to minimise social disruption and assist those who have lost assets as a result of a road project to maintain their livelihood through income restoration. 1.4 Resettlement as development The concept of programming resettlement as development is increas,ingly gaining appreciation. In this respect, good practices are those that (a) focus on means of livelihood rather than on assets (b) assume an inclusive relationship between people and assets, and (c) admit negotiated just compensation. The record indicates that in cases where compensation packages were negotiated with project affected people and other stakeholders, the process has resulted in better outcomes for the resettlement process as a whole. This is mainly because people tend to feel more satisfied, as a result of the negotiation process. 1.5 Political ,commitment to resettlement Successful resettlement with development is a fundamental political commitment and responsibility of the state. Effective and efficient resettleiment of people requires a good resettlement policy, appropriate legal framework, surtable institutional arrangements, adequate resources and planning guidelines. A study leading to the development of a "National Resettlement Policy and Institutional Capacity for Resettlement" was carried out in 1995. With the promulgation of the new Constitution of the Republic of Uganda in 1995 and enactment of the Land Act in 1998 much of what the study covered has been converted into law. The policy and guideliness remain relevant and can be used as a guide. A new tNational Resettlement Policy, covering all sectors, is currently under development by the Commissioner responsible for Resettlement in the Office of the Prime Minister. However, there are policies and laws/regulations with respect to land tenure, local governance and environrnent, all of which have a bearing on resettlement and can be applied as and when necessary 8 C: Resettlement LAFramework 3d Nov.  1.6 The project, affected sites and potential new resettlement Under RDPPII July 2001 - June 2006 are: * the upgrading of main roads to paved standard: Karuma - Pakwach-Nebbi - Arua road (Section Karuma - Olwiyo - Pakwach, 108 km) in 2 construction packages; * Strengthening Main Roads Katunguru - Kasese - Fort Portal, Kasese - Kilembe and Equator Roads, in 3 construction packages (163 km); All the roads in the program are existing roads. Earth and gravel roads have been repeatedly scraped over the years such that the actual road corridor is about 10 metres wide. Local governments employ "slashers" to keep grass and bush low beside the roads to a distance of about 5 meters (depending on slopes and other obstacles). There is very little intrusion of crops or structures into these strips along the roadways. Some of the roads carry telephone and/or electricity transmission lines alongside the road, from about 5 metres away from the scraped roadway to a much deeper setback. Except where some slight realignments will be done, construction activities will take place almost entirely within the scraped roadway and adjacent slashed strips. However, construction yards and storage zones, camps for engineers and skilled labourers, borrow pits and quarries are armong the additional land that will be required temporarily or permanently and form part of the total "foot print" of the project roads. 2.0 INSTITIUTIONAL AND LEGAL FRAMEWORK 2:1 Institutional responsibilities In the context of the road sector in Uganda, there are at least three actors iinvolved in resettlement. These are the Ministry of Water, Lands and Environment (compensation), the Prime Minister's Office (resettlement) and RAFU (Lead Agency). RAFU, as the Lead Agency of the RDPPII, will take responsibility for resettlement and identifying and coordinating all the other players in resettlement. RAFU should also liaise with the MOWHC on these matters. All organisations that have a role to play in the implementation of a project resettlement plan should be identified during the planning stage and should have the opportunity to contribute their points of view as to how their function is best carried out and what constraints there might be. There should be no surprises during plan implementation. 9 C: Resettlement LAFramework 3d Nov.  2:2 Legal framework, laws and regulations The position of the government of Uganda in relation to compensation to be paid if damage is caused to land is clear under the 1995 Constitution and other Ugandan laws. The following sections describe the legal framework within which resettlement and compensation shoulcl take place. 2.2.1 The Uganda Constitution ( 1995) Article 237(1) of the Constitution vests all land in Uganda in the citizens of Uganda. However, under Article 237(1) (a), the Govermment or Local Government may acquire land in public interest. Such acquisition is subject to the provisions of Article 26 of the same Constitution, which gives every person in Uganda a right to own property. The Constitution also prescribes the tenure regimes in accordance with which rights and interest in which land may be held (Customary, Leasehold, Mailo, Freehold). It provides procedures to follow during the acquisition of land for public interest and provides for the "prompt payment of fair and adequate compensation" prior to taking possession of land. The Constitution however does not make resettlement a right. 2.2.2 The Land Act (1998) The 1998 Land Act addresses land holding, management control and dispute processing. The developer should seek to enter into mutual agreement with the occupier or owner of the land upon payment of compensation. The Act creates a series of land administration institutions consisting of Uganda Land Commission (ULC), District Land 13oards (DLB), Parish Land Committees (PLC) and land tribunals. Section 78 of the Act gives valuation principles for compensation i.e. compensation rates to be yearly approved by DLBs. The basis for compensation are depreciated replacement costs for rural properties and market values for urban properties. 2.2.3 Land Alcquisition Act (1965) This Act makes provision for the procedures and method of compulsory acquisition of land for public purposes whether for temporary or permanent use. The Minister responsible for land may authorise any person to enter upon the land and survey the land dig or bore the subsoil or any other thing necessary for ascertaining whether the land is suitable for a public purpose. The Government of Uganda is supposed to pay compensation to any person, who suffers damage as a result of any action. Any dispute as to the compensation payable is to be referred to the Attorney General or couit for decision. The Land Acquisition Act stops at payment of compensation. It is not a legal requirement to purchase alternative land for the affected people by the project. Once they are promptly and adequately compensated, then the obligations stop there. The Government 10 C: Resettlement LAFramework 3d Nov.  through the Ministry of Lands, Water and Environment, will pay the compensation to the affected persons. There is no requirement or provision in the law that people need to be moved or that alternative land be made available or bought. Each affected person entitled to be compensated, on receipt of his/her compensation is expected to move and has no further claim. 2.2.4 The Roads Act 1964 The Roads Act of 1964 is a critical piece of legislation with respect to these projects. It defines a road reserve as that area bounded by imaginary lines parallel to and not more than fifty feet distant from the centreline of any road, and declared to be a road reserve. The Act is silent on whether such land is 'taken" for the state, but states that no person shall erect any building or plant, trees or permanent crops within a road reserve. It also allows the roads authorities to dig and take materials from the road reserve for the construction and maintenance of roads. The MAinister or, with the consent of the Minister, a District Commissioner, in relation to any road within or passing through any government town or an Administrator in respect of any area not being in a government town, may by order: a) prescribe the line in which buildings shall be erected in such town or area or b) prescribe the distance from the centre of the road within, which no building shall be erected in such town or area. The road authority is required to give written notice to the owner or occupier of the land on which prohibited activities have been carried out: i) to pull down or remove the building or erection; or ii) to cut down or uproot the trees or crops; or iii) to alter or repair the cattle path, bicycle track side road or entrance or means of access or to close the same. The Act allows a road authority to dig and take away materials required for the construction and maintenance of roads in any part of a road reserve approved by the district commissioner without payment to any person. In recent months, a series of meetings involving the Ministry of Works, Housing and Communications, Ministry of Water, Land and Environment, Ministry of Justice and Constitutional Affairs, and RAFU have been held to discuss issues pertaining to the road reserve. It was decided that: * The road reserve be preserved for planning purposes only, but should not be acquired as this would be unnecessary, expensive and disruptive. * In order to minimize land acquisition, only land required for road construction purposes (the "Site") be acquired. 11 C: Resettlement LAFramework 3~ Nov.  * This would be that land sufficient for the permanent works plus a 3rn strip on either side. 2.2.5 The Town and Country Planning Act 1964 The Town and Country Planning Act of 1964 gives broad powers to planning authorities at the national and local level to take land, against compensation, for public purposes within an approved planning area. Further, such authorities can determine set back lines 'beyond which no building may project" into a roadway including the road reserve area. 2.2.6 The Local Govemment Act 1997 The lIocal Governments Act provides for the system of local governments, which is based on the district. Under the district there are lower local governments and administrative units. This system provid,es for elected councils. The chairman nominates the executive commiittee of each council. The functions of this committee include: i) Initiating and formulating policy for approval of council; ii) Overseeing the implementation of the government and councils' policies, and monitor and coordinate activities of non-government organisations in the district; and iii) Receiving and solving disputes forwarded to it from lower local governments. 2.2.7 The Access to Roads Act 1965 The Access to Roads Act seeks to ensure that a private landowner who has no reasonable means of access to public highway may apply for leave to construct a road of access to a public high way. This law also establishes a mechanism of applying for such a road. It also establishes a legal regime to ensure the safety of the neighbouring environment. The Act permits the owner of any land who is unable through negotiations to obtain leave from adjoining land owners to construct a road of access to the public highway, to apply to a magistrate for leave to construct a road of access over any land lying between his land and the public highway. This law also provides for means by which an order for the construction of an access road can be revoked. The Act further provides for maintenance of the access road in a good and eflicient state of repair, and for payment of compensation in respect of the use of the land, the destruction of crops of trees and such ot1her property. 2.2.8 By Laws Finally, byelaws were enacted in the 1960s in many local areas of Uganda, especially for the regulation of "trading centres," which were the typical local embryonic urban centres across the country. Typically, these byelaws had provisions for shops to be built not closer 12 C: Resettlement LAFramework 3d Nov.  than '50 feet from the centreline of the road. They did not take land, but th,sy reinforced the Town and County Planning Act and the Roads Act by creating a building restriction on any given plot of land. 2:3 Donor Safeguard Policies on resettlement World Bank Operational Directive OD 4.30 on "Involuntary Resetl:lement", requires that displaced persons should be compensated at full replacement cost, assisted with relocation/resettlement and during transition period. The developer should! be encouraged to offer replacement land rather than cash compensation when the residual land holdings are not economically viable. The main features of this directive are as follows:- * All viable alternative project designs should be explored to avoid or minimise the need for resettlement and when it cannot be avoided, to minimise the scale and impacts of resettlement; * Resettlement measures are to be conceived and executed as development activities providing sufficient resources to give the persons displaced the opportunity to share in project benefits. Assistance should be given to the community in their efforts to improve former production levels, incomes, earning capacity and living standards or at least restore them to the levels they would have without the project; * Displaced persons should be:- - Compensated at full replacement cost prior to the actual move; - assisted with relocation; - assisted and supported during the transition period; * Particular attention should be given to vulnerable groups; * Communities should be given opportunities to participate in planning, implementing and monitoring their resettlement. * Resettlers should be helped with integration into their host community. The above requirements are also applicable to projects funded by other donors, including European Union (EU), African Development Bank (ADB), and Nordic Fund. However, ADB recognises that involuntary resettlement is a sensitive area involving competing economic, social, and political interests that may be difficult to balance in the best of circumstances. Accordingly, the Bank cautions that any proposed policy and planning principles should be introduced and implemented with sensitivity to the particular political, legal, economic, social and cultural contexts of a country. 13 C: Resettlement LAFrsmework 3d Nov.  2.4 Differences between Uganda Laws and the World Bank Policy There are some differences between the World Bank Policy and the Uganidan Laws on this matter. While the Ugandan Laws restrict thermselves to fair, adequate and prompt compensation (which is interpreted to mean cash), the World Bank policy extends it to providing alternative land and resettling the persons. A comparison of Uganda law and WB requirements regarding compensation is given in Table 2.1 In a number of cases, as shown in Table 2.1, the WB requirements are rnore favourable to PAPs than the provisions of Uganda Law. The G3overnment of Uganda does not wish to set precedents as to compensation amounts. However, GOU is strongly committed to fulfil 'WB requirements. Appropriate compensation approaches are therefore needed, with a first part of compensation meeting Ugandan Law -equirements, and an additional uplift aiming at complying with WB requirements where they are not complied with by the sole Ugandan provisions. Table 2.1: Comparison of Ugandan Law and World Bank requirements regarding compensation Category of Ugandan Law WB requirements PAPs/ Type of lost assets Land Owners Cash compensation based upon Strongly recommend land-for- market value of unimproved land land compensation. Other and disturbance allowance (15%) compensation is at replacement cost. Land Tenants Entitled to compensation based Must be compensated whatever upon the amount of rights they the legal recognition of their hold upon land occupancy Land Not entitled to compensation for No specific provisions as to land Sharecroppers land, entitled to compensation for compensation, but income must crop be restored. Owners of "Non Cash compensation based upon Recommend in-kind permanent" rates per m2. established at compensation or cash Buildings District level and disturbance compensation at full replacement allowance (15 %) - Rates are cost including labour based on depreciated market value. Owners of Valuation by Valuer and Recommend in-kind "Permanent" disturbance allowance (15%). compensation or cash buildings Valuation is based on depreciated compensation at full replacement market value cost including labour Perennial Crops Cash compensation based upon rates per m2./bush/tree/plant established at District Level and disturbailce allowance (15%) Requirements not specified Rates are calculated as the one year net agricultural income. 14 c: Resettiement LAFramework 3rd Nov.  Annual Crops No compensation. 6 month No specific provision. Income notice to harvest crops. restoration. Land for land compensation allows people to re-establish annual crops immediately. Business No compensation. 6 months Establish access to similar Income notice to vacate premises opportunities. 3.0 SOCIO-ECONOMIC PROFILE: BASELINE SURVEYS It is important that comprehensive baseline surveys of affected populations/communities are done. Inadequate baseline data can result in project planners lacking a realistic picture of the numbers or the social and economic organisation of affected people. In the past, topographic maps/surveys have been used to assess baseline socio-economic characteristics. This method should be discouraged, because often these topographic maps are outdated and their information does not exactly correspond with the ground truth. Socio-economic issues are normally considered during Environmental Impaci Assessment. However, most times it is not sufficient to be relied on completely during resettlement. A comprehensive survey of affected populations/communities is required. 3:1 Identification of project affected people Projecl: Affected Persons (PAPs) are defined as those who stand to lose, as a consequence of the project, all or part of their physical and non-physical assets, including homes, communities, productive lands, resources such as forests, range land, fishing areas, or important cultural sites, commercial properties, tenancy, income earning opportunities, social and cultural networks and activities. Such impacts may be permanent or temporary. The most often loss occurs through land expropriation, using eminent domain or other regulatory measures. They have no option but to re-establish elsewhere. People can also be affected through exposure to health and safety hazards which then force them to relocate. The affected people are determined by the project area ear-marked by the developer (RAFU) with the consent of the communities to be affected. The project area is then surveyed to establish boundaries. The people whose land lies within the demarcated land are some of the persons directly affected by the project. 3:2 Demographic information A survey of the individual plots should be carried out to establish the number of households affected, the area and the sizes of those plots taken by the project. After the survey, a map of the project area showing the individual plots should be produced. 15 C: Resettlement LAFramework 3d No\.  It is essential that the project resettlement plan is based on the most recent information about the scale and impact of the displacement. The baseline survey should include: i) An up to date field-based census of the number of people who will be displaced, the magnitude of displacement, income levels and assets and some idea of occupational categories. Distinguish between Seriously Project Affected Families (PAF} and Project Affected Families (PAF) ii) An assessment of encroachment on to the road reserve; iii) Information on the full resource base of the affected population; iv) Extent to which groups will experience total or partial loss of assets; v) Public infrastructure and social services that will be affected. vi) Formal and informal institutions (e.g CBOs, NGOs, churches, etc..) that can assist designing and implementing the resettlement programmes; vii) Names of affected families should be recorded as early as possible to prevent in-flows of population ineligible for compensation. 3:3 Land tenure regimes Article 237 of the Constitution, 1995 vests land in the citizens of Uganda and defines 4 land tenure systems, namely:- * Customary; * Freehold; * Mailo; and * Leasehold The incidents of these systems are detailed under section 4 of the Land Act, 1998. Those relevant to the RDP are the following:- 3.3.1 Custornary tenure * Is governed by rules generally accepted as binding and authoritative by the class of persons to which it applies (in other words " customary regime is not governed by written law") * Is owned in perpetuity; * Customary occupants are occupants of former public land, and occupy the land by virtue of their customary rights; they have propriety interest in the land and are entitled to certificates of customary ownership; * - Certificates for customary ownership may be required, through application to the Parish Land Committee and eventual issuance by the District Land Board; 16 C: Resettlement LAFramework 3ra Nov.  3.3.2 Freehold tenure * Derives its legality from the Constitution and its incidents from the written law; * Involves the holding of land in perpetuity or for a period less than perpetuity fixed by a condition; * Enables the holder to exercise, subject to the law, full powers of ownership; 3.3.3 Mailo lenure * Has roots in the allotment of land pursuant to the 1900 Uganda Agreement; * Derives its legality from the Constitution and its incidents from the written law; * Involves the holding of land in perpetuity; * Peirmits the separation of ownership of land from the ownership of developments on land made by a lawful or bona fide occupant; * Enables the holder to exercise all the powers of ownership, subject to lhe rights of those persons occupying the land at the time of the creation of the mailo title and their successors; 3.3.4 Leasehold tenure * Is created either by contract or by operation of the law; * Is a form under which the landlord of lessor grants the tenant or leasee exclusive possession of the land, usually for a period defined and in return for a rent; * The! tenant has security of tenure and a prioprietary interest in the land; 3.3.5 'Licence' or 'Share cropper' Although only these later forms of tenure are legally defined under the Land Act, the context of common law also recognises the statute of "Licensee" or Sharecroppers", these terms having similar meanings in practice. Licensees are persons granted authority to use land within for agricultural production. Traditionally, such production would be limited io annual crops. Licensees have no legal security of tenure or any propriety right in the land. Their tenure is purely contractual. 3:4 Farming and additional/other income-generating activities Crops &nd trees may either be damaged during feasibility studies in preparaliton for RDPP2 projects or left by the affected communities when they move to other areas due to displacement. Both young and mature crops will have to be compensated for. The variation of ages of the crops and trees will have to be taken into account such that older crops/trees are worthy more than young ones. In Uganda, each District Land Board adopts its own compensation rates. As a result, variation exists among the different districts. The rates are reviewed every year 17 C: Resettlement LAFramework 3'0 Nov.  3:5 Host community Although, in the first instance the planning is for the resettlers, the host population should be taken into account. They may be making available land resources or may share their infrastructure. In some cases host communities welcome the arrival of settlers under the impression that 'development' which is supposed to come with relocates will also benefit them. In other cases the majority of the host commrunity may curtail the availability of land in the future. In rural areas in particular, the host population should receive some benefits, not necessarily on an individual household basis but on community basis. Situations where the resettlers will be perceived as being better off than the hosts should be avoided. 4.0 COMMAUNITY PARTICIPATION Community participation and consultation are essential elements of environmental management of roads that ensure that the community is included in the decision making process. It is therefore necessary to develop procedures and skills for informing the public and other interested parties about proposed road projects. 4:1 Stakeholder analysis The resettlers, RAFU/RA and the Resettlement study team must begin dialogue as soon as it becomes apparent that resettlement may be necessary, ie at the time of project planning or the feasibility stage. Public involvement will assist in the following:- * Identifying cultural and communal property; * Identifying cultural/social groups which should move together; * Sensitisation of both host and resettlement communities. This should be done well in advance; * Identification of various resettlement alternatives; * Identification of vulnerable groups, to be protected. Such groups will include disadvantaged women, the disabled, the landless, the orphans, and other minorities; Community involvement should include the following: * Informal leaders and representatives; * LC Officials; * Other formal leaders; * Local NGOs and CBOs; * FRSP officials (MOWHC); * Representatives of the various categories of PAPs 4.2 Community mobilization and participation strategy The major strategy evolves around the provision of a full opportunity for involvement of all stakebolders who include the project 18 C: ResetUement LAFramework 3d Ncv.  beneficiaries, those likely to be adversely affected and other stakeliolders who may have an interest in the road development programme for one reason or another. Because of the difficulty in identilying the public, care must be taken in deciding who participates to ensure that a fair and balanced representation of views is obtained from those directly affected, the poor, minority groups as well as influential members of the public. As a rnatter of strategy, public consultation and involvement should be an ongoing activity taking place through out the entire project cycle and should include the following: * Public consultation before the inception of the project and before the environmental and social study is done. * Public consultation during the environmental and social impact sludy and during the project design. * Consultations after the environmental and social impact study has been done. * Holding of public hearing if RAFU (the Lead Agency) should find it necessary as well as appropriate notification regarding the hearing. 4:3 Office services, information and documentation. Depending on the scale of likely impacts, a resettlement field uni/officet may be required. Projects with limited land acquisition affecting only a few families or having limited adverse impacts may not require a resettlement unit. In these cases, the Project management should identify the existing institutional arrangements, with appropriate lines of accountability within the existing institutional framework. These may include district/local administrations or urban councils. If the scope of resettlement is large, a separate resettlement field unit/office within the project entity will probably be required to deal with issues conceming compensation and rehabilitation of PAPs. In this case the Project Team, during the project preparation stage, should address the following issues:- * the forrn and size of the resettlement unit/office; * the mandate of the resettlement unit; * the financial and administrative authority of the resettlement project director/manager/coordinator * staffing and budget; and * the req uirements for training and capacity building. The form and size of the resettlement unit where applicable will depend on the severity of impact and the scale of displacement and resettlement. The Project Team should determine the institutional options for resettlement implementation. The Team Leader should pay special attention to both administrative and disbursement power of the organization head to ensure proper implementation of resettlement operaticins. The head of the resettlement unit should be a senior officer with appropriate financial power and authority to carry out all functions, including co-ordinating meetings with other departments. 19 C: Resettlement LAFramework 3rd Nov.  A resettlement coordination unit will be established by RAFU. This allows the agency to coordinate all resettlement activities, including land acquisition and compensation payments to the PAPs, that are normally carried out by various agencies (e.g, land department or local administration). Resettlement unit staff can also maintain systematic and closer links with the main project and thus can contribute to faster and improved decision making and deployment of resources. A separate resettlement agency, independent of RAFU, may carry out large-scale resettlement operations. This will entail creating a defined legal and administrative authority to perform all resettlement activities or to clirect other departments and line agencies to carry out needed tasks. When an independent resettlement agency is used, then clear mechanisms are required for coordination among different departments involved in the resettlement operations (e.g, land department, local administration, labour department, education and health departments, and public works for infrastructure development in relocalion sites). It is not yet clear as to whether the proposed National Disaster Management Commission will be suitable for this role. 4:4 Involvement of the local government. Districi authorities manage most of the land in the rural areas. These institutions are stakeholders in settlement activities. They should be consulk.ed in planning resettlement, and should play a key role in implementation at grass roots levels. LCs should participate in managing resettlement activities. During the planning stages of the project it will be necessary to assist local authorities in dealing with project impacts. The involvement and gradual capacity building of local authorities is a good option. This ensures transparency and a degree of community participation in project planning and implementation. The National Environmental Statue (1995) provides for Local and District Environmental Committees as part of the EIA procedure. However, the resettlement study team should. identify and specify the appropriate local government organs to be involved and how. 4.5 Involvement of NGOs NGOs with experience, knowledge of, and contacts with PAPs can assist a resettlement agency effectively in many ways. Involvement of NGOs in resettlement projects is considered particularly useful in the following areas:- * gathering and sharing information and avoiding potential problems; * planning and implementing income-generating schemes; * developing information campaigns and community participation; * strengthening local institutions and community self-reliance; and * delivering services to reach communities in a more efficient and cosi -effective manner. 20 C: Resettlement LAFramework 31d Nov.  Ugan,da's experience since the 1980s has shown a steadily increasing level of NGO involvement at all stages of project processing cycle and- project implementation. It is advisable to involve NGOs and CBOs at an early stage of project preparation. There are different kinds of NGOs in Uganda, ranging from advocacy groups to relief and charity organisations. The Team Leader should take the initiative during the fact-finding mission to identify an NGO/ CBO (in consultation with the RAFU) appropriate to the tasks and having a developmental focus. The following criteria should be used in selecting NGOs for resettlement work. The NGO should: * be from the project-affected area or have prior work experience in the area: * have a good track record in terms of program planning and implementation in areas like rural development, poverty, gender issues, environment, and community participation; * have appropriate staff with technical and social skills in resettlement or community development and participation, including familiarity with the local language(s) and customs; * be registered with the government as an NGO with good standing ancl sound financial condition for project implementation purposes; ancl * not be involved with any political or religious groups directly or indirectly. 5.0 COMPENSATION SYSTEM 5:1 Inventory of impact of individual and communal properties This entails a complete count and description of all property that will be acquired or lost as a result of relocation. The land inventory specifies the type of land (dry-land irrigated, perhaps soil type), its use (agriculitural, types of crops, business) size and location, so that each can be correctly valued. The physical inventory lists each asset, includin(g structures (homes, animal pens, store houses) and infrastrLictures (e.g wells) and other assets e.g trees by type (fruit or timber) age and size, for valuation purposes. The study team should pay special attention to the current values of assets and should value each asset individually. Eligibility criteria for the affected people/household must be established. The study should also take note of changes in price and values of assets between valuation and compensation. 5:2 Criteria and strategy for compensation for land, houses, crops other property 5.2.1 Criteria and eligibility for compensation Affected persons irrespective of their status (whether they have formal title, legalizable rights, non-legalizable) are eligible for some kind of 21 C: Resettlement LAFramework 3rd Nov.  assistance if they occupied the land before the entitlement cut-off The entitlement cut-off refers to the time when the assessment of persons and their property in the project area is carried out. Thereafter, no new cases are entertained. The following categories will be eligible for compensation. (i) People who are indirectly affected by the project (ii) People whose houses/structures will be affected by land acquisition. (iii) People who borrow land for cultivation and their crops or trees will be removed or damaged due to land acquisition activities. (iv) Any other group of persons that has not been mentioned above but is entitled to compensation according to the laws of Uganda and World Bank policies. L (vi) Persons who encroach the area after the Resettlement survey (census and valuation) are not eligible to compensation or any form of resettlement assistance. 5.2.2. Land Land management and control of its transactions are decentralised at District and Parish levels through District Land Boards and Parish Land Committees respectively. Fixing the value of land in Uganda depeinds on whether it is public (Government owned) or privately owned according to land tenure types indicated in the section on land regimie. If it is public land, the Chief Government Valuer's office will fix the rates of compensation. If owned privately, the developer (RAFLJ) will negotiate with the owner and agree on the amount to pay for the land to be acquired. In both instances, the value of land varies from one location to another. For example, land in Hoima District will not have the same value as that in Nebbi District due to agricultural productivity and population density. 5.2.3 Structures and Assets In Uganda, it is the responsibility of the developer to engage a professional valuer to carry out an assessment of all structures and assets in the affected area. However, rates of structures/ buildings in urban areas are fixed by the Chief Government Valuer's office. Rates of structures which are located on land which has a Title Deed are normally negotiated with the owner of the structure. Rates for structires on land that lacks a Title Deed are fixed by the District Land 13oard just like crops and trees. However, in World Bank funded projects, ownership and occupancy are treated equally. Therefore in both cases the affected people are entitled to the same compensation and have the same opportunity to negotiate. The affected people should be provided with full replacement cost for the lost structures so that they are able to build their own houses without difficulties The construction of a replacement house will be offered whenever a building has to be removed. This may either be on remaining land of the plot if it is deemed viable and the affected household agrees to such solution, or on another resettlement plot. 22 C: Resettlement LAFramework 3d Nov.  In the process of valuation of affected structures, the methods of replacement cost, comparable market price and a combination of these two are usually used by professional valuers to get compensation rates. When valuation of individual structures is completed, detailed compensation rates for different structures will be included in the resettlement action plan. 5.2.4 Crops and Trees A number of trees and crops will be left by the affected communities when they move to other areas due to displacement. Crops and trees will also be damaged during feasibility studies in preparation for RDPP2 projects. These (young and mature) will have to be compensated for. 5.3 Strategy for income restoration The plan to restore lost incomes for affected persons must include livelihood restoration. Since the majority of people in Uganda depend on the land for income and subsistence, agricultural extension, intensification and improvement of agricultural production and other interventions should form part of a comprehensive livelihood plan. Monitoring beyond the project construction period will be necessary in order to ensure income generation targets are met. Resettlement plans must target restoration of lost incomes due to the road project. In densely populated areas, costs for compensation and resettle!ment will be substantial. The desirable plan to restore lost incomes must include compensation costs, resettlement costs, admini.strative costs, rehabilitation costs and costs of lost local government or Central Government public assets. To minimise losses to the community, it is essential that compensation is paid up front and compensation timetable/programme is put in place. 5.4 TrainingI and manual labor opportunities If the baseline survey indicates that the resettlers cannot get the same employment opportunities as before then the plan must include alternative employment strategies for the displaced people. It may be necessary to institute vocational training, employment counselling, extension of credit and any other as may be identified. 5:5 Conflict resolution and grievances system It is envisaged that a number of issues (grievances) will come up as a result ol land acquisition by the project. A system must be put in place to settle these issues amicably through recognised institutions such as local councils, land boards and land tribunals to the satisfaction of involved parties. Although affected people will be given an opportunity to review the survey results and compensation policies during the process of resettlernent planning and implementation, a number of issues will arise up among the settlers. If a person is not satisfied with the 23 C: Resettlement LAFramework 3YO Nov.  compensation or rehabilitation measure given, he could raise his complaint through the mechanism that will have been put in place. In order to address the above concerns, RAFU is to ensure setting up of small field offices by the supervising consultants in the contract sites before implementation to receive complaints and channel them to both RAFU and the relevant authorities. The local councils (LCl, LC2, LC3) will hear the grievances as applicable, with the Chief Government Valuer intervening where necessary and appropriate. If the person complaining does not agree with the decision of the Councils he/she could appeal to the District Land Tribunal. If he/she still does not agree to the decision, he could go to court as a last option 6.0 IMPLIEMENTATION OF RESETTLEMENT/LAND ACQUISITION 6.1 Resettlement Impacts and Mitigation measures Road projects change patterns of use of land, water, and other natural resources and cause a range of resettlement impacts. Resettlement losses most often arise because of land acquisition, through expropriation and the use of regulatory measures, to obtain land. Housing, community structures and systems, social networks, and social services can be disrupted. Productive assets, including land, income sources, and livelihoods can be lost. Cultural identity and potential for mutual help may be diminished. Loss of resources for subsistence and income may lead to exploitation of fragile ecosystems, hardships, social tensions, and impoverishment. The people affected have no option, and must try to rebuild their lives, incomes and assets base elsewhere. To ensure that some people are not disadvantaged in the process of development, it is important to avoid or minimize resettlement effects. If reseillement is unavoidable, RAFU should help restore the quality of life and livelihoods of those affected. There may also be opportunities to impirove the quality of life, particularly for vulnerable groups. All kinds of resettlement losses need mitigative measures, as set out in Table 6.1.An integrated approach to impact management is preferred. Table 6.1: Major types of Resettlement Impacts and Mitigation Measures Required Type of Impact Mitigation Measures Loss of productive Compensation at replacement rates, or assets, including land, replacement, for lost incomes and livelihoods. income and livelihood. Income substitution during re-establishment plus income restoration measures in the case of lost livelihoods. Loss of housing, Compensation for lost housing and associated possibly entire assets at replacement rates; relocation options community structures, including relocation site development if required; 24 C: Resettlement LAFramework 3' Nov.  systems, and plus measures to restore living standards services. Loss of other assets Compensation at replacement rates or replacement Loss of community Replacement if possible, or compensation at resources, habitat, replacement rates; restoration measures. cultural sites and goods 6:2 Provision of infrastructure and services The objective of resettlement is that a community is replicated on a socially and economically viable basis. Therefore, community infrastructure must be replaced and ideally improved in situations where it was deficient. This includes installation of sanitary and waste product facilities and electricity generation systems. Road links should also be established. The provision of water is key as without adequate supplias of water the community is not viable. This is particularly imporlant when new lands are being settled, without a previous history of settlement. The availability of water should be assessed before people are relocated to a new site. Services such as education (Primary and Secondary Schools and health facilities (dispensaries and clinics) should also be established in the new communities at the time people are settled. In cases where PAPs are actually resettled, infrastructure should be provided for in the plan. 6:2:1 Individlual houses Buildings are officially categorised for valuation purposes as "temporary" (i.e built with mud and wattle and grass), "semi- permanent" with mud and wattle walls and corrugated iron roofs and permanent (brick or concrete walls). In accordance with the with recent GOU policy decisions, compensation is payable on replacement basis. The affected people are entitled to compensation through negotiation. They should be provided with full replacement cost for the lost structures, and should be treated as provided for in 5.2.3. If people chose to build their own houses, they should receive compensation equivalent to the cost of materials plus labour, hired or their own. However, it is not recommended that people build their own houses, unless they insist on doing so. 6:2:2 Drinking water system In the event that access to drinking water supplies is affected temporarily or permanently, RAFU (the developer) should be committed to providing access to alternative sources. Facilities can be provided either from boreholes or pumped supplies from a river, lake or wherever necessary. Consultations should be held with the relevant authorities over the most appropriate form of provision. 25 C: Resettlement LAFramework 3d Nov.  6.3 Environmental Management Road Development Projects are bound to have their own environmental impacts, which should be identified during planning. The resettlement component may be subject to an environmental impact assessment depending on its nature and extent. The environmental management arrangements ought to include; i) clear identification of key stakeholders ii) definition of roles and responsibilities iii) provision of resources for implementation. 6:4 Payment procedures of compensation All parties involved will sign a compensation certificate. Signatories to the compensation certificate will include, the recipient, Local Council representatives, member of the Parish Land Committee and a RAFU representative Compensation of amounts more than Ushs 100,000/= will be made by cheque. Payment below Ushs 100,000/= may be made in cash. On payment a receipt (based on a standard form) will be signed upon by the saime parties as above. Peasant communities are often unable to properly manage large sums of money following compensation. Where applicaible, the RAP should provide for training and assisting these communities to manage money, including facilitating them to open and manage bank accounts. Such training is under the responsibility of RAFU The resettlement study team, should draw up a payment plan which will ensure that payments are not delayed. The study should establish the best criteria for payment either in instalments, or re-season or lump sum, depending on the socio-economic characteristics of the society in question. 6:5 Rehabilitation of incomes Relocatees should become the first beneficiaries of a project. Every effort should be made to ensure that their previous income levels are restored after relocation and that as a result of the resettlement their standards of living improve. In other words, those that are to make way for a project should be better off, not worse off after the project has been implemented. This is the fundamental objective of the resettlement task. 6:6 Assistance to vulnerable people Vulnerable groups include sectors of the population such as female headed household, the elderly, children, the handicapped, indigenous people, forest dwellers, squatters, or the poorest of the poor. It is important that vulnerable groups are identified early in the resettlement planning process and their specific needs and aspirations 26 C: Resettlement LAFramework 3"d Not.  examined. Resettlement often provides an opportunity to enhance their e!conomic and social conditions. While all affected people should be treated fairly, this does not mean that thiey all be treated equally. The needs of vulnerable groups might be such that special provisions may have to be planned. In other words, special attention should be given to these groups. 6.7 HI V/AIDS Mitigation Because of the characteristics of road projects, there is potential for increased presence of HIV/AIDS in the project areas During the constrjction phase, the project will introduce new workers to the different areas. This will mean that there will be a higher frequency of interaction between the local people and construction/project workers. Further, through the improved network, the project will provide for increased communication and contact between people in villages and in cities/towns. This will result in a higher rate of HIV infection. The RAP should therefore provide for mitigation measures, including informaition campaigns, creation of awareness of the risk of HIV/AIDS and other STDs associated with mobile work force and its interaction with local people, and provision of condoms. 6.8 Altemratives for resettlement sites With regard to alternatives for resettlement sites, the resettlement study team needs to: iv) identify possible alternatives together with the host and resettlers; v) identify the productive potential of alternative sites as well as availability of other sources of income; vi) identify the comparable employment opportunities, infrastructure, services and production opportunities; vii) identify and prepare relocation sites and drawing up timetables and budgets for resettlement RAFU, with the assistance from MOWHC, will put in place legal arrangements for land title ownership and for guarding against land speculation. 6:9 Time schedule: summary of activities It is essiential that a resettlement timetable, which is well coordinated with proposed roadworks activities, is put in place so that the resettlenient exercise is not left to be implemented towards the end of the road project. It is desirable that a sound schedule for executing the resettlement operation spreads evenly over the duration of RDPP2 road projects requiring resettlement is put in place so as to avoid "end-bunching". The resettlement plan should include an implementation schedule for each activity covering the initial baseline and preparation, actual relocation and post relocation. The Resettlement timetable should 27 C: Resettlement LAFramework 3d Nov.  provide for phased resettlement to allow construction/improvement works and resettlement to take place at minimal cost. Thus resettlement can be synchronised with the gradual advance of the road works, especially in densely populated areas. 6.10 Outline for Resettlement Action Plan * Table 6.2 outlines the contents of a RAP for RDPP2 projects. This is a full Table of Contents and each project context and degree of impacts will define whether all elements are required and to what extent. This outline conforms to best practice. Table 6.2 Recommended Contents of the Resettlement /Land Acquisition Plan 1T'pic Contents Executive Summary Significant findings and Executive SLummaryi. l__________________________ i recommended actions Overview of main goals and objectives of Plan. Introduction * The project location and affected sites. * Methods/approach of social assessment. * Outline of institutional framework and recommended institutional strengthening strategy * Identification of institutional tasks Institutional legal and and responsibilities, ensure clear Policy framework division of responsibilities. * Review of relevant laws, regulations and policies, including issues relating to resettlement and eligibility for compensation. * Account of baseline survey results including identification of project affected people (PAP) and likely losses. Social-economic baseline information (tiasis for * Demographic information, planning) I * Land tenure regimes, * Livelihood activities, agricultural ; __I production, resource usage, 28 C: Resettiement LAFramework 3d Nov.  . Present state of services and infrastructure * Host Community - status and attitudes. ,I * Presentation of project impacts on the environment Project Impacts * Steps taken to minimise land acquisition and resettlement impacts. * Stakeholder analysis. * Community participation and Community Participation j consultation strategy. and Consultation i * Involvement of local government(s). * Involvement of NGOs and CBOs lI * Inventory of affected individual I ,j and community properties. lIl * Criteria and strategy for compensation. * Income restoration strategy. lCompensation System Coo Se Training programmes and labour opportunities. * List of PAP and summary of I ! compensation per individual or family. * Grievances redress system/mechanism * Infrastructure works/social improvement Il l * Payment procedures lImplementation of l..' Impresettlementcompsation of g * Rehabilitation of incomes resettlement/compensation l * Attention to vulnerable groups * Time schedule and summary of l activities 29 C: Resettlement LAFramework 3d Nov.  . Financial responsibilities. i Approximate breakdown of all costs for resettlement and Social I ! improvements. Budget ' . Contract process and form of payment * Specify process of payment * Monitoring mitigation measures e.g relocation of persons, affected people's incomes and their general : Monitoring and Evaluation j welfare and food security * Evaluation of actual results A Maps. Designs, agreements, legal documents, summaries of studies 7.0 RESETrTLEMENT BUDGET It is necessary to prepare an adequate budget to meet the costs of resettlement because inadequate financial resources for resettlement prograimmes lead to their failure. 7.1 Financial responsibilities To ensure the overall attractiveness of RDPP2, adequate resettlement finances will have to be provided by RAFU. Inadequate financial resources for resettlement programmes leads to their failure. Therefore it is necessary to prepare an adequate budget to meet the costs cf resettlement/compensation. There are two aspects to preparing the resettlement budget: Firstly, if the budget is too low, then the funds will be inadequate and this will lead to delays in implementing the RDPP2. Secondly, if the budget is excessive, it may discourage donors from investing in that particular road, and the Government may not be able to afford such costs. 7.2 Approximate cost breakdown 7.2.1 Component Compensation Costs The component costs of compensation can be summarised as follows: - * Compensation for land * Compensation for crops 30 C: Resettlement LAFramework 3'a Nov.  * Compensation for assets * 15% or 30% disturbance allowance depending on notice given (15 % of notice is 6 or more months, and 30% of notice is less than 6 months) These exclude any potential uplift paid by the developer 7.2.2. Direct compensation items Other items of direct compensation include:- * Costs of relocating cultural properties (if any) * Temporary loss of income * Provision of water supplies and other infrastructure. * Community development projects 7.2.3 Resettlement Costs This covers the cost of items such as: * Physical movement of families and their belongings * Preparation of the new site * Maintenance of families until new the new site is productive * Necessary household or community infrastructure * Individual or community rehabilitation 7.2.4 Administrative Costs Project implementation will also involve administrative costs for the following items:- * Office rent and operating expenses * Salaries * Payment for specialist services * Transportation costs 8.0 MONITORING AND EVALUATION SYSTEM 8.1 Monitoring the resettlement process The following are indicators for monitoring of the participation process involved in RDPP2 projects. * Number and percentage of affected households consulted during the planning stage * Levels of decision-making of affected people * Level of understanding of project impacts and mitigation/resettlement options * Effectiveness of local authorities to make decisions * Frequency and quality of public meetings * Degree of involvement of women or vulnerable disadvantaged groups in discussions The following are social indicators for monitoring of the implementation of mitigatiQn plans for RDP projects. 31 C: Resettlement LAFramework 3da Nov.  * Agricultural output and income of affected peoples * Height-weight ratio for children to measure nutritional status and food security * Waste disposal from camps and trading centres as well as rubbish disposal and sanitation arrangements for camps * Water use and availability of safe drinking water * Conditions of local dispensaries and staffing * HIV testing and prevention programme for project area and camps * Quality of buildings in project area and temporary dwellings for worker camps * Availability of schooling, attendance and teacher per student ratio * Inflation and availability of essential goods in local markets * Effectiveness of compensation payments and procedures * Effectiveness of resettlement of affected families and procedure - provisions for support in relocation * Traffic safety * Worker safety, referral system to hospitals and work site inspections * Involvement of local authorities and NGOs in project- related activities * Employment of local people on site e Population influx and general security in the project area. The monitoring should include, for each indicator: i) schedule for monitoring ii) responsibilities for monitoring iii) types of resources needed and their sources 8.2 Evaluation of thVe actual results The evaluation of results of environmental and social mitigation can be carried out by comparing baseline data collected in the planning phases with targets and post-project situations. For social issues it is possible to identify some basic targets for RDPP2 projects. Table 8.1 covers many indicators that may not be relevant for all RDPP2 project but could function as a checklist for monitoring, especially long-term monitoring of a project area. Possible targets are filled in whenever possible but these would have to be defined and related to the baseline data collected. Monitoring and Evaluation will be the responsibility of RAFU . 32 C: Resettlement LAFramework 3T Nov.  Indicator Target Village access to roads Roads maintained or improved Consumer price index Stable Real GNP per capita Exceed national average Calorie intake Headcount index Reduction of poverty and food poverty lines Poverty gap index No increase in poverty gap Cultural heritage No loss of cultural heritage site or full replace of sites 1. LIVELIHOOD Desegregated (ethnicity, gender, village income strata) Need to be enough so as to provide basic needs imputed income summation of livelihood components (food, shelter, health, education) and savings for (hunting/gathering, arable cropping, tree cropping, investment. livestock husbandry, forestry, handicrafts, other commercial activities, wage labour) Sustainability analysis For sustainability (i.e. compliance with the requirements of environmental and ecological integrity, social equity and legality) Food staple sufficiency Less than 2,100 calories per capita, per day, considered to constitute food poverty (UNDP, 1999) Livestock holdings Defined number of cattle equivalents per hectare of arable crop land Land holdings (by category) Proportionate to family labour availability Agricultural equipment In accordance with agricultural practice requirements House size and type Not less than average floor space per capita than in project surrounding area Household assets (proxy, as a measure of savings) Savings target of 10% annual imputed income Crop yields (by land type) Not less than average yields for region 2. INCOME GENERATION Amount and number of small enterprise loans Possible increase depending on demand and local disbursed/repaid economy Number of small enterprises Increase during construction in project area Number of skilled labourers Increase during construction in project area Unemployment Decrease during construction in project area Number of unskilled wage earners Increase during construction through employment of local labour Number of skilled wage eamers Increase during construction through employment of local labour Unskilled rural wage Increase in average wages due to increase in demand during construction Skilled rural wage Increase in average wages due to increase in demand during construction Credit and Savings groups established Establishment of groups in project area 3. EDUCATION Villages with complete primary school Primary school enrolment Lower secondary school enrolment Primary school completion rate 33 C: Resettlement LAFramework 3'1 Nov.  Lower secondary school completion rate Adult literacy Skills training Improvements in project areas GENDER ISSUES Women in administrative positions at local level Possible increase depending on positions and promotion Women in professional and technical positions Possible increase depending on demand and local economy Amount and number of small enterprise loans disbursed Possible increase depending on demand and local for women economy Number of small enterprises for women Increase during construction in project area Number of female skilled laboureis Increase during construction in project area Female unemployment Decrease during construction in project area Number of female unskilled wage earners Significant increase during construction through employment of local labour Number of female skilled wage earners Significant increase during construction through employment of local labour Unskilled rural wage for women Increase in average wages due to increase in demand during construction Skilled rural wage for women Increase in average wages due to increase in demand during construction Credit and Savings groups established for women Establishment of groups in project Female literacy Increase during project 4. HEALTH Maternal mortality Significant improvements Infant mortality Significant improvements Under 5 mortality Significant improvements Calorie intake Significant improvements Dietary diversity Adequate balance between staples, proteins and Igreens' Public expenditure on health related services Significant increases Access to health care Access for all households in project affected areas Population per nurse/health assistant Increase in ratio due to recruitment and training of local personnel and upgrading of facilities Population per doctor Increase in ratio due to recruitment and training of local personnel and upgrading of facilities Access to clean drinking water Improved access Access to sanitary means of human waste disposal (toilets) Immunisation of children (DPT) Immunisation of children (Measles) Life expectancy at birth Improvements Under 5s severe malnutrition Deaths from pneumonia per 1000 live births Percentage of births unattended by trained health Attended births for all women in project affected personnel areas Availability of contraceptives Increase as part of health awareness (STD prevention) Contraceptive use Increase as part of health awareness (STD prevention) 34 C: Resettlement LAFramework 3d Nov.  9.0 CONCLUSION: * In conclusion, good practice in resettlement planning and implernentation are the key to fulfilment of objectives of involuntary resettlement. It encompasses the following:- * Taking steps to minimize or eliminate involuntary resettlement where feasible by exploring viable alternative design options. * Defining the parameters of likely resettlement at the ISA stage, and include appropriate TORs in the Feasibility Study. * Conceptualizing and implementing resettlement measures as development programs, to be part of projects, * Completing social economic surveys and census of people affected early in the project preparation * Involvement of all stakeholders in a consultative process, * Resettling or Compensating all affected persons, * Establishing appropriate income restoration programs. * Providing a social preparation process for people affected 10. APPENDICES Appendix 1: Map of Uganda showing major road development projects Appendix 2: World Bank Directive 4.30 - Involuntary Resettlement Appendix 3: Sample format for monitoring resettlement activities 35 C: RA -MOIIT it I AFr rownrk < Nnv  .J pjJ-liUlLi I