Urban Local Government

Development Project:
Training for City and Regional project
Implementers
On Resettlement Frame Work

October 3-4/2011
 Objective
To enhance the capacity of City and
Regional staff members in implementing
ESMF/RPF
 Safe guard polices
• Safeguard policies” are generally
understood to be those operational
policies that seek to avoid, minimize, or
mitigate adverse environmental impacts,
social costs to third parties, or
marginalization of vulnerable groups that
may result from development projects.
 Safe guard contd
• Safeguards and sustainability policies
used to prevent or mitigate adverse
impacts of projects on people and the
environment.
 Safe guard paradigm
• The safeguards paradigm contains
mandatory requirements, with specific
mitigation measures designed before
project approval,
• If national regulations differ from the
Bank’s safeguard policies, we need to
accept the higher standards of the Bank’s
policies.
 Why social safe guarding
• Because project interventions defiantly
have both positive as well as negative
results on individuals life thus, to reduce
the negative result
• To prevent and mitigate undue harm to
people and their environment in the
development process
• To save our projects from failure
 Why projects failed?

Lack of ownership (belongingness by the

community)
Poor participation of the community during
project designing (poor usage of
knowledge of the community)
How we can protect project failure

• By using instruments (Safe Guards) that

help us to achieve sound social and
environmental planning design,
implementation as well as monitoring and
evaluation of ULGDP subprojects
planning
• RPF and ESMF
 RPF a tool for sustainability of
projects
• Ensure that the necessary procedures are
followed
• Select socially recognized and suitable
projects
• Give emphasis for community participation
and consultation
 Why RPF?
• To address Social impacts of all
development projects under ULGDP such
as,
• Land acquisition
• Loss of property or assets
• Disturbance/affecting of livelihoods
• Loss of access to business/ services
 Objective of RPF
• a) Involuntary resettlement should be avoided
where feasible, or minimized, exploring all viable
alternative project designs.
• (b) Where it is not feasible to avoid resettlement,
resettlement activities
should be conceived and executed as
sustainable development programs, providing
sufficient investment resources to enable the
persons displaced by the project to share in
project benefits.
 Objective contd…
• Displaced persons should be meaningfully
consulted and should have opportunities to
participate in planning and implementing
resettlement programs.
• (c) Displaced persons should be assisted in their
efforts to improve their livelihoods and standards
of living or at least to restore them, in real terms,
to pre-displacement levels or to levels prevailing
prior to the beginning of project implementation.
 contd
In general the principles of RPF
1. Avoid Involuntary resettlement and land
acquisition
2. Support a person who adversely affected
by the project
3. If involuntary resettlement is unavoidable
to address the compensation issues
appropriately
 What must be done to achieve the
RPF objective?
• particular attention must be paid to the needs of
vulnerable groups among those displaced,
especially those
• below the poverty line, the landless, the elderly,
women and children,
• indigenous peoples, ethnic minorities, or other
displaced persons
• Who may not be protected through national land
compensation legislation
 Contd.
• The implementation of resettlement
activities is 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.
 Involuntary Resettlement
• Resettlement is voluntary only when the affected
people have the option to refuse resettlement,
and
• They nevertheless resettle based on informed
consent. Thus, if the affected people do not have
the option to refuse resettlement, their
willingness to accept the provisions of the
resettlement plan does not make the
resettlement voluntary and it is involuntary.
 Contd…
• To conclude Resettlement is voluntary only
when it is not involuntary
i.e.,
• when the resettler has the choice not to move,
but nevertheless moves based on informed
consent
• But when the voluntary nature of resettlement
cannot be confirmed, resettlement would be
treated as involuntary.
 Impact of Involuntary resettlement

• Involuntary resettlement may cause

severe long-term hardship,
impoverishment, and environmental
damage unless appropriate measures are
carefully planned and carried out.
 What are the project Impacts that
need to be covered?
Direct economic and social impacts
• (a) the involuntary taking of land resulting
in
• (i) relocation or loss of shelter;
• (ii) lost of assets or access to assets; or
 Contd.
• iii) loss of income sources or means of
livelihood, whether or not the affected
persons must move to another location; or
• (b) the involuntary restriction of access to
legally designated parks and protected
areas resulting in adverse impacts on the
livelihoods of the displaced persons.
 Required measures
• The resettlement plan or resettlement
policy framework includes measures to
ensure that the displaced persons are
• (I) informed about their options and rights
pertaining to resettlement;
 Contd…
• (ii) consulted on, offered choices among,
and provided with technically and
economically feasible resettlement
alternatives; and
• (iii) provided prompt and effective
compensation at full replacement cost for
losses of assets attributable directly to the
project
 contd

• If the impacts include physical relocation,

the resettlement plan or resettlement
policy framework includes measures to
ensure that then displaced persons are
• I) provided assistance (such as moving
allowances) during relocation; and
 Contd..
• (ii) 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.
 contd
• offered 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;
and
• provided with development assistance in
addition to compensation measures such as
land preparation, credit facilities, training, or job
opportunities.
 contd
• these measures include provision of
compensation and of other assistance required
for relocation, prior to displacement,
• and preparation and provision of resettlement
sites with adequate facilities, where required
• Preference should be given to land-based
resettlement strategies for displaced persons
whose livelihoods are land-based.
 contd
• If land is not the preferred option of the
displaced persons, because of the reason that :-
• The provision of land would adversely affect the
sustainability of a park or protected area, or
• sufficient land is not available at a reasonable
price,
• 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.
 Contd.
Payment of cash compensation for lost assets
may be appropriate where;
• Livelihoods are land-based but the land taken
for the project is a small fraction of the affected
asset and the residual is economically viable;
 Contd.
And when ;
• Livelihoods are not land-based.
• Cash compensation levels should be
sufficient to replace the lost land and other
assets at full replacement cost in local
markets.
 Ethiopian compensation and
expropriation law and regulation
• Proclamation No 455/2005 Expropriation of
Landholdings for Public Purposes and Payment
of Compensation establishes the legal principles
and framework for expropriation and
compensation.
• Council of Ministers Regulations No. 135/2007,
on the Payment of Compensation for Property
Situated on Landholdings Expropriated for
Public Purposes provide the procedures for
application of Proclamation No 455/2005.
 Eligibility for Benefits
Criteria for Eligibility.
• Displaced persons may be classified in
one of the following three groups:
• (a) those who have formal legal rights to
land (including customary and traditional
rights recognized under the laws of the
country);
 Eligibility contd…
• (b) those who do not have formal legal
rights to land at the time the census
begins but have a claim to such land or
assets—provided that
such claims are recognized under the laws
of the country or become recognized
through a process identified in the
resettlement plan
 Contd…
• (c) those who have no recognizable legal
right or claim to the land they are
occupying.
• Persons covered under a and b are
provided compensation for the land they
lose, and other assistance.
 contd
• Persons covered under c are provided
resettlement assistance in lieu of
compensation for the land they occupy,
and other assistance, if they occupy the
project area prior to a cutoff date
 Contd.
However
All persons included in a,b and C
• Are provided compensation for loss of
assets other than land.
• Persons who encroach on the area after
the cutoff date are not entitled to
compensation or any other form of
resettlement assistance.
 What we can do for those displaced who
don’t have any claim to the land provided?

• Provide resettlement assistance instead of

compensation
• need to be assisted (provided
"resettlement assistance") in a manner
which helps them improve, or at least
restore their standards of living,
 What we can do Contd
• The aim of compensation and resettlement
is same and it is "to improve or at least to
restore the incomes and standards of
living of all displaced people".
• since compensation can only be
paid to those who have established rights
under national legal systems.
 Resettlement Planning,
Implementation, and Monitoring

Resettlement planning includes

• early screening
• The choice of resettlement instrument, and
• The information required to prepare
the resettlement component or sub-
component.
 Resettlement Instruments
A. Resettlement Action Plan (RAP)
• The scope and level of detail of the
resettlement plan vary with the magnitude and
complexity of resettlement
• A full RAP is required at appraisal whenever:-
• Land acquisition in a project affects more than
200 people,
• Takes more than 10 percent of land holding,
and involves physical relocation of population
 In preparing the resettlement
component
• potentially displaced persons should be informed
at an early stage about the resettlement aspects
of the project
• Their views should take into account in project
design.
• Full costs of resettlement activities necessary to
achieve the objectives of the project are
included in the total costs of the project.
• Need to ensures that the Project Implementation
Plan is fully consistent
with the resettlement instrument.
 B. Abbreviated resettlement plan

• An abbreviated RP is acceptable if fewer

than200 people are displaced.
• Even if more than 200 people are
affected, if all land acquisition is minor (10
percent or less of all holdings is taken) and
no physical
relocation is involved, an abbreviated RAP
is acceptable.
 Contd
• If fewer than 200 people are displaced but
some physical relocation is involved, the
abbreviated RAP is expanded to include a
rehabilitation program
 An abbreviated plan covers the
following minimum elements:

• (a) a census survey of displaced persons

and valuation of assets;
• (b) description of compensation and other
resettlement assistance to be provided;
• (c) consultations with displaced people
about acceptable alternatives;
 Contd…
• (d) Institutional responsibility for
implementation and procedures for
grievance redress;
• (e) Arrangements for monitoring and
implementation; and
• (f) A timetable and budget.
 Who are considered as a project affected
persons (PAPs)?
Those who may have:-
• Standard of living adversely affected, whether or
not the PAP must move to another location
• Lawful possession of any house, land or any
other fixed or movable asset acquired or
possessed, temporarily or permanently,
adversely affected;
• Access to productive assets adversely affected,
temporarily or permanently; or
• Business, occupation, work or place of
residence or habitat adversely affected;
 PAPs can be one of the following
• The likely displaced (economically
or physically) persons can be categorized into different
groups namely
A) Affected individuals
• individuals who risks losing assets, investments, land,
property and/or access to natural and/or economic
resources as a result of a sub-project
B) Affected households
household is affected if one or more of its members are
affected by any sub-project.
 Categories contd.
• (a) Any member in the households, men,
women, children, dependent relatives and
friends, tenants;
• (b) Vulnerable individuals who may be too old or
ill who live along with the others;
• (c) Members of households who cannot reside
together because of cultural rules, but who
depend on one another for their daily existence;
 Categories contd…
• (d ) Other vulnerable people who cannot
participate, due to being physically
challenged or for cultural reasons, in
production, consumption, or co-residence.
 Impoverishment Risks
• Landlessness
• Joblessness
• Homelessness
• Marginalization
• Educational loss. (Involuntary displacement
disrupts all public services at the departure
sites, with heavy effects particularly on
schools’ functioning)
 Impoverishment contd.
• Social disarticulation:- the dispersion of
informal and formal networks, local associations,
etc. is a massive loss of social capital).
usually
• Not recognized and not measured by planners,
and is a cause of disempowerment and
impoverishment.
 Contd…
• Because resettles are non-homogeneous
groups, the risks highlighted above
differentially affect various categories of
people: rural and urban, tribal and non-
tribal groups,
• Research shows that women suffer the
impacts of displacement more severely
than men do.
 What will happen if we don’t do
social safe guarding?
• Empirical experience indicates that
involuntary resettlement if unmitigated,
often gives rise to severe economic,
social, and environmental risks:
• people face impoverishment when their
productive assets or income sources are
lost;
 What will happen contd…
• Community institutions and social networks are
weakened;
• kin groups are dispersed; and cultural identity,
traditional authority, and the potential for mutual
help are diminished or lost.
• people are relocated to environments where
their productive skills may
be less applicable and the competition for
resources greater;
 Steps to Implement RPF
• Each individual ULGDP subprojects
should pass through RPF screening to
identify the potential positive and negative
impacts and categorize sub-projects into
schedule 1, 2, 3 or category A, B,C
 Six key steps
Step one
• Preparation and consultation
Activities to be done
Review the RPF
Contact the Regional EPA/EPLAUA
Identify projects and their social and
environmental impacts
 Step two
• Screening Sub-Projects and prepare a
screening report based on the format
provided then you determine the category
of sub project
Activities to be done
• Determine location of the sub-project,
magnitude of potential impacts, and
monitoring requirement
 Step Three
• Work with Work with Schedule A and B
projects
Activities to be done
• Site visit
• Preparation of RAP or ARAP
• For schedule A project prepare TOR
 Step Four
Schedule A projects
• need to prepare RAP
Activities to be done
• Preparation of TOR
• Recruiting the consultant
• Ensuring the quality
• Submit Report to REPA
 Step Five

• Review , Appeal and Record of Decision

Activities to be done
• Submit screening report RAP to REPA
and review the quality of the reports
• Disclosure
 Step Six
• Implementation and supervision
Activities to be done
• Monitoring and evaluation
• Annual social and Environmental Audit
 Exercise 1
• City A needs to implement a sub- project
of drainage in one part of the city. But the
city recognized that there are few
containers on the area.
Please fill the screening report form as
Identified in annex A and propose a
possible category for the mentioned sub-
project
 Exercise 1
• What mechanism do you use to restore the
livelihood of people of the following cases?
• 1)Those who lost their total or almost greater
than 50 % farming land due to the project
intervention?
( please discuss based on your practical
experience)
If you don’t have this type of project What do you
advise those who faced this kind of situation?
For those whose business is affected due to the
project intervention ?
 Exercise1 contd…
2)For those vendors who lost a plot of land
due to market upgrading project?
3)For those vendors who lost their plot of
land due to public toilet or other subproject
intervention other than market upgrading?
 Exercise 2
• City A needs to implement a sub-project of
cobble stone construction of 6 meter wide on a
five meter wide existing road.
• Discuss thoroughly on the way that how you can
implement this project with out a negative social
and environmental impact. Discuss all the steps
that you will go through to ensure the effective
implementation of social and environmental
framework.
 Exercise 3
• Bring your challenges related with RPF
implementation on the table for discussion
as an Experience sharing and learning
process
• ምን ችግር ገጠማችሁ?
• እንዴት ፈታችሁት ?
• ሌሎቻችሁስ እንዴት መፈታት ነበረበት ትላላችሁ?
 -
“Let us work together for the Social and
Environmental sustainability of Our
projects“

And

Thank you!!!