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REPUBLIC OF KENYA

MINISTRY OF NAIROBI METROPOLITAN DEVELOPMENT

RESETTLEMENT POLICY FRAMEWORKFOR

NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT (NaMSIP)

December 2011By:Architect David Iluve KithakyeP.O. Box 75855, Nairobi, 00200Tel: +254 722 379290Email: [email protected]

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Resettlement Policy FrameworkNAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT

DECEMBER 2011

EXECUTIVE SUMMARY

This report outlines the Resettlement Policy Framework (RPF) for the Nairobi Metropolitan Services Improvement Project (NaMSIP) being implemented by the Ministry of Nairobi Metropolitan Development (MONMED) with funding assistance from the World Bank. MONMED was established through a Presidential Circular on 0I May 2008 with a mandate to create a metropolitan region comprising of 15 Local Authorities including the City of Nairobi. The Nairobi Metropolitan Rgion (NMR) extends over 32,000 square kilometres include the following local authorities grouped as follows: Core Nairobi comprising the City Council of Nairobi; The Northeern Metro comprising the Municipal Council of Kiambu, Municipal Council of Limuru, the Municipal Council of Limuru; the Municipal Council of Ruiru; the Municipal Council of Thika, Town Council of Karuri; Town Council of Kikuyu; and County Council of Kiambu; The Southern Metro comprising of the Town Council of Kajiado and the County Council of Olkejuado; and The Eastern Metro comprising of the Town Council of Tala/Kangundo, Municipal Council of Machakos, the Municipal Council of Mavoko, and the County Council of Masaku.

Although NMR is the most urbanized region in Kenya, it faces several development challenges which if unattended to, will hinder the region from the benefits of urbanization And realization of the Nairobi Metro 2030 Vision of creating a World Class African Metropolis by 2030. The main metropolitan challenges include:

- Uncompetitive metropolitan economy caused by high cost of land, high cost of infrastructure, inadesquate skilled manpower, poor safety and security and poor performing institutions;

- Inadequate Infrastructure and Utilities arising from poor service connections, poor network accessibility, inadequate capital investments and inadequate operations and maintenance;

- Poor quality of Life resulting from poor access to medical services, poor quality of housing, inadequate access to housing, poor access to education services and ineffective spatial planning regime;

- Poor Safety and Security caused by poor public and individual safety, internal strife, regional instability, inadequate emergency services, negative public image, poor business environment;

- Ineffective metropolitan Governance due to inadequate capacity in governance institutions, poor client focus, weak and uncoordinated efforts of various institutions.

The Nairobi Metropolitan Services Improvement Project (NaMSIP) is an integral element of the Country Partnership Strategy (CPS) between the World Bank the Government of Kenya, which will contribute to the goals of the Kenya Government’s Vision 2030, and through the strenghthening of governance of and within the region for improved service delivery, contribute towards the realization of the vision of creating a World Class African Metropolis by the year 2030.

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The project has the following four components:1. Institutional Reform and Development focusing on capacity enhancement of the

local entities within the region and that of the Ministry to competently deliver the objectives of the project.,

2. Critical local government infrastructure and services which will finance critical infrastructure and investments for selected urban areas within Nairobi Metropolitan Region.

3. Critical metropolitan infrastracture and services which will assist in providing metropolitan infrastructure in the areeas of solid waste, transport, and sewrage services, which are crucial for the service delivery and development within the region.

4. Project Management, Monitoring and Evaluation which will finance the management activities associated with project implementation, including establishing and implementing a comprehensive monitoring and evaluation (M&E) system and training of the implementing agencies.

NaMSIP is at the planning stage and as such the projects to be executed for each component are yet to be defined and physical locations identified. The Ministry for Nairobi Metropolitan Development, using a World Bank Programme Preparation Facility has engaged a team of consultants to provide inputs into the preparation of NaMSIP including the preparation of the Resettlement Policy Framework (RPF) and the Environmental and Social Management Framework (ESMF).

The RPF will guide implementation of NaMSIP civil works packages to provide safeguards against adverse impacts of displacement and consequent disruption of livelihoods of the affected persons. The RPF has been prepared in conformity with the World Bank Safeguard Operational Policy, OP 4.12 – Involuntary Resettlement - and anchored in the legal provisions of the Kenya Government. Where the two are diverge, OP 4.12 prevails

The RPF will guide implementation of NaMSIP civil works packages to provide safeguards against adverse impacts of displacement and consequent disruption of livelihoods of the affected persons. The RPF examines the process of displacement and resettlement and discusses the following measures of avoiding, and where unavoidable, minimising the impact:

Involving the communities and Project Affected Persons (PAPs) as early as possible in the project and engaging the community in the design and implementation of the of the projects;

Keep the PAPs fully informed of any eventualities including possibility of being compensated and/or resettled.

Preparing, updating and adhering to Regional and Development plans to ensure that developments are located appropriately. The Ministry will establish a Forward Planning Unit which will consider long-term projections and requisite provision of land and space;

In the event that displacement cannot be avoided, , the process of assessing who is affected, determing the appropriate mitigation measure – compensation and/or resettlement - will be carried out with involvement and consultations of the persons affected, in a transparent manner and with a grievance redress mechanism in place.

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Coordination of the NaMSIP will require adequate capacity at MONMED to match the responsibility of delivering the World Class African Metropolis by 2030. The detailed Resettlement Action Plans (RAPs) which will be prepared once the projects are definitely defined should be simple and clear and to be understood by all actors, but at the same time comprehensive.

The arrangements for monitoring the resettlement and compensation activities fall under the overall monitoring programme of the entire NaMSIP which will be carried out by the PCT. It is important to involve the communities and the PAPS in the M&E process. They have local information on trends and challenges and they know the best way to articulate the same.

Periodic evaluations will be made in order to determine whether:- - the PAPs have been compensated as required under OP 4.12; - economic rehabilitation measures have been implemented; and- the PAPs have the same or better standard of living than before.

A number of objectively verifiable indicators shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively and qualitatively measuring the physical and socio-economic status of the PAPs, to determine and guide improvement in their social wellbeing.

KEY HIGHLIGHTS OF THE RPF

The key highlights in this RPF report is presented as follows:

Principles and objectives governing resettlement preparation and implementation. A description of the process for preparing and approving resettlement plans. Land acquisition and likely categories of impact. Eligibility criteria for defining various categories of project affected persons. A legal Framework reviewing the fit between the laws of Kenyan and regulations

and World Bank policy requirements and measures proposed to bridge any gaps between them.

Organizational procedures for the delivery of entitlements, including an Entitlements Matrix.

A description of the implementation process, linking resettlement implementation to civil works.

Descriptions of grievance redress mechanisms. A description of mechanisms for consultations with, and participation of PAPs in

planning, implementation, and monitoring of NaMSIP activities. Arrangements for monitoring by the implementation agency and, if required, by

independent monitors.

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CONTENTSEXECUTIVE SUMMARY................................................................................................................................ ii

KEY HIGHLIGHTS OF THE RPF...................................................................................................iiiv

CONTENTS..................................................................................................................................................... iiv

ABBREVIATIONS AND ACRONYMS........................................................................................................iiix

GLOSSARY OF TERMS................................................................................................................................. iix

Definitions........................................................................................................................................................ iix

1 CHAPTER ONE: INTRODUCTION...............................................................................................21

1.1 Background:...............................................................................................................................21

1.2 The Assignment:........................................................................................................................21

1.3 Objective of the Assignment........................................................................................................2

1.4 The need for the Resettlement Policy Framework........................................................................2

1.5 Resettlement Policy Framework Report Layout........................................................................23

2 CHAPTER TWO: METHODOLOGY AND CONSULTATIONS..........................................................25

2.1 Resettlement Policy Framework Preparation Process................................................................25

2.2 Results on Findings....................................................................................................................26

2.2.1 National Context:...............................................................................................................27

2.2.2 Nairobi Metropolitan Region (NMR).................................................................................28

2.2.3 NaMSIP preparation:.........................................................................................................29

2.2.4 The Kenya Constitution:..................................................................................................211

2.2.5 Resettlement Policy Frameworks:....................................................................................211

2.2.6 Public Works....................................................................................................................211

2.2.7 Housing and upgrading Programmes:..............................................................................212

3 CHAPTER THREE: PROJECT DESCRIPTION.................................................................................213

3.1 The Project Objective.............................................................................................................213

3.2 Proposed project components for NaMSIP..............................................................................213

3.3 Analysis of the components.....................................................................................................215

4 CHAPTER FOUR: IMPACTS ON PEOPLE AND LIVELIHOODS...................................................217

4.1 Displacements..........................................................................................................................217

4.2 Categories of Project Affected People (PAPs).........................................................................217

4.3 Response mechanism to the needs of the listed PAPs categories.............................................218

5 CHAPTER FIVE: PRINCIPLES & OBJECTIVES GOVERNING PREPARATION OF RPF.........219

5.1 Involuntary Resettlement:........................................................................................................219

5.2 Socio-economic displacement:.................................................................................................220

5.3 Physical displacement:.............................................................................................................220

5.4 Screening of projects for displacement impacts.......................................................................220

5.5 Socio-economic Survey of Affected Households.....................................................................220

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5.6 Implementation Conceptual framework...................................................................................221

6 CHAPTER SIX: THE ENTITLEMENT MATRIX FOR NAMSIP..................................................222

6.1 Nature and scope of displacement impacts under NaMSIP......................................................222

6.2 Computation of Compensation:...............................................................................................222

6.3 The Entitlement Matrix............................................................................................................223

6.4 Compensation for vulnerable groups.......................................................................................223

7 CHAPTER SEVEN: LEGAL FRAMEWORK FOR RESETTLEMENT..............................................228

7.1 Land Bill 2011.........................................................................................................................228

7.2 Land Acquisition......................................................................................................................228

7.3 Physical Planning Act..............................................................................................................229

7.4 World Bank Operational Policies OP 4.12............................................................................229

7.5 Gaps between GoK and WB Policies.......................................................................................230

8 CHAPTER EIGHT: PLANNING FRAMEWORK FOR RESETTLEMENT........................................234

8.1 Planning for resettlement.........................................................................................................234

8.2 Spatial Planning in the context of Resettlement Policy Framework.......................................234

8.3 Land use and Resettlement Planning........................................................................................235

8.4 Resettlement Planning Requirements.......................................................................................235

8.5 Resettlement Policy Framework and NaMSIP implementation...............................................235

9 CHAPTER NINE: CONSULTATION AND GRIEVANCE REDRESS MECHANISMS............237

Overview.............................................................................................................................................237

9.1 Mechanisms for consultation...................................................................................................237

9.1.1 Data Collecting phase.......................................................................................................238

9.1.2 Implementation Operation................................................................................................238

9.1.3 Monitoring and evaluation phase....................................................................................238

9.2 Grievance Redress Mechanism................................................................................................239

9.2.1 Grievance Procedures.......................................................................................................239

9.2.2 Grievance redress process................................................................................................239

9.2.3 Timeliness of the process.................................................................................................240

9.2.4 The process......................................................................................................................240

9.2.5 Grievance Log..................................................................................................................241

9.2.6 Monitoring Complaints....................................................................................................241

9.3 Institutional Arrangements.......................................................................................................241

9.3.1 Institutional Coordination................................................................................................241

9. 3.2 NaMSIP Coordinating Team:..................................................................................................242

9.7 The Ministry of Nairobi Metropolitan Development...............................................................243

10 CHAPTER TEN: METHODS OF VALUING AFFECTED ASSETS............................................244

10.1 TYPES OF COMPENSATION PAYMENTS................................................................................244

10.2 VALUATION OF ASSETS AND NATIONAL LAW......................................................................244

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10.3 VALUATION PROCEDURE.....................................................................................................244

10.4 Preparation of Asset Inventory............................................................................................245

10.5 VALUATION METHODS.........................................................................................................245

10.6 CALCULATION OF COMPENSATION BY ASSETS....................................................................246

10.6.1 Compensation for Land....................................................................................................246

10.6.2 Land Measurement..............................................................................................................247

10.6.3 Calculation of Crops Compensation Rate.........................................................................247

10.6.4 Compensation for Buildings and Structures.......................................................................248

10.6.5 Compensation for Community Assets..................................................................................249

10.6.6 Compensation for Sacred Sites............................................................................................249

10.6.7 Compensation for Loss of Businesses.................................................................................249

10.6.8 Compensation for Cultivated Crops (both cash and subsistence) and Trees......................249

10.6.8 Compensation for vegetable gardens and other activities....................................................249

10.6.9 Compensation for horticultural, floricultural and fruit trees...............................................250

10.6.10 Other domestic fruit and shade trees..........................................................................251

11 IMPLEMENTATION ARRANGEMENTS.......................................................................................252

11.1 Public Consultation and participation......................................................................................252

11.2 Stakeholders Workshop...........................................................................................................252

11.3 Inventory/Census of PAPs to prepare Assets Registers............................................................253

11.4 Linking implementation to civil works....................................................................................254

11.5 Preparation of Resettlement Action Plans (RAPs)...................................................................254

12 CHAPTER ELEVEN: MONITORING AND EVALUATION........................................................255

12.1 Setting of Monitoring and Evaluation Goals............................................................................256

12.2 Responsibility of the authorities...............................................................................................256

12.3 Indicators to Determine Status of Affected People..................................................................257

12.4 Indicators to Measure RAP Performance.................................................................................257

12.5 Monitoring of RPF Implementation.........................................................................................258

12.6 Storage of data and information:..............................................................................................259

12.7 Socio-economic monitoring.....................................................................................................259

APPENDIX 1.................................................................................................................................................260

APPENDIX 2.................................................................................................................................................261

APPENDIX 3.................................................................................................................................................263

Appendix 4: RPF POWER POINT PRESENTATION.......................................................................267

Appendix 5: Minutes of Stakeholder Workshop 20 December 2011............................................................267

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TABLES AND FIGURES

FIGURES

Figure 2.2.1: Nairobi Metropolitan Region (NMR)...................................................................................28Figure 5.5.1: Implementation Conceptual Framework.............................................................................221Figure 8.5.1: Implementation Conceptual Framework.............................................................................236Figure 9.5.1: Conceptual Framework for NaMSIP Coordination.............................................................239Figure 9.7.1: Ministry Organizational Structure......................................................................................241

TABLES

Table 2.2.1: Assignment Delivery Plan.....................................................................................................27Table 2.2.2: Analysis of Main Metropolitan Region Challenges.............................................................210Table 3.3.1: Components Analysis – Inputs and Potential Socio-Economic Impacts..............................216Table 6.4.1: Entitlement Matrix...............................................................................................................224Table 7.5.1: Comparative Analysis of World Bank Op 4.12 and Gok Law.............................................231Table 7.5.2: Comparative Analysis of WB OP 4.12 and GoK Requirements.........................................233

Table 10.4.1 Forms of Compensation......................................................................................................245

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ABBREVIATIONS AND ACRONYMS

GOK Government of KenyaMONMED Ministry of Nairobi Metropolitan DevelopmentMoF M i n i s t r y o f F i n a n c eNaMSIP Nairobi Metropolitan Services Improvement ProjectRPF Resettlement Policy FrameworkESMF Environment and Social Management FrameworkRAP Resettlement Action PlansPAPS Project Affected PersonsOP Operational PoliciesERS Economic Recovery StrategyCPS Country Strategy PartnershipPCN Project Concept NotePCT Project Coordination TeamKISIP Kenya Informal Settlements Improvement ProgrammeKMP Kenya Municipal ProgrammeNRMP Natural Resources Management ProgrammeKSUP Kenya Slum Upgrading ProgrammeKURA Kenya Urban Roads AuthorityKeRRA Kenya Rural Roads AuthorityKeNHA Kenya National Highway AuthorityNUTIP National Urban Transport Improvement Project IMSWM Integrated Metropolitan Solid Waste Management SDP Spatial Development PlanNMR Nairobi Metropolitan RegionUN-HABITAT United Nation’s Human Settlement ProgrammeWB World Bank

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GLOSSARY OF TERMS

Definitions

Resettlement Policy Framework (RPF) is the instrument prepared to guide resolution of displacement arising from project activities. It sets out the compensation policy and resettlement arrangements to address the needs of the affected persons to ensure that their livelihoods are restored to pre-project levels or better.

Resettlement Action Plans (RAPs) is a resettlement instrument to be prepared when the location(s) of civil works are identified. RAPs contain specific and binding provisions to resettle and/or compensate the affected persons before implementation of the activities.

Involuntary Resettlement means the involuntary acquisition of land resulting in direct or indirect economic and social impacts due to loss of benefits from use of land, relocation of structures, loss of access to assets, loss of income and means of livelihood and loss of social networks.

Project Affected Persons (PAPs) are the persons affected because they have lost their land, their properties, their incomes and livelihoods due to land and space being required for use in carrying out civil works for the project.

Displacement means dispossessing someone of their land or part of their land so as to utilize the same for civil works. The affected person is required to relocate.

Compensation means the payment in kind, cash or other assets given to a displaced person in exchange for the acquisition of land including activities;

Resettlement Assistance means the measures to ensure that displaced persons who require to be physically relocated are assisted with resettlement plans, materials and means whichever is applicable for ease of relocating and restoration of livelihoods.

Land Acquisition means the repossession of or alienation of land, buildings or other assets there on for purpose of making Land available for project activities.

Cut off date is the date of commencement of the census of persons affected by the project within the project area. This is the date on and beyond which any person whose land is occupied for project use, will not be eligible for compensation.

Census means a field survey carried out to identify and determine the number of persons affected by the project activities or displaced to leave land for civil works. The census provides basic information needed to determine the appropriate resettlement option including compensation.

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1 CHAPTER ONE: INTRODUCTION

1.1 Background:

The Ministry of Nairobi Metropolitan Development (MONMED) was created via presidential circular no. 1 of May 2008 and mandated among others to establish and develop the Nairobi Metropolitan Region. The Ministry started by defining a vision to create a World Class African Metropolis by 2030. This required elaborating strategies and building the capacity to take on the responsibility to improve core public infrastructure of Nairobi City and the 14 Local authorities in the metropolitan area. Public infrastructure is chief enabler in the achievement of the economic pillar of the vision 2030 and enhanced National Economic Development.

The establishment of the Ministry of Nairobi Metropolitan Development came at a time when Kenya was recovering from the post-election violence of December 2007/January 2008. The impact of the post-election violence changed Kenya’s social and economic outlook drastically as the gains of the previous five years were lost. The establishment of a new Ministry following such an experience was therefore a bold yet very demanding choice. The Ministry’s vision of a World Class African Metropolis was equally demanding. The creation of the most urbanized region was an affirmation of the benefits of urbanization in line with the globally accepted norm: “Cities are Engines of economic growth”.

The transformation process that will see Kenya achieve Vision 2030 will need intervention in all sectors of development and concerted effort to engage with a wide variety of development partners.. The Kenya Government has sought assistance of the World Bank to support the Ministry of Nairobi Metropolitan Development in the preparation of Nairobi Metropolitan Services Project which will address the challenges faced by the region and contribute towards the realization of the World Class African Metropolis vision.

1.2 The Assignment:

The Ministry of Nairobi Metropolitan Development faces many challenges in its effort to build a robust, internationally competitive, dynamic inclusive economy; develop a world class infrastructure and enhance linkages and accessibility to national, regional and global markets. The transformation of the region will depend to a large extent on the establishment of well resourced institutions with capacity to plan and implement integrated infrastructure services programme and coordinated social and economic development within the Nairobi Metropolitan Region. Nairobi Metropolitan Region (NMR) extends over 32,000 square kilometres and comprises the jurisdiction of Nairobi County, Kiambu County, Machakos County and Kajiado County. According to the 2009 Population and Housing Census, these four counties contain a population size of 6.65 million. Majority of the population is concentrated in Nairobi City which has also the highest concentration of infrastructure development and services. NMR is the most urbanized region in Kenya and still urbanising fast especially with the growth of populations in the satellite towns. This is one of the challenges the region is going to address as it strives to realise the World Class African Metropolis.

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Resettlement Policy Framework NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT

DECEMBER 2011

Economically, the Nairobi Metropolitan area generates some 50 percent of Kenya’s gross domestic product. Nairobi has grown to be a regional transport hub, a communications centre and home of several multinational corporations. Nairobi has an extensive market network for goods and services. It has grown to provide employment to a variety of manpower in commerce, industry and electronics. Economically, the Nairobi Metropolitan area generates some 50 percent of Kenya’s gross domestic product.

Nairobi metropolitan area, however, has not developed infrastructure services to match the needs of the increasing population and increasing demand locally and regionally. Poor infrastructure services and institutional weakness threaten the vision of a World Class Metropolis and dampen the promise of “Cities are engines of economic growth”.

The Ministry of Nairobi Metropolitan Development has identified initiatives to address the situation and realize the vision of a World Class City. With assistance of the World Bank, MONMED has initiated the Nairobi Metropolitan Services Improvement Project (NaMSIP) whose aim is to strengthen transport, water supply, solid waste management services in the Nairobi Metropolitan Area and to support the institutional development associated to these services.

Although NaMSIP activities are still at the planning stage, it is expected that the implementation of these activities will impact on peoples’ livelihoods and have direct bearing on land requirements and result into displacements. Land will be needed for infrastructure services, way leaves, for circulation and open spaces in the planning and execution of civil works. In order to comply with the Constitutional provision, Article 63 (4), it is necessary to analyse the process of dispossessing individuals and communities of the portions of land and to militate against social, economic and environmental negative impacts. The project must also be in compliance with World Bank Operational Policy OP 4.10 – Involuntary Resettlement. This assignment is for the preparation of a Resettlement Policy Framework (RPF) to outline a framework for guiding the implementation of NaMSIP especially with respect to Project Affected Persons (PAPs).

1.3 Objective of the Assignment

The main objective of the assignment is to prepare a Resettlement Policy Framework (RFP) for the Nairobi Metropolitan Services Improvement Project (NaMSIP). The Resettlement Policy Framework (RPF) will guide implementation of NaMSIP civil works packages to ensure that displacement issues are resolved and that the livelihoods of the affected persons are not negatively impacted on and where it is unavoidable they are compensated and/or resettled. The preparation of the RPF will therefore take note and consider the information and data available in the Project Concept Note, (PCN), Nairobi Metro 2030 publication, the Ministry’s Strategic Plan, the recently completed Spatial Planning Concept for Nairobi Metropolitan Region (NMR) and the social and economic needs of the population in the 15 Local Authorities. The RPF will also inform the preparation of Resettlement Action Plans (RAPs) once the specific projects are defined and locations confirmed. The preparation of project specific RAPs is not part of the current assignment.

1.4 The need for the Resettlement Policy Framework

Although NaMSIP activities are still at the planning stage, it is expected that the implementation of these activities will impact on peoples’ livelihoods and have direct bearing on land requirements and result into displacements. Land will be needed for infrastructure services, way

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leaves, for circulation and open spaces in the planning and execution of civil works. In order to comply with the Constitutional provision, Article 63 (4), it is necessary to analyse the process of dispossessing individuals and communities of portions of land and to mitigate socioeconomic and environmental negative impacts. The project must also be in compliance with World Bank Operational Policy OP 4.10 – Involuntary Resettlement. This assignment is for the preparation of a Resettlement Policy Framework (RPF) to outline a framework for guiding the implementation of NaMSIP especially with respect to Project Affected Persons (PAPs).

1.5 Resettlement Policy Framework Report Layout

This RPF report opens with an Executive Summary which briefly presents the salient points and conclusions. It is followed by the table of Contents including the list of tables and figures. A list of Abbreviations and Acronyms is provided followed by a Glossary and definitions of terms used in the report.

The main body of the report is presented in eleven short chapters as follows:

Chapter One: This chapter carries the Introduction to the assignment and builds on theInception Report comments on the nature of the assignment and the approach.

Chapter Two: This chapter presents the methodology and approach followed in preparing the RPF. Following the submission of the Inception Report was assembling of documents to be reviewed to establish the context of NaMSIP and the need for the Resettlement Policy Framework. The last section of the chapter is the Findings Report compiled from the Literature Review. The summary analysis of the Nairobi Metropolitan Region provides the context for the Nairobi Metropolitan Services Improvement Project (NamSIP).

Chapter Three: Examines the NaMSIP project description and the context of the Resettlement Policy Framework within the NaMSIP. It also carries a summary analysis of the envisaged impact of the programme components on the persons affected by the programme and discusses the entitlement matrix which is called for in the Operational Policies of the World Bank.

Chapter Four: Presents Potential impact on people and their livelihoods. It acknowledges that implementation of NaMSIP activities will give rise to displacement of people and disruption of livelihoods. The categories of Project Affected Persons are analyzed and response mechanisms suggested.

Chapter Five: Gives an outline of the principles and objectives governing the preparation and implementation of the RPF. In particular the chapter brings out the elements considered in the preparation including: Involuntary Resettlement, socio- economic and physical displacements. In order to understand displacement impact, screening of the specific situations is outlined.

Chapter Six: Following the establishment of the impact of displacement, and accepting the requirements of both the Kenya Laws and the World Bank Safeguard policy OP 4.12, that Project Affected Persons (PAPs) should be resettled and or compensated, and Entitlement Matrix presented in Table 6.4.1.

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Chapter Seven: This is outlining the Legal basis for resettlement, examining the Kenya laws and the World Bank Safeguard policy OP 4.12 with regard to right to land, acquisition, compensation and resettlement. The chapter also examines the provisions of both the Kenya Laws and the WB OP 4.12 to establish common parameters and highlight points of divergence.

Chapter Eight: This presents principles for Resettlement Planning including stakeholder’s engagement in meaningful consultative process. In this chapter an outline of preparing Resettlement Action Plans (RAPs) once the projects are defined and specific sites identified is discussed and reference made to the preparation of Resettlement Action Plans (RAPs).

Chapter Nine: This chapter sets out the mechanisms for consultation and details for grievance redress. The emphasis is on the involvement of PAPs and the communities. The Grievance redress process will be led by credible local leaders who must ensure PAPs rights are preserved according to the Constitutional Bill of Rights and the provisions of the World Bank Safeguard OP 4.12.

Chapter Ten: This chapter sets out the detailed requirements for determining the value of affected assets. The important aspect in this chapter is that valuation will be carried out professionally applying market rates to determine assets values.

Chapter Eleven: This Chapter presents the arrangements for implementing the RPF. The main steps will lead to acceptance of the RPF by the stakeholders and the link documentation, consultations and approval to the civil works. The participants of the first stakeholders’ workshop suggested that implementation should be informed by the lessons learned with a view to avoiding mistakes and maximizing on the best practices.

Chapter Twelve: Concludes this RPF Report by outlining a Monitoring and Evaluation process and highlights how early involvement of communities in the process will yield better results.

APPENDICES: A list of Appendices, tables and figures is provided.

Appendix I - Checklist for Inventory/register of affected individuals Appendix II - Checklist for inventory/register of affected householdsAppendix III - RAP preparation process.Appendix IV - RPF Power Point PresentationAppendix V - Minutes of Stakeholders WorkshopAppendix VI - Sample Grievance Redress Form

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2 CHAPTER TWO: METHODOLOGY AND CONSULTATIONS

2.1 Resettlement Policy Framework Preparation Process

The Terms of Reference for the preparation of the RPF were received on 7 October 2011 following a process of selecting consultants to provide technical inputs for elaboration of the Nairobi Metropolitan Services Project (NaMSIP). The Terms of Reference explained that NaMSIP was at the planning stage and that project activities are not yet defined nor their locations identified. Because of this the preparation of Resettlement Action Plans (RAPs) was left out of this assignnment. The input into the RPF will be informed by analysing similar projects in and around Nairobi.

The step by step approch included the following: Literature review, consultations with the Ministry of Nairobi Metropolitan Development, consultations with the other consultants and informal field reconissance to project sites for civil works considered to similar to NaMSIP activities.

The following is the step by step approach for the preparation process.

i. Documentary and Literature Review: The main documents reviewed include:

- The Terms of Reference issued by the Ministry of Nairobi Metropolitan Development which include excerpts from the Project Concept Note (PCN).

- Documentation on the Establishment of the Ministry of Nairobi Metropolitan Development with special attention paid to the recently delivered Nairobi Metro Spatial Development Plan;

- The Kenya Constitution, other pieces of legislation and procedures regarding displacement, land acquisition, and compensation,

- World Bank Operational Policies, specifically O.P. 4.12 – Involuntary Resettlement. - Recent World Bank project reports in Kenya and RPFs prepared for recent World

Bank projects including: - the Kenya Municipal Programme (KMP), the Kenya Informal Settlement Improvement Programme, (KISIP) and the Natural Resources Management Project, (NRMP) to name a few.

- Resettlement literature on participation and decision making contained in mainly upgrading and settlements improvement publications. Two of these publications are: Listen to the People by Lawrence F. Salmen, and the Challenge of Slums –UN-HABITAT publications the Challenge of Slums, H/686/03E and Planning Sustainable Cities: Policy Directions.

ii. Reconnaissance field survey: The ToRs require that a reconnaissance field survey of a sample of the proposed first year civil works be undertaken to consult with persons potentially affected by the works. This has not yet taken place as the projects and their locations have not been identified. However, the on-going infrastructure development projects within Nairobi have provided substantive relevant information on impact of projects on populations. The recent wave of demolitions in Nairobi (outside World Bank – financed projects) reported to be clearing sites for development point out to the need of a

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policy framework to address the destruction of livelihoods and loss of property suffered by the affected persons.

iii. Consultation with the MONMED and World Bank: It is expected that this important task will provide the consultants with updated information on the preparatory process of NaMSIP especially the requirements of the World Bank and and any specific input from the consultants. The first meeeting was called on Wednesday, 30th November, 2011 during which, in the presence of the Honourable Minister the consultants presented an update status of their assignments. It was observed that there should be more meetings in order to harmonise process and provide a balanced contribution to the preparation of NaMSIP. The Ministry expects that the consultants wiil work closely, identify common areas of the different assignments and avoid duplication.

iv. Prepare and submit a Draft RPF: The preparation of the first draft will follow the receipt of comments on the Inception Report and the documentary and literature review. The Draft RPF will be presented to the stakeholders workshop and will be revised following their input.

v. Stakeholders workshop: This workshop will bring together key actors drawn from the Nairobi Metropolitan Region targeting institutions and individuals who will be impacted on by NaMSIP activities. This will include individuals who have a stake in the metropolitan development, representatives of sectors which will be engaging in the development activities and individuals who have technical expertse and resources.

vi. RPF document: The final RPF will be prepared taking into account the outcome of the stakeholder workshop and specifically comments received from the participating local authorities, sector representatives and experts .

2.2 Results on Findings

As required in the Terms of Reference and outlined in the Inception Report, a review of available information relating to NaMSIP has been carried. During the meeting with the Honourable Minister for MONMED, the NaMSIP Staff of the Ministry and the other consultants, timely presentation of the Findings Report was emphasized. The Findings Report is compiled out of the tasks outlined in the Assignment Delivery Plan discussed in the Inception Report and presented in table 2.2.1 below.

Findings Report summarise the information gathered from the Literature review on the National Context:- the Nairobi Metropolitan Region, the NaMSIP Project Concept Note (PCN), the Kenya Laws relating to similar programmes in and around Nairobi and in Kenya; the World Bank Operational Policy OP 4.12 on Involuntary Resettlement; other programmes for which have RPFs – including Kenya Informal Settlements Improvement Programme (KISIP) and the Kenya Municipal Programme, and the Ministry’s in house documentation. These are not exhaustive and can be expanded with further investigations and reading.

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Table 2.2.1: Assignment Delivery Plan

ITEM Task Materials Outcome Timing ResponsibilityCONTEXTResettlement planning

- Obtain materials hard,soft copies, website

- W Bank OP 4.12- NBI Metro 2030 - Spatial D P Concept & Others

NaMSIP RPF defined

Wk One

ConsultantCoordinator

SYNTHESIS -Synthesize materials

-Summarise

- W Bank OP 4.12-VariousKenya

Laws

Legal, Institutional Issues

Wk Two


Reconnaissance Survey

-Identify projects

-Field survey -Summarise

o field reportso Project Reports

Field Report Wk Three


Draft RPF -Preparing zero draft

o Sample RPF Zero Draft Wk 4Wk 5


Workshop - Present Draft- Comments

Copies of Draft Workshop report

Wk Six ConsultantCoordinator

Final RPF -Review draft -Re draft

Comments Final Draft Wk 7 Consultant Coordinator

Submission Present RPF

RPF RPF Wk 8 ConsultantCoordinator

Adopted from the Inception Report

National Context:

Nairobi Metro 2030 is part of the overall national development agenda for Kenya which is encapsulated in Kenya Vision 2030. Nairobi Metro 2030 envisions a World Class African Metropolis by the year 2030. NaMSIP envisaged components elaborate various aspects of realizing the Vision.

Vision 2030 will transform Kenya through a process of developing infrastructure and enhancement of systems to maximise on the benefits of urbanization. Coming out of the successful implementation of the Economic Recovery Strategy for Wealth and Employment Creation (ERS) and developed through an all-inclusive and participatory stakeholder consultative process, the Vision is based on three “pillars”: the economic, the social and the political to be implemented in successive five-year Medium-Term Plans, with the first such plan covering the period 2008 – 2012.

The establishment of the Ministry of Nairobi Metropolitan Development is therefore among the most important interventions towards the realization of Kenya Vision 2030. This has been well captured in the Nairobi Metro 2030 Strategy, the Strategic Plan 2008 – 2012, and the Draft Spatial Concept delivered in April 2011 in which the relationship of the Kenya Vision 2030 and

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the establishment of the Ministry and Metro 2030 vision of “A World Class African Metropolis” are well documented.

2.2.1 Nairobi Metropolitan Region (NMR)

The expansive region cover the Nairobi City urban conurbation surrounded by rural land including the famous Nairobi National Park and shown in Figure 2.2.1 adopted from the Nairobi Metro 2030 Report page 9.

Figure 2.2.1: Nairobi Metropolitan Region (NMR)

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Delineation of the Nairobi Metropolitan Region was one of the first tasks undertaken by MONMED. Informed by the general concept of a metropolitan area, that puts a large population nucleus, together with adjacent communities having a high degree of social and economic integration with that core, MONMED, through consultative summits in every local authority, applied the basic criteria of defining metropolitan boundaries – administrative, morphological and functional, and thus NMR was delineated as in the map in Figure 2.2.1 above.

The metropolitan local authorities are grouped in the following main groups:-

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Core Nairobi comprising the City Council of Nairobi, The Northeern Metro comprising the Municipal Council of Kiambu, Municipal Council of Limuru, the Municipal Council of Limuru; the Municipal Council of Ruiru; the Municipal Council of Thika, Town Council of Karuri; Town Council of Kikuyu; and County Council of Kiambu;

The Southern Metro comprising of the Town Council of Kajiado and the County Council of Olkejuado;

The Eastern Metro comprising of the Town Council of Tala/Kangundo, Municipal Council of Machakos, the Municipal Council of Mavoko, and the County Council of Masaku.

The literature reviewed showed that Nairobi Metropolitan Region, although it has several opportunities being the most urbanized region in Kenya, faces several challenges which it will have to address in order to realize the World Class African Metropolis Vision. The Nairobi Metro 2030, which conceptualized the Vision of a World Class African Metropolis, examined the following main challenges which NMR faces. These provide a sound benchmarking for the Nairobi Metropolitan Services Improvement Project.

2.2.2 NaMSIP preparation:

The Ministry of Nairobi Metropolitan Area has received Project Preparation Facility from the World Bank to prepare NaMSIP which will help achieve the objectives of the World Bank Country Partnership Strategy (CPS) 2010 - 2013. The CPS emphasizes the themes of growth, equity, and environment, with a special emphasis on governance. NaMSIP contributes:

- To the governance agenda by strengthening the new structures of Governance in the metro area, including the county administrations and new metropolitan Authorities

- To the growth agenda by supporting the design and implementation of critical urban services including transport, sanitation, and solid waste management that will enable the metro area to meet the needs of businesses and residents.

- And directly supporting the environmental agenda through investment in mass transit, sewerage collection and treatment, solid waste management, storm water drainage, and public open spaces.

The Project Development Objective (PDO) is to strengthen governance and services delivery in the Nairobi Metropolitan Region and result in improved services delivery benefiting the population of the Region, majority of who in the lower income segment are female. Table 2.2.2: Analysis of Main Metropolitan Region Challenges

Key Challenge

Cause Effect

Uncompetitive Metropolitan Economy

High cost of land High cost of infrastructure and

utilities Inadequate skilled human

Poor business environment Insufficient resource mobilization Unemployment and poverty Insufficient domestic and foreign

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resources Poor safety and security Poorly performing institutions

investment

Inadequate infrastructure and utilities

Poor service connections Poor network accessibility Inadequate capital investments Inadequate operations and

maintenance

Compromised productivity of firms and individuals

High cost of infrastructure and utilities

Poor quality of life Environmental pollution

Poor Transport Mobility and Connectivity

High cost of land Inadequate transport management

institutions Incomplete transport network Poor intermodal connectivity High cost of energy

Environmental pollution Unsafe and insecure transport

services Poor and expensive transport

services Congested transport network Urban sprawl Inadequate inter-modal connections

Poor Quality of Life

Poor access to medical services Poor quality of housing Inadequate access to housing Poor access to education services Ineffective spatial planning

regime

Social and cultural segregation Poverty High income inequalities Inadequate public spaces Poor safety and security Proliferation of slums

Poor Safety and Security

Increase in substance abuse Proliferation of small arms Inadequate emergency services Poor police responses to crime

incidences Ineffective spatial planning

regime

Low individual and firm productivity

Poverty High crime rates or perception of

same rates High Insurance risk premiums Poor safety and security Proliferation of slums

Ineffective Metropolitan Governance

Inadequate capacity in governance institutions

Poor client focus Uncoordinated Institutions efforts

Poor resource mobilization Curtailed potential for innovations

in resource mobilization efforts Citizens mistrust of governance

institutions

2.2.3 The Kenya Constitution:

Kenya has a new Constitution promulgated on 27th August 2010. It is considered good and progressive as it states in Article 1 (1) “All sovereign power belongs to the people of Kenya and shall be exercised only in accordance with this Constitution”. The new Constitution has an elaborate Bill of Rights in chapter four, Land and Environment in chapter five. With respect to NaMSIP, the new Constitution has provided under the Bill of Rights, among others, protection of right to property safeguarded by the provisions of the Land and Environment Section. A draft Land Bill will repeal the existing the hitherto land laws which have been considered anti-development. NaMSIP will be implemented under a new regime of Laws.

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The new Constitution has introduced Devolved Government system which brings development to the County Level. Nairobi Metropolitan Region brings together four Counties. This amalgamation of the Counties brings new development challenges especially due to the differences in development levels.

Under the Devolved Government, Nairobi Metro Region will comprise of four Counties. Although the Constitution has not yet detailed the Local Government arrangements it is expected that the four counties will remain within the Nairobi Metropolitan Region and benefit from the benefits of the economics of scale offered by the region.

2.2.4 Resettlement Policy Frameworks:

Several RPFs have been prepared for World Bank supported programmes in Kenya ranging fromSocial development programmes, such as education to civil works programmes such as the Kenya Power and Lighting Programme. The two closely related to NaMSIP are the RPF for the Kenya Municipal Programme (KMP) and for the Kenya Informal Settlements Improvement Programme (KISIP).

Both the programmes have objectives similar to NaMSIP and will implemented following similar approach. As is envisaged for NaMSIP, the implementation of the two will impact on land and peoples’ livelihoods, and in order to mitigate the negative impact of displacements and disruption, resettlement and/or compensation is a requirement hence the preparation of the Resettlement Policy Frameworks.

The two RPFs are comprehensive and particular to each of the programme. The two follow the same format and provide similar approach in land acquisition and compensation. The projects are currently under implementation.

2.2.5 Public Works

The review of civil works projects and programmes was limited to programmes which would result in displacement of persons and activities, therefore requiring resettlement. Information was obtained from website records. Once detailed reports are received more and precise information on how the issue of resettlement has been dealt with, this report will be updated. The most prominent programme has been in transportation.

And in Transportation: Government has established the Kenya National Roads Authority, the Kenya Rural Roads Authority and the Kenya Urban Roads Authority as autonomous agencies with the responsibility of management, development, rehabilitation and maintenance of the road transport infrastructure in their areas. The programmes are commendable given the state of the road system before their establishment.

Other infrastructure developments include the rehabilitation of the Railway Transport, the expansion of Airports and construction of Solid Waste land fill sites.

2.2.6 Housing and upgrading Programmes:

This is addressed under KISIP for which a Resettlement Policy Framework has been prepared. The management of the RPF will be important to avoid the current wave of demolitions and

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reduction in welfare that have taken place in other similar projects not financed by the World Bank.

3 CHAPTER THREE: PROJECT DESCRIPTION

The Ministry of Nairobi Metropolitan Area has received Project Preparation Facility from the World Bank to prepare NaMSIP which will help achieve the objectives of the World Bank Country Partnership Strategy (CPS) 2010 -2013. The CPS emphasizes the themes of growth, equity, and environment, with a special emphasis on governance. NaMSIP will contribute to the CPS themes as follows:-

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- To the governance agenda by strengthening the new structures of governance in the metropolitan area, including the county administrations and the new metropolitan authorities;

- To the growth agenda by supporting the design and implementation of critical urban services including transport, sanitation, and solid waste management that will allow the metro area to meet the needs of business and residents; and

- To the environmental agenda through investment in mass transit, sewerage collection and treatment, solid waste management, storm water drainage and public open spaces.

The Project Development Objective (PDO) is to strengthen governance and services delivery in the Nairobi Metropolitan Region and result in improved services delivery benefiting the entire population of the Region and paying attention to gender equity, youth and the physically challenged.

3.1 The Project Objective

The Ministry of Nairobi Metropolitan Development having delineated the Metropolitan Region, the next task was to initiate development to harmonize the development in the Region and to work towards the realization of the vision of a World Class African Metropolis. Faced with the challenges within the region, the Ministry with Government backing has sought assistance from the World Bank to initiate the Nairobi Metropolitan Services Improvement Project (NaMSIP). NaMSIP will contribute to the goals of the Nairobi Metro 2030 and him realization of the vision. The NaMSIP will promote a metro perspective by supporting the operationalising the Nairobi Metro Spatial Development Plan (SDP) by strengthening institutions of urban governance, supporting the environmental agenda through investment in mass transit, sewerage collection and treatment, solid waste management, storm water drainage and public parks that will allow the metro area to meet the needs of the residents and business paying attention to gender equity, youth and the physically challenged.

3.2 Proposed project components for NaMSIP

It is envisaged that NaMSIP will focus on four components each of them addressing and area of need or a key challenge among the challenges outlined in Table 1.1 of this RPF. The following are the four components which will be addressed in NaMSIP:-

1 Institutional Reform and Planning2 Critical local government infrastructure and services3 Critical metropolitan infrastructure and services4 Project management, and monitoring and evaluation.

The following is a description of each one of the components as provided in the Terms of Reference, the Project Concept Note (PCN) and revised during the World Bank Pre-appraisal Mission of December 7-15, 2011.Component 1: Institutional Reform and planning.

This component will assist existing local governments within the Nairobi Metropolitan area, as well as entities and authorities that will be created once the devolved government as specified in the new Constitution takes effect.

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These new entities which are to be created within the bounds of the Nairobi metropolitan area include county governments, metropolitan authorities and agencies, and other units of administration to the extent that they emerge. This component will:-

- Support capacity enhancement and planning activities of the entities. This will create well resourced and capacitated institution model, which other local authorities in the metropolitan area and beyond could follow.

- Provide assistance at the central government level by strengthening the Ministry of Nairobi Metropolitan Development or its functional successor after the constitutional changes take effect.

Component 2: Critical local government infrastructure and services

This component will finance critical infrastructure and investments for selected urban areas within the Nairobi metropolitan area to improve service delivery and to support urban growth. The investments which will be supported under this component will focus on urban areas identified as critical for growth of the metropolitan area. The changing institutional structures which will come with the County Government arrangements will redirect the project approach to focus on urban areas, rather than on specific local authorities. All investments that fall into the mandate of the new counties will be eligible for funding.

Component 3: Critical metropolitan infrastructure and services

This component will assist in providing metropolitan infrastructure in the areas of solid waste, transport, and sewerage services, which are crucial for the service delivery and development within the metropolitan area. For each of the elements, the following envisaged:-

Solid Waste: - support the preparation and implementation of an Integrated Metropolitan Solid Waste Management (IMSWM) strategy.

Transport: - strengthen the connectivity between centres of growth in the metropolitan area by: -

a) Constructing or upgrading infrastructure surrounding commuter rail stations and other nodes of transport;

b) Constructing and rehabilitating of strategic roads as identified in the Mass Rapid Transit Study undertaken by the Ministry of Transport; and

c) Improving traffic management and flow;d) Carry out land use planning around commuter railway stations to create synergies with

the Bank-supported National Urban Transport Improvement Project (NUTIP), currently under preparation.

Sewerage services - will include the construction and rehabilitation of wastewater collection systems to enable urban growth in strategic areas, as well as wastewater treatment and disposal facilities.

The Ruiru- Junja - Thika sewerage system has been identified as a potential project under this c omponent. The first phase being the Ruiru sewrage system.

Component 4: Project Management, and Monitoring and Evaluation

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This component will finance the management activities associated with project implementation, including establishing and implementing a comprehensive monitoring and evaluation (M&E) system and training of the implementing agencies in environmental and social management. Through this component funds will be provided to prepare new projects in the urban sector in Kenya, including undertaking necessary feasibility studies.

3.3 Analysis of the components

This section gives a quick overview of the components. It summarises conceptually the required inputs and waits to be updated once the activities are defined and locations identified.

The inputs considered here include:-Process inputs - Policy Framework, Management Systems and planning and design (technology); Physical inputs - Land, Access, Equipment, office space, equipment; Resources, and - IDA resources and Government, the County Governments and communities.

Potential Socioeconomic impact:- As the projects are implemented and through the interaction with the people and activities there will be some positive and negative impacts. These will become clear as the project details are developed and sites confirmed.

Challenges: - The implementation of these projects will address several challenges inherent in the metropolitan area or external to the region. This RPF has discussed the challenge of institutional coordination in Chapter Ten, however several risks have to be remembered and remedial mechanisms to be put in place: -

Political instability: this can derail all efforts if not carefully handled. Stakeholders coorperation: Specifically, the 15 Local authorities or their successor

structures when the new Constition provisions for Devolved Government System are rolled out, have to internalize NaMSIP and its implementation.

Adequate capacity to implement and monitor the RPF effectively.

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Table 3.3.3: Components Analysis – Inputs and Potential Socio-Economic Impacts

Component Process Input Physical Input

Resources Potential Socio -Economic Impact

Challenge arising from

1 Institutional Reform and Planning

- Management systems- Capacity building

- Office space

- equipments

- IDA - Government. ?- Others?

- Efficient performance - Public appreciation- Responsiveness

Decentralization toCounties and/or local Authorities

2 Critical local government infrastructure and services

- Planning and design,

- policy framework- Management

system

- Land- Access- Equipment


- Displacement and or disruption of persons and activities

- Land acquisition- Environmental

Impact Assessment, - Stakeholder participation

3 Critical metropolitan infrastructure and services

- Management systems

- Planning and design, - policy framework

- Land- Access- Equipment


- Displacement and or disruption of persons and activities

- Land acquisition-Environmental Impact Assessment,- Stakeholderparticipation

4 Project Management and Monitoring and Evaluation

- M& E Systems- Capacity building

- Offices- Spaces


- Engagement with people and institutions to provide feedback

- Review Process details

The details of the above will be elaborated during the preparation of the Resettlement Action Plans (RAPs) once the projects are firmed up, sites agreed and funding arrangements confirmed.

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4 CHAPTER FOUR: IMPACTS ON PEOPLE AND LIVELIHOODS

The implementation of the envisaged projects of the four focus areas will impact on people and activities differently depending on the location, the existing developments in the location, land tenure system pertaining in the area and the socio-economic activities in the area. Livelihoods will be in one way or another be impacted upon.

4.1 Displacements

Displacement will occur as a result of one of the following situations wherein a project is being implemented:

1. Illegally occupied land and space designated for other development, for example persons utility services occupying wayleaves, road reserves, public land for community services or public parks.

2. New development planned on land designated for other purpose. A good example is the siting of a sewer treatment works of a landfill farm land or public space. The location of a an institution – such as the Konza Technopolis on agricultural land within NMR.

3. Expansion of existing services and or redevelopment of existing settlements.– roads, airports and urban renewal.

4. Squatter upgrading and new housing projects.

The main project activities envisaged to have displacement potential are projects under components two and three which will have civil works of varying scope and details.

4.2 Categories of Project Affected People (PAPs)

Project Affected People (PAPs) are considered to be those who stand to lose all or part of their physical and non-physical assets - including land, homes, structures, access to services, businesses and business facilities, production systems, income – earning opportunities and social capital. Such loses which may be temporary, permanent or accumulative may occur through land expropriation, land acquisition, involuntary displacement, restricting or restricting access to opportunities and markets.

The policy framework applies to all economically and/or physically displaced persons regardless of the number affected by the severity of impact and whether or not they have legal title to the land. Particular attention will be paid to the needs of vulnerable groups especially those below the poverty line, the landless, those with or affected by HIV/AIDS, the elderly, women and children, minority groups, the youth and physically challenged persons. The rights of every person directly or indirectly affected will be protected as provided in the Bill of Rights in Chapter Four of the new Kenya Constitution. The categories of PAPs considered in this RPF include:-

Affected Individuals who risk losing assets, investments, land, property and/or access to natural and/or economic resources as a result of a project or a sub-project;

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Affected Households: This category includes one or more of the following: Any member in the household, men, women, children, dependent relatives, friends and

tenants; Vulnerable individuals of the household who cannot participate due to being physically

challenged or otherwise marginalised; Household members who contribute to the critical housekeeping and upkeep of the

household unit such as dfomestic workers and househelps; Members of co-resident groups whose contributions are critical to functions of households.

Vulnerable households of the following: Orphans of AIDS victims, victims of civil conflicts and abandoned or disowned. These

orphans today are either being cared for by government or local authorities, by Non-Governmental Organizations such as religious and humanitarian groups or those living by themselves some as heads of household.

Windows and unmarried women without support and who are heads of households; Elderly persons whose ability to sustainance is impaired and have no access to source of

resources from family members; HIV/AIDS afflicted persons. This is a high percentage of persons who are living with HIV

or are terminally ill with AIDs. They will require special attention depending on their history and the community structures within the area where they live.

4.3 Response mechanism to the needs of the listed PAPs categories

a) Special consideration should be paid to these groups by identifying their needs from the socio-economic and baseline studies as part of the Resettlement Action Plans (RAPs)

b) The groups should be individually consulted and given opportunities to participate in the resettlement decision-making process, and in the project implementation;

c) Consultation with the groups should ensure that resulting settlement and compensation restores and improves their pre-project livelihoods;

d) PAPs should be given sufficient information (technica and financial), presented in simple way to ensure that they can understand and present their grievances accordingly.

Critical to the handling of the special groups is treatment of all within the provisions of the Bill of Rights, Chapter Four Article 28 “Every person has inherent dignity and the right to have that dignity respected and protected”.

5 CHAPTER FIVE: PRINCIPLES & OBJECTIVES GOVERNING PREPARATION OF RPF

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The impacts of displacements arising from the implementation of NaMSIP activities if left unmitigated will give rise to severe economic, social and environmental risks resulting in dismantling of production systems, weakening of community institutions and networks, kin groups being dismembered resulting to eventual impoverishment of the affected persons and communities, as well as environmental degradation and cumulative stress on the people and areas which have been impacted on. An examination of the process of displacement will inform the principles and objectives governing resettlement.

5.1 Involuntary Resettlement:

Involuntary resettlement is the process that results from the acquisition of land by government or other government agencies for purposes of using the same for public activities without the agreement and choice of the affected persons as individuals or groups. Involuntary displacement results into:-

Landlessness: when people lose their land or the place they have occupied for a period of time, they become decapitalized and disoriented in their pursuit for sustainable livelihoods. They become poor;

Homelessness: The home is related to the place the people reside. If they lose the land they lose the structures that provide shelter for the home. Loss of shelter – housing – will have consequences on family cohesion and on social networks;.

Joblessness: Most of the Project Affected Persons are informally employed and depend on the local networks of selling and buying. When this is disrupted due to displacements, they are rendered jobless and suffer loss of income and cumulatively impoverished;

Marginalisation: This occurs when displaced families lose economic power and slide down towards lesser socio-economic positions in the society. Economic marginalization tends to be accompanied by social and psychological marginalization;

Increased vulnerability: Affected individuals and households suffer increased morbidity and mortality due to decrease in health levels, increased stress and psychological traumas;

Social displacement: The dismantaling of community structures and social organizations, the dispersion of informal and formal networks, local assocviations is a massive loss of social capital which undermines the livelihoods of the society in general.

The import of the above summary of the impact of involuntary displacement leads to the conclusion that Involuntary Resettlement arising out of displacement should be avoided and if not possible then mitigated adequately to ensure that livelihoods are restored to pre-project levels or better. This therefore calls for careful planning of projects taking into account the interests of the community as a whole.

5.2 Socio-economic displacement:

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When individuals, household and groups of people are displaced, they lose more than the physical location and structures. They lose their social networks and social capital which in several cases has been developed over long periods. They lose their economic networks – their selling and buying, outlets and source of income. These impacts if not understood and mitigated appropriately result into impoverishment of the community and lead to lack of actualization of the benefits of the project. NaMSIP activities for components two and three will require careful planning and management to avoid socio-economic displacements.

5.3 Physical displacement:

Civil works for components two and three require careful and informed planning to avoid and/or minimise physical displacements. If people must move to another location so as to give room for implementation of NaMSIP civil works project, the affected persons should be offered feasible choices and assisted accordingly through resettlement planning and compensation to replace housing, facilities and businesses to pre-project levels or better.

5.4 Screening of projects for displacement impacts

Each of the NaMSIP investments will be screened for land acquisition and displacement impacts. Screening should take place at feasibility study stage with a view to identifying land to be acquired for the project, and resettlement impacts. Records should be accurate and as detailed as possible. A format of recording and categorising the affected persons, groups and the community as a whole will be agreed and detailed in the RAPs. In the case of physical works, up todate maps and record will be used. Electronic record will be needed for ease of retrieving and using the record.

Information to be recorded will include demographic, socio-economic characteristics, assets ownership, indebtness, type of structure, size, ownership and available facilities, and in case of shops or business – details related to business, number of employees, turnover and related business information. On a case by case basis the displaced persons and activities should be categorised to assist in the assesment of compensation. Information obtained through the screening exercise will be used in the preparation of the Resettlement Action Plans (RAPs). Appendix I suggest a Checklist to guide the preparation of the inventory of affected individuals while Appendix 2 is for affected households.persons.

5.5 Socio-economic Survey of Affected Households

The RAP team will undertake a socio-economic survey to identify all affected PAPs for purposes of capturing their socio-economic parameters such as household size, income levels, education levels, housing conditions, access to basic services, assets ownership and any other parameter to help to provide sufficient information for the benefit of the activity and the household. The inventory will also document details of the affected properties, their legal status and caveats that may exist. The means of sustaining livelihood for the affected will be captured as this will be used to analyse options for providing resettlement assistance.The socio-economic survey will be consultative involving the community and the affected individuals. It will employ known and tested tools of socio –economic survey including: - household

21

CONCEPT INVESTMENT identification

PEOPLE

RESETTLEMENT

COMPENSATIONSOCIO-ECONOMIC ACTIVITIES

EXECUTION

GOVERNMENT

MONMED

ACQUISITION

LAND

PLAN


DECEMBER 2011

surveys, group discussions, Focussed Group Discussions and Key Informant Interviews. Appendix 2 provides a checklist for the household socio-economic survey. All these tools will be reviewed.

Figure 5.5.2: Implementation Conceptual Framework

5.6 Implementation Conceptual framework

The Implementation Conceptual framework in Figure 5.6.1 above emphasize the central position of the people in the implementation of NaMSIP activities starting from the definition of the investment packages through the land acquisition and planning to the execution of the works. The consultative process should empower the people and give them confidence in contributing to the transformation of Nairobi Metro Region to a World Class Metropolis. This will require capacity building of the residents of NMR, giving the correct and transparent information on the region and the region’s development plans and the impact on their livelihoods. For each of the components, implementation committees with representatives from the affected groups and agencies should be established once the projects are defined and locations identified.

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6 CHAPTER SIX: THE ENTITLEMENT MATRIX FOR NAMSIP

6.1 Nature and scope of displacement impacts under NaMSIP The Entitlement Matrix is based on displacement impacts anticipated from the implementation of NaMSIP activities. Displacement impacts are anticipated to be occasioned by activities that include but may not be limited to the following:-

Partial demolition of structures to expand / realign road reserves and to reclamation of encroached way-leaves.

Displacement of open and mobile shops (kiosks) to expand / realign road reserves, provide drainage canals, and other road elements.

Displacement of settlements to reclaim public utility land required for projects in components two and three;

Land reservation for receptacles and waste collection centers, posts for security lighting as will be required for components two and three;

Removal of structures to create room for trunk infrastructure envisaged for components two and three.

6.2 Computation of Compensation:

Pursuant to the impacts anticipated as highlighted above, and using the screening report and through a consultative process, computation of entitlement will be guided by the following considerations:-

Where any land has been acquired, compensation shall only be payable in addition to the value of any improvement or works constructed on such lands for the loss of rights over such lands in the case of land under customary tenure, and for the market value of such lands in the case of freehold land.

In estimating the compensation to be paid for any land or development therein or the potential profits thereof, the following shall be taken into account:- - The value of such lands, estates or interests or profits at the time of the emission of the

notice to acquire, and shall not take into account any investments or works made or constructed thereafter on the lands;

- That part only of the lands belonging to any entity /person acquired under the Land Acquisition Act as amended in the new Land Laws without consideration for the enhancement of the value of the residue of the lands by reason of any investment or works to be made or constructed by NaMSIP.

- The value of the lands acquired for public purposes but also to the damage, if any, to be sustained by the owner by reason of the injurious effects of severance of such lands from other lands belonging to such owner or occupier.

- For cash payments, compensation will be calculated in Kenyan currency adjusted for inflation annually. For compensation in kind, items such as land, houses, other buildings, building materials, seedlings, agricultural inputs and financial credits for equipment may be included. Assistance may include moving allowance, transportation and labour.

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In dealing with compensation, preference shall be given to land based resettlement strategies for Project Affected Persons whose livelihoods are land-based. Where sufficient land is not available at a reasonable price, non-land based options centered on opportunities for employment or self re-employment will be provided in addition to cash compensation for land and other assets lost. However this lack of land shall be documented and justified.

6.3 The Entitlement Matrix

The entitlement matrix outlined in table 3.1 below defines the type of compensation and assistance to be provided to the different categories of project affected households. The following principles will guide payment of compensation for lost assets:-

Compensation shall be paid prior to acquisition or displacement; Compensation shall be extended to all PAPs irrespective of tenure status; Compensation will be at replacement cost meaning that replacement of assets with an amount

sufficient to cover full cost of lost assets and related transaction costs. Replacement cost for agricultural land implies the market value of land of equal productive potential or use located in the vicinity of the affected land, plus the costs of preparing the land to levels similar to those of the affected land; and any registration and transfer taxes;

Compensation for structures shall include the full market cost of materials and labour required for reconstructing a building of similar surface and standing. In other words, the affected person must be able to have their structure rebuilt in a different location using the compensation paid for the old building. Depreciation will not be taken into account while calculating the cost of affected structures. The Compensation package will also include cost of moving, such as transport costs as well as any associated land titling or transfer fees.

In case of physical displacement and depending on tenure category, PAPs will be provided transition assistance such as moving allowances, subsistence allowances and alternative plot or house where possible. PAPs will also be offered support after displacement during transition period and based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living. All efforts will be made to resettle the physically displaced families within the same settlement to enable them to retain their identity and continue their inter-personal and inter dependency relations.

PAPs will be provided with development assistance in addition to compensation measures such as land preparation, credit facilities, training, or job opportunities;

In cases where in-kind replacement is not the preferred option of the PAPs, then the cash compensation will be based on the replacement cost. For the purposes of this RPF, the use of replacement value, or market value, will mean the higher value of two options.

6.4 Compensation for vulnerable groups

In addition to these entitlements, households who are found in difficult situations and are at greater risk of impoverishment (i.e. orphaned children, those that are physically challenged, etc) as identified by the census will be provided with appropriate assistance by the project. Assistance may be in form of food, temporary accommodation, medical subsidy, employment referrals or priority employment in project activities. The assistance is meant to help them cope with the displacement

24


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caused by the project and as such the following considerations will be made when project sites are identified and PAPs listed:-

Special consideration should be paid to these groups by identifying their needs from the socio-economic and baseline studies undertaken as part of the RAP process;

The groups should be individually consulted and given opportunities to participate in the resettlement decision-making process, as well as project activities;

Consultation with these groups should ensure that resulting resettlement and compensation improves their pre-project livelihood-with preference going to their resettlement in the same settlement;

The RAPs should be designed to ensure special attention is paid to the monitoring of the resettlement process in order to ensure that pre-project livelihoods are indeed improved upon;

PAPs should be given sufficient technical and financial assistance to make use of the grievance mechanisms of the project where required;

Decisions concerning them should be made in the shortest possible time.

Table 6.4.4: Entitlement Matrix

No Type Of Loss Pap Category EntitlementA. Loss of Agricultural Land 1 Plot used for

agriculture is affected

Rightful owner

Encroachers

Compensation at replacement cost for loss of land with ex-gratia % for compulsory acquisition.

Option for in kind compensation in favor of better quality land for those either losing their land entirely or those left with a residual parcel of land that is not viable.

Alternative land or some suitable livelihood assistance for vulnerable households whose livelihoods depends on the expropriated land.

B. Loss of residential/commercial/industrial land 1 Partial loss of

land but residual is viable

(a) Owner

(b) Tenant/ LeaseHolder

(c) Squatters/Temporarystructures

Cash compensation for lost land at replacement cost with additional % ex-gratia for compulsory acquisition

Transitional allowance equivalent to 3 months rental allowance

2 months advance notice to vacate land

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DECEMBER 2011

2 Entire loss of land

(a) Owner/

(b) Tenant/Lease holder

(c) Squatters/Temporarystructures

Cash compensation at replacement cost; Ex-gratia assistance % towards compulsory acquisition; Option for in kind compensation

The right to salvage all materials Cash compensation for unexpired portion of

lease period Transitional allowance equivalent to 3 months

income Advance notice of 2 months to vacate land

C. Loss of structures 1

2

Partial loss but residual viable

Fully affected/ part affected and remaining structure is non-viable

Legal User with valid ownership

(a) Owner without titles

c) Squatter

(a) Structure owners with/ without valid title

Cash compensation at replacement cost for affected portion calculated on market value with % for ex-gratia towards compulsory acquisition

Repair costs as a % of the compensation amount

Right to salvage material

Cash compensation at replacement cost for affected portion calculated on market value

Repair costs as a % of the compensation amount

Right to salvage materials

Cash compensation at replacement cost at market value

· Repair costs for unaffected structure at of compensation;

Right to salvage materials

Alternative accommodation where possible or Developed plot plus cash compensation at a % towards compulsory acquisition,

Cash compensation at replacement cost plus a % towards compulsory acquisition. and an ex-gratia amount towards house building allowance;

Subsistence allowance equivalent to six months or minimum wages for unskilled labour

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DECEMBER 2011

Right to salvage materials A one off shifting allowance to be agreed

(b) Tenant/ Lease Holder

(b) Squatter

Housing allowance for three month equivalent rental value

A onetime shifting allowance as agreed · Right to salvage materials · Right to alternative accommodation for a

vulnerable household.

Cash compensation at replacement cost of the affected unit based on market rates plus a house building allowance as agreed.

House allowance for 3 months; Assistance to enroll in Government sponsored

housing schemes; One time shifting allowance; Vulnerable households will be offered

alternative accommodation Right to salvage materials.

D. Loss of Income1 Loss of

permanent source of income

Household Subsistence allowance equivalent to 3 months minimum wages for unskilled agriculture workers.

A lump sum payment to be agreed) to help recreate a viable livelihood.

Skills development for PAPs in this category.

2 Loss of rental income

Subsistence allowance equivalent to 6 months rental income.

3 Loss of income from business

a) Owners

b) Employees

Cash grant equivalent to one year minimum wages based on local labour

Lump sum maintenance allowance equivalent to 3 months of minimum wages as per local guidelines.

c) Hawkers /temporary structures

Relocation to other sites

E. Loss of community proprietary resources

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Project will avoid all standing communal properties

Where open spaces are used for children play are affected.

F. Support to Vulnerable groups Additional cash support for first three months; Support to assist in overcoming the respective

vulnerabilityG. Unidentified Impacts

Mitigation measures will be proposed based on the principle of this RPF

Notes:

1. The resettlement packages will be agreed with the communities and the Project Affected Persons (PAPs).

2. All affected persons are screened. The valuations will apply market rate values as is the practice.

7 CHAPTER SEVEN: LEGAL FRAMEWORK FOR RESETTLEMENT

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The new Kenya Constitution has a comprehensive Bill of Rights in Chapter Four and a well elaborated Chapter Five on Land and Environment. These two chapters provide constitutional basis for land ownership, expropriation and protection of rights to land. Land in Kenya is classified as public, community or private. Prior to the new Constitution, there were over 70 pieces of legislations, Acts and subsidiary law governing land and land matters. Under the new Constitution they are being consolidate and rationalised to four pieces of legislation as follows:-

1. National Land Bill – discusses Land issues in general and establishes mechanisms for Land acquisition;

2. Land and Environmental Court – this establishes a court to deal with all ldisputes;3. Land Registration Bill;4. The Community Land Bill.

Although the enactment of these new Lawas is still in progress, it is expected that the implementation of NaMSIP activities will be governed by the new new pieces of legislation.

7.1 Land Bill 2011

A national Land Bill has been prepared following the provisions of Article 60 of the new Constitution of Kenya. Article 60 (1) states that that “Land in Kenya shall be held, used and managed in a manner that is equitable, efficient, productive and sustainable, and in accordance to the following principles:

a) Equitable access to land;b) Security of land rightsc) Sustainable and productive management of land resources;d) Transparent and cost effective administration of land;e) Sound conservation and protection of ecological sensitive ares;f) Elimination of gender discrimination in law, customs and practices related to land and

property in land; andg) Encouragement of communities to settle land disputes through the recognized local

community initiatives consistent with this Constitution.

7.2 Land Acquisition

The new Land Bill has amalgamated various land laws which prior to the New Constitution regulated the administration of land in Kenya including acquisition and compensation. The Bill has established the Land Acquisition Compensation Tribunal which will apply the procedures of acquiring land and compensation as necessary from point of entry on to Land, articles 119 to 121. With regard to compensation, provisions are given in the new Constitution as follows: articles 123: Owners of interests in land taken entitled to compensation:

- article 124: Persons who suffer damage from entry on to land entititled to compensation- article 125: Time Limit for making claim for compensatio- article 126: By whom compensation may be claimed;- article 127: Procedure in unrepresented absentee claims.

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DECEMBER 2011

The Draft Land Bill therefore makes adequate provisions for Land acquisition and provides for compensation. This applied within the provisions of the Bill of Rights will safeguard against dispossessing people of their property without their involvement and compensation.

7.3 Physical Planning Act

The Physical Planning Act (PPA) deals with matters relating to preparation of land use plans, physical development plans (PDPs) and subdivisions. The powers of expropriation of land are vested in the Minister for Lands while the planning and surveys are vested in the Director of Lands and the Surveyor General respectively. The introduction of a Devolved system of Government gives the function of county planning to the County while “General principles of Land planning and the coordination of planning by counties” remains a national function. It is expected that sub-national level committees will be established to oversee implementation. It is therefore recommended that appropriate planning authority be engaged as early as possible by MONMED and appropriate countywide process be put in place for the planning aspects of NaMSIP.

7.4 World Bank Operational Policies OP 4.12

While the Kenya Constitution has outlined in the two chapters the provisions of protecting ownership rights of individuals and groups and permitting legal land acquisition, the World Bank on the other hand and out of its experience, indicates that involuntary resettlement in development projects, if unmitigated, often gives rise to severe economic, social, and environmental consequences. It argues that there will be consequences which include the following:

- impoverishment of people as their productive assests or income sources are lost; - people are relocated to environments where their productive skills may be less applicable and

face greater competition for resources;- community institutions and social networks are weakened and kin groups dispersed;- cultural identity, traditional authority, and the potential for mutual help are diminished or

lost.

The World Bank Operational Policy OP 4.12 - Involuntary Resettlement safeguards for the implementation of Bank supported projects and requires that a Resettlement Action Plan (RAP) shall be prepared and cleared by the World Bank prior to implementation of resettlement activities.

The objectives of OP 4.12 are the following:

a) Involuntary Resettlement should be avoided where feasible, or minimised, exploring all viable alternative project designs;

b) Resettlement activities should be conceived and executed as sustainable development programmes, providing sufficient resources and investment oportunities to affected persons to share in and benefit from the project.

c) Project Affected Persons (PAPs) should be meaningfully engaged in consultations and given the opportunities to participate in planning and implementation of the resettlement programmes.

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d) PAPs 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 begining of project implementation, whichever is higher.

7.5 Gaps between GoK and WB Policies

Bothe the Kenyan and World Bank policies on land acquisition have differences as can be observed in table 3.1 above.Gaps:

i. GoK Laws allow for legal acquisition of land and this leads to displacement, while the WB safeguards favour avoidance or minimization of involuntary resettlement and advocate appropriate mitigation provisions in case avoidance and minimization is not possible.

ii. GoK Laws have no provision for resettlement but allows compensation for land at market rates, while the WB OP 4.12 emphasises compensation at replacement value and support during the transition to improved or restored livelihoods prior to displacement.

Measures to resolve gaps:

i. Each case should be trated on its own applying the common principles across the board and considering the applicable policy for a particular situation. Where the policies of GoK and the World Bank diverge, World Bank OP 4.12 shall prevail.

ii. Careful screening of all projects will be necessary to establish details of each case. iii. Establish an Entitlement Matrix with the involvement of the community and and publicise

the PAPs Screening Report and the Entitlement Matrix. iv. Identify and provide assistance to the vulnerable individuals and groups and clearly

targetting the physically challenged, women headed households and children headed households.

v. The screening exercise and the preparation of the Entitlement Matrix must be carried out transparently and equitably.

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OP 4.12 Kenya Legislation Comparison Recommendation to address the Gap

GENERAL REQUIREMENTS World Bank Op 4.12 has overall policy objectives requiring that:

1. Involuntary resettlement should be avoided wherever possible , or minimized, by all means.

2. Resettlement programmes should be sustainable, include meangful consultation with affected parties , and provide benefits to the affected parties.

3. Displaced persons should be assisted in improving livelihoods or at least restoring them to previous levels.

1. According to Kenyan legislation, involuntary resettlement may occur as a result of projects implemented for public interest

2. The Land Acquisition Act outlines procedures for sensitization and for the consultation on the implications and grievance procedures. All affected persons are entitled to just compensation.

3. The Land Acquisition Act guarantees the right to fair and just compensation; in case of relocation; compensation should help the affected to adjust to their new circumstances and minimize possible cummulative adverse impacts.

1. The Law does not stipulate resettlement should be avoided wherever possible, on the contrary, as long as a project is for public interest, involuntary resettlement is considered to be inevitable.

2. Same as the World Bank

1. For each of the NaMSIP projects ensure that resettlement issues are considered at the design stage in order to avoid aand/or minimize resettlement

Table 7.5.5: Comparative Analysis of World Bank Op 4.12 and Gok Law

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PROCESS REQUIREMENTS OP 4.12 Kenya Legislation Comparison Recommendation to address the Gap

Measurement:

Prefer land based resettlement;

Cash compensation as necessary to restore livelihoods.

Compensation should be prompt and before commencement of execution.

Valuation:For land and structures apply “ replacement cost”

For houses and structures apply “ market cost” for materials and labour.MonitorAdequateMonitoring andevaluatioactivitiestbe undertaken

Measurement:

Legislation provides for compensation on basis of market value.

Considers provision of altenative land.

Cash compensation is also provided.

Monitoring and evaluation undertaken as an audit

Consistent with WB OP 4.12

Consistent with WB OP 4.12

M&E should measure delivery of compensation and appropriateness.

Apply provisions of OP 4.12

Apply provisions of OP 4.12

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Resettlement Policy Framework NAIROBI METROPOLITAN SERVICES IMPROVEMENT

PROJECT

DECEMBER 2011

Table 7.5.6: Comparative Analysis of WB OP 4.12 and GoK Requirements

Category of PAPs and Type of Lost Assets

Kenyan Law World Bank OP 4.12

Land Owners Cash compensation based upon market value under statute. Land for Land

Recommends land-for-land compensation. Other compensation is at replacement cost

Land Tenants Entitled to compensation based on the amount of rights they hold upon land under relevant laws. Illegal tenants not entitled to compensation

PAPs are entitled to some form of compensation whatever the legal/illegal recognition of their occupancy.

Land Users -In some cases land users have some form of secured tenure extended to them under new laws. In other cases land users are not entitled to compensation for land.

Entitled to compensation for improvements; Entitled to replacement land and income must be restored to at least pre-project levels.

Owners of Temporary Buildings

Cash compensation based on market value or entitled to new housing on authorized land under government (state or local) housing programs.

Entitled to in-kind compensation or cash compensation at full replacement cost including labour and relocation expenses, prior to displacement.

Owners of Permanent buildings

Cash Compensation is based on market value.

Entitled to in-kind compensation or cash compensation at full replacement cost including labour and relocation expenses, prior to displacement.

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8 CHAPTER EIGHT: PLANNING FRAMEWORK FOR RESETTLEMENT

8.1 Planning for resettlement

Planning for resettlement and compensation is the last result if displacement is not avoidable. The following are approaches which if applied provide feasible actions for addressing the issue of resettlement.

Considered in planning terms, Nairobi Metropolitan Region can be declared a Special Planning area. This has not been the case, however, the influence of urban infrastructure development on urban spatial structure and access has been outlined in the Spatial Planning Concept for Nairobi Metropolitan Area produced in April 2011.

As already recognizable in the construction of the Nairobi to Thika super highway, “among the various forms of urban infrastructure, transport networks and systems are generally acknowledged to be the most powerful in shaping urban spatial structure”. As recognized in classical urban economic models, the significance of access translates into higher land values around nodes and routes offering high access. Residential developments similarly seek accessibility, thus the development of new routes and transport systems provide important ways of structuring cities over the long run. This will be seen in the Nairobi Metropolitan Region in the next twenty years if the vision of the World Class Metropolis will be realized. To understand the planning process that will influence development in Nairobi Metropolitan Region, the recently delivered Spatial Planning Concept for Nairobi Metropolitan Region will be an important instrument for guiding development.

8.2 Spatial Planning in the context of Resettlement Policy Framework

Spatial Planning in Kenya is governed by the Planning Act (PAP) Cap 286. It provides the legal basis for the preparation and enforcement of different spatial plans and requirements. The Spatial Development Plan (SDP) presents planning concepts in all dimensions – demography, economy, social, land use, transport, physical infrastructure, environment, landscape and cityscape urban concepts as well as institutional framework.

The plan for resettlement is essentially a development plan. The Ministry has identified and agreed with the World Bank a number of steps needed to plan and implement NaMSIP. The Resettlement Policy Framework is critical to the realization of the objectives of NaMSIP. Although the activities of NaMSIP are still at the planning stage, the RPF is needed at this early stage to highlight the impact of the implementation of NaMSIP on people and activities and to map out a process of ensuring that the adverse effects of the same are avoided.

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8.3 Land use and Resettlement Planning.

Land use is an integral component in any planning process. Land use helps in estimating and analysing the quantum of land put to various uses and the quantum of land which can be utilized for future development. To plan for resettlement it is there necessary to establish the land use distribution. Land use plans for NMR only show the prominent uses such as:-

Nairobi City shows Forest/National Park, residential areas, commercial areas, educational facilities, public purposes and utilities.

Thika is predominantly a residential town with 87.8 % of the town area being under residential use. Industrial area comprises some 5 %.

Ruiru is the most rapidly growing municipality in the NMR and is predominantly agro-based town.

Limuru is prodominantly an agro-based industrial town with tea, dairy, and shoe making (bata) industries.

Kikuyu is also growing fast into an industrial town having both manufacturing and agro-based industries.

Machakos is the “Garden City ” of NMR as it has the highest area under recreational use.

8.4 Resettlement Planning Requirements

Resettlement Process will be detailed in the Resettlement Action Plans once the projects have been firmed up and located. However, it is important to outline some critical inputs into the process which are necessary to be in place first and in preparation for identification of the project locations:

a) Establish a Land Iinformation System (LIS). This is a critical tool which is critical for the realization of World Class metropolis. Where is the land, whose land, what type of ownership – public, private or community, land use –current and planned.

b) Establish planning data and prepare up todate Land use maps. Using the Spatial Planning Concept, MONMED should update NMR Land use maps.

c) Prepare Regional Plans. Regional plans will take into account existing developments and factor in future developments. If Regional Plans are prepared with the involvement of the communities, with and upto date information and legaly protected, and respected, displacement and resettlement should be minimal.

d) Establish capacity in the Ministry to professionally carry out forward planning as a continuous function.

8.5 Resettlement Policy Framework and NaMSIP implementation

As shown in the tabulation above, each of the components will go through a planning process to identify the scope of the project and location. For the physical works in components 2 and

37

CONCEPT INVESTMENT identification

PEOPLE

RESETTLEMENT

COMPENSATIONSOCIO-ECONOMIC ACTIVITIES

EXECUTION

GOVERNMENT

MONMED

ACQUISITION

LAND

PLAN


PROJECT

DECEMBER 2011

3 land will be needed either on virgin land or on land already in use. In each case land will be acquired from the owners if it is not already designated and belonging to the Government or Local authority. In the case where the land and or space is occupied and put in use other than the NaMSIP activity, the occupants of the said portion of land required for the activity will be moved out of the same to give way for the activity. The land required for the project and the number of persons affected by the project process of acquiring the land and determining who is affected, and how and the means to militate against such is the subject of this Resettlement Policy Frame work (RPF). Schematically the RPF process will be as shown below – from project Conceptualization through Investment Identification, land acquisition to Resettlement of the affected persons. It should be noted the central place of people in the process and if they are engaged as early as in the Investment identification, the impact of displacements will be minimised.

Figure 8.5.3: Implementation Conceptual Framework

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9 CHAPTER NINE: CONSULTATION AND GRIEVANCE REDRESS MECHANISMS

Overview

The purpose of the Resettlement Policy Framework is to guide the Management of the Resettlement process for NaMSIP activities. Led by the Ministry, several actors will be involved as beneficiaries – the PAPs, contributors of resources, policy and knowledge. These roles are complementary and should therefore be coordinated to achieve maximum and best results. The Ministry will coordinate and manage the following:-

a) Project preparation: This is ongoing and involves liaison and negotiations with the World Bank with the involvement of the Kenya Government and specifically the Ministry of Finance through the funding will flow;

b) Identification of NaMSIP activities or sub-projects with the involvement and contribution of the local authorities, utility and service deliverers and specialist establishments;

c) Preparation and approval of Resettlement Action Plans (RAPs).d) Management of technical inputs required for the preparation and appraisal of the

project for funding by the World Bank;e) Management of the Resettlement process which include:-

- The finalization and approval of this RPF, the ESMF and other agreed reports;- Once the activities (sub-projects) and their locations are established, coordinating

and facilitating interaction with communities and potentia Project Affected Persons (PAPs);

- Conduct socio-economic surveys and coordinate the preparation of RAPs for identified sites.

f) Prepare and keep an update roadmap for the delivery of NaMSIP.g) Establish Monitoring and evaluation modalities for NaMSIP.

9.1 Mechanisms for consultation

The involvement of involuntary resettle d persons and hosts in planning prior to the move is critical and initial resistance to the idea of involuntary resettlement is usually expected. To obtain cooperation, participation and feedback, the resettled persons and hosts will be systematically informed and consulted during the preparation of the resettlement plan. They will be fuly informed of their rights and options to enable them to choose from a number of acceptable resettlement alternatives and to lodge grievances appropriately. Particular attention will be given to vulnerable groups such as the landless, and women to ensure that they are represented adequately in the process.

Conflicts may develop between host communities and resettled persons over the increased demand on services. It is therefore important to keep the hosts and the resettled persons fully

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informed and engaged in the decision making process and in improving the conditions in the host communities. Successful resettlement requires a timely transfer of responsibility from settlement agencies to the resettled persons. Local Authorities must make arrangements for environmental management and infrastructure maintenance.

Meaningful consultation and participation gives PAPs the opportunity to contribute to the design and implementation of project activities and reduce the likelihood of conflicts and displacement. PAPS should be fully informed on the process of Land acquisition and be involved in data collection.

Coordination of stakeholder involvement is critical to the success of the project. Stakeholders should participate and contribute in the preparation of the RAPs. The RAPs will provide a clear implementation schedule for each activity covering initial baseline studies and preparation, actual relocation, and post relocation economic and social activities. The RAP will include a target date when the expected benefits for resettled persons and hosts would be achieved. To facilitate planning and coordination of the tasks in resettlement, respective component leaders should organize regular coordination meetings.

9.1.1 Data Collecting phase

Once the project sites are agreed and the consultants are selected for the preparation of RAPs, appropriate data collection questionnaires will be developed. Although the questionnaires will be specific to specific locations, they will targets all PAPs and capture details of households. Organizations and institutions, individuals and social economic activities in the location of the project.

All the actors will be engaged in the data collection phase with the PAPs providing critical socio-economic information and details of livelihoods. This could be done through Focused Group Discussions (FDGs), questionnaires, interviews and open-air meetings (locally known as barazas) addressed by PCT members, the team leader for the data collection exercise let by the local leadership.

9.1.2 Implementation Operation

PAPs will be involved during implementation as a continuation of their engagement in the planning and design phases. They will be informed about their rights and options, and at which point they can share their ideas. They will be specifically informed of the Compensation process, the resettlement plans and mechanisms for raising and addressing grievances. The Entitlement Matrix will be explained to al, understood and agreed as much as possible. In this respect Component or project specific committees will be established to engage with the community and PAPs regarding the payment of compensation and overall community participation in NaMSIP.

9.1.3 Monitoring and evaluation phase

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PAPs, through their representatives will participate in the continuous monitoring and evaluation of the works and contribute in monitoring for – workshops or seminars. Their contributions on corrective measures which may be used to improve the implementation of the project will be taken into account. At the completion of projects, PAPs will be consulted in a household survey to establish the level of realization of the objectives of NaMSIP through the particular activity.

9.2 Grievance Redress Mechanism.

A key element of the resettlement process will be the development and implementation of a grievance mechanism. Grievance procedures are required to ensure that PAPs are able to lodge complaints or concerns, without cost, and with the assurance of a timely and satisfactory resolution of the issue. The procedures ensure that the entitlements for compensation, resettlement or both are effectively delivered to the intended beneficiaries. Grievance procedures and the intention to implement them will be communicated to PAPS at the time of finalizing the RAPs.

Grievances may arise from members of communities including PAPs wo are dissatisfied with:-

i. The eligibility criteriaii. Community planning measures, or

iii. Actual implementation.

9.2.1 Grievance Procedures

Grievance procedures do not replace existing legal process; Grievance procedures seeks to resolve issues quickly in order to expedite the receipt

of entitlements, without resulting to expensive and time-consuming legal actions; Grievance procedures will be simple and will be administered as far as possible at the

sub-project level by Resettlement and Compensation Committees; Grievent procedures will be implementated within a clear time schedule which should

be adhered to; If grievance procedures fail to provide an agreed result, complainants can still seek

legal redress..

9.2.2 Grievance redress process

The overall process of grievance is as follows:-

During the initial stages of the valuation process, the affected persons will be given copies of grievance procedures as a guide on how to handle grievances.

The process will start with registration of the grievances to be addressed for reference, and to enable progress updates of the cases.

The project will use local mechanism, which include resettlement committees, peers and local leaders in the affected community. These will ensure equity across cases, eliminate nuisance claims and satisfy legitimate claimants impartially.

The response time will depend on the issue to be addressed but it should be addressed with efficiency being mindful of the overall project time frame.

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Compensation will be paid to PAPs, only after a written consent of the PAPs, and for couples both husband and wife will give their consent.

9.2.3 Timeliness of the process

Grievance redress procedures may be invoked at any time, depending on the complaint. No person or community from whom land or other productive assets are to be taken will be required to surrender those assets until any complaints he/she has about the method or value of the assets or proposed measures are satisfactorily resolved. If the verdict rendered by the Grievance Redress Committee is not acceptable, the aggrieved party can take recourse following the provisions of the Law. The applicable legal route will start with the local community leadership as it exists now or as will be defined under the new Constitution. Kenya’s judicial authority and legal system is set out in Chapter Ten of the new Constitution.

The nature of grievance and consequently the manner in which it will be addressed will depend on the specific community and the impact on the PAPs.

9.2.4 The process

The procedure for managing grievances should be as follows:

a) Registration of grievances: The affected person should file his/her grievance, relating to any issues associated with the resettlement process or compensation. The written grievance, signed and dated by the aggrieved person, will be submitted to the subproject Resettlement and Compensation Committee.

b) Assistance to the aggrieved person: A selected member of the Committee, preferably a staff member of the PCT, will act as the Project Liaison Officer who will be the direct liaison with PAPs. Where the affected person is unable to write, the local Project Officer will write the note on behalf of the aggrieved person and document any informal grievances. The note should then be embossed with the aggrieved person’s thumprint.

c) Submission of the grievance: The Project Liaison Officer will submit the signed form to the PCT which will be the secretariat of the Resettlement and Compensation Committee.

d) Response of the Resettlement and Compensation Committee: The Committee will review the claim and inform the claimant if it is valid or not valid:-

- if the claim is rejected by the Committee, the Project Liaison Officer will assist the aggrieved person to take the matter to the Local District Adjudication Board, provided in the existing Land Acquisition Act or as will be detailed in the new Land Bill.

- if valid, the Committee will notify the complainant and within 14 days assist the aggrieved person in establishing details of the grievance. If the grievance relates to valuation of assets, a second valuation will eb undertaken by a separate independent valuer. If necessary, valuation will be repaeated to achieve

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agreement by both parties. The aggrieved person must be notified by the Project Liaison Officer the steps being taken in the consideration of the claim.

e) Action of the aggrieved person if not satisfied with the outcome: If within the aggreed time, the claimant does not receive a satisfactory response, she/he may take the matter to the District Land Adjudication Board, assisted by the Project Liaison Officer if deemed necessary by the subproject Resettlement and Compensation Committee.

f) The subproject Resettlement and Compensation Committee will provide assistance at all stages to the aggrieved person to facilitate resolution of their complaint and ensure that the matter is addressed in the optmal way possible.

9.2.5 Grievance Log

The Project Liaison Officer will ensure that each complainant has an individual reference number, and is appropriately tracked and recorded actions are completed. A record of the stages the claim goes through and the person/s responsible for an individual claim must be clearly recorded and information provided to the complainant. The record will show:

Date the complain was reported; Date the grievance was uploaded to the project database; Date information on proposed action was communicated to the complainant; Date the complaint was closed; and Date response was sent to the complainant.

9.2.6 Monitoring Complaints

The Project Liaison Officer will be responsible for: -

Providing the subproject Resettlement and Compensation Committee with a weeekly report detailing the number and status of complaints;

Any outstanding issues to be addressed; and Monthly reports, including analysis of the type of complaints, and actions taken to

address complaints.

9.3 Institutional Arrangements

9.3.1 Institutional Coordination

NaMSIP will be implemented under the overall supervision of the Ministry of Nairobi Metropolitan Development. Specifically, the program will be managed under the Metropolitan Secretary who is the designated Project Coordinator and leading a team of professionals. It is expected that a professional will be assigned responsibility over a component or a sub-project depending on the scope of the activity.

43

Feasibility studyLand impact indentifiedESMF Stageproduced

Design Report allocates budget for compensation and assistance

Periodic reports to Full Councils and PCU

Sub-projects selectedRAP prepared and approved

Community involvement Detailed design

Project implementation starts Periodic monitoring of RAP

Implement compensation package and appoint Monitoring OfficerApproval process

RAP identifies PAP categories, recommends compensation and assistance

Recruit Contractor

Land not identified as impact


PROJECT

DECEMBER 2011

MONMED in this capacity will interface with other sector ministries such as Ministry of Local Government and other ministries on matters and policies relating to local government and urban development. The MONMED will interface with MoF on issues pertaining to project funding to ensure smooth flow of both internal and external funding. MONMED will communicate directly with the Bank on technical issues related to the implementation of the program including financial, procurement and physical progress of the implementation and all such communication will be take place under the signature of the Permanent Secretary (or his designated representative) as the overall accounting officer for the Ministry.

The Conceptual Coordination framework in figure 9.5.1 traces the interaction from sub-project selection through to civil works execution. It is a complex process which will requires monitoring and preparedness to adjust. Note the role of the Community.

Figure 9.3.4: Conceptual Framework for NaMSIP Coordination

9. 3.2 NaMSIP Coordinating Team:

MONMED has put in place a project team for the preparation and implementation of NaMSIP

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with appropriate skills mix. Further the project with support from the Project Preparatory Facility has procured the services of consultants to assist with preparation of NaMSIP and propose suitable institutional arrangement and capacity building. The project team will be responsible for routine implementation and technical austerity of the NaMSIP activities principally through liaison with counterpart technical personnel within the participating institutions and especially Nairobi City Council, the Local Authorities or their successor entities according to the Devolved Government system.

The Project Coordinator (PC) is the overall technical coordinator in the implementation of NaMSIP and will operate under Permanent Secretary for MONMED who has the overall jurisdiction MONMED. The Project coordinator will supervise the NaMSIP team and ensure that project implementation activities and reports are on schedule and in compliance with the financing agreement. The coordinator will report to the PS and will from time to time draw the attention of the PS to all emerging policies issues for decision at that level or a higher level.

9.7 The Ministry of Nairobi Metropolitan Development

The Ministry of Nairobi Metropolitan Development established as a full Ministry with a Minister, an Assistant Minister, Permanent Secretary and departments commensurate to its mandate. The following is the structure of the Ministry adopted from the ESMF Report.

Figure 9.7.5: Ministry Organizational Structure

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The MinisterMinistry of Nairobi Metropolitan Development

Assistant Minister

Permanent Secretary

Central Planning and Programme Evaluation Department

Secretary Internal AuditFinance and

Administration Department

Infrastructure, Transport and Utilities

Department

Metropolitan Planning and Environmental

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10 CHAPTER TEN: METHODS OF VALUING AFFECTED ASSETS

At this stage of the project, it is not possible to estimate the exact number of people who may be affected by the project as the technical designs and details (including locations) of the subprojects have not yet been developed or finalized. To the extent possible, the project will avoid land acquisition/involuntary resettlement. Therefore, this RPF does not include an estimated budget for the total cost of resettlement in the project. Once the civil works and sites are finalized, including the census of project-affected households, socio-economic study, information on specific impacts, detailed and accurate budgets for each RAP will be prepared. Appendix 7 includes a budget template and table for cost estimates and contingencies.

As indicated above, NaMSIP will be implemented under the overall supervision of the Ministry of Nairobi Metropolitan Development. While the World Bank credit may finance some costs of resettlement (such as professional services, site preparation, construction, etc.), cash compensation and purchase of land will be financed by the Government.

This chapter sets out the detailed requirements for determining the value of affected assets.

10.1 TYPES OF COMPENSATION PAYMENTS

Compensation for all land use and assets in kind or cash will be required for the following:■ Land;■ Residential buildings, structures and fixtures;■ Cultivated crops (both cash and food crops) and trees; and * Loss of businesses or

employment.In addition, resettlement and economic rehabilitation assistance will be given, as outlined in the Entitlement Matrix in Table 6.4.1. It is essential that current market values are used to establish actual compensation. The District Land Offices or the Local Authority and PCT are to establish these rates as part of the preparation of each sub-project, using as a benchmark the rates prevailing for other government land acquisition schemes in that Local Authority.

Although the type of compensation will be the individual's choice, compensation in kind is preferred as cash payments raises issues regarding inflation and security. In addition, provision of cash does not ensure that the PAP's income will be restored. For payment of compensation in-kind, the timing and alternative locations will have to be decided and agreed upon by each recipient, in consultation with the Subproject Compensation and Resettlement Committees.

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10.2 VALUATION OF ASSETS AND NATIONAL LAWAs detailed in Chapter 7 according to Kenya's Expropriation Law, any expropriated assets are to be 'justly' compensated using current market rates with valuation undertaken by an independent valuator.

10.3 VALUATION PROCEDURE

The procedure to be followed during valuation of affected assets is as follows.

Use of Standard Valuation TablesIt is envisaged that subprojects will be located in different Local authorities and will therefore require different valuers for each subproject. The PCT will establish a format to followed to prepare the valuation tables. These tables must be moderated to ensure fairness. This standardized procedure would include a series of reference tables for estimating asset value by type according to the approximate size and condition of the existing asset.The tables would be developed using legally acceptable valuation procedures accepted by both the Government of Kenya and World Bank for purposes of fairness and consistency. The approach will consider replacement costs and types and levels of compensation under the Kenya law. Valuation of lost assets will be made at their replacement cost.

10.4 Preparation of Asset Inventory

In order to prepare an inventory of assets for a sub-project, a field team will visit the affected area to carry out an asset valuation survey. The team will be led by a project representative and will include the Local Authorities at the various levels, a representative of the PAPs, and PCT.

During the survey, each asset will be enumerated and inscribed on an inventory and a valuation of the asset carried out using the approach described above. The values of each asset will then be recorded in a register and shown to the affected person for agreement. The register will be signed and a copy given on the spot to the affected person. The document will indicate when the affected person will be notified, and that the inventory will not be official until a second signed copy, verified by project supervisory staff, is returned to the affected person. At this time, a copy of the grievance procedure will also be given to the affected person as stated in the grievance redress mechanism.

Methods of CompensationIndividual and household compensation will be made in cash, in kind, and/or through assistance. The type of compensation will be an individual choice although every effort will be made to instil the importance and preference of accepting in kind compensation if the loss amounts to more than 20% of the total loss of subsistence assets. Table 4 below describes the forms of compensation.

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Table 10.4.1 Forms of Compensation

FORMS OF COMPENSATION

Cash Payments Compensation will be calculated in Kenya Shillings. Rates will be adjusted for inflation.

In-kindCompensation

Compensation may include items such as land, houses, and other buildings, building materials, seedlings, agricultural inputs and financial credits for equipment.

Resettlement and Assistance may include moving allowance, transportation and labour

EconomicRehabilitationAssistance

10.5 VALUATION METHODS

Replacement Cost ApproachThe replacement cost approach is based on the premise that the costs of replacing productive assets is based on damages caused by project operations. These costs are taken as a minimum estimate of the value of measures that will reduce the damage or improve on on-site management practices and thereby prevent damage. The approach involves direct replacement of expropriated assets and covers an amount that is sufficient for asset replacement, moving expenses and other transaction costs.

Gross Current Replacement CostGross Current Replacement Cost (GCRC) is defined as the estimated cost of erecting a new building having the same gross external area as that of the existing one, with the same site works and services and on a similar piece of land.

Other methods

Rates from Contractors: When rate schedules do not exist or are out of date, recent quotations by contractors for similar types of construction in the vicinity of the project can be used for calculating replacement costs. In projects offering the options of cash compensation or alternative accommodation, the construction cost estimates for alternative accommodation could be used for calculating cash compensation payable.

Schedule of rates from Ministry of Public Works: The Construction Departments have a schedule of rates for preparing estimates for construction projects, which the consultantcan use to assess costs for construction materials and labour. When applied to calculate replacement cost, rates current for the period of actual replacement must be used.

10.6 CALCULATION OF COMPENSATION BY ASSETS

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The following methods of calculation should be adopted for the preparation of the aforementioned standardized asset valuation tables and/ or the application of specific case by case valuations in the case of projects that have significant impacts.

10.6.1 Compensation for LandThe first premise of is provision of replacement land for both the marshland and hillside affected plots. If receiving land as compensation, the affected party will then be compensated for the labour required to replant the crops.

In the case where there is no alternative land available, cash compensation at full replacement value should be provided. This should be valued based on the prevailing market value in the locality to purchase an equally productive plot of land in the same locality. In addition, any associated costs of purchasing the land i.e., taxes, registration fees will need to be included in the compensation.

In addition, the PAPs will be compensated for any permanent improvements made to the land (for instance transmission lines). This will be calculated based on the price of making the permanent improvement at current prevailing market rates for labour, equipment and materials.

Where land lost is only a small proportion of total land owned by the PAP, but renders the remaining land as unusable, the compensation provided should be calculated based on the total land affected (i.e., the actual land lost plus the remaining unusable land).Compensation for land is aimed at providing a farmer whose land is acquired and used for project purposes, with compensation for land labour and crop loss. For this reason, and for transparency, land is defined as an area or homestead :-

(i) in cultivation, (ii) being prepared for cultivation, or (iii) cultivated during the last agricultural season. This definition recognizes the

farmer's labour as the biggest investment he/she makes in producing a crop which is higher than all other inputs such as seed and fertilizer. As a result, compensation relating to land will cover the market price of labour invested as well as the market price of the crop lost.

10.6.2 Land MeasurementFor purposes of measuring land, the unit of measurement would be that which is used and understood by the affected farmers and if a traditional unit of measure exists in the rural areas, that unit should be used. If a traditional unit of measurement does not exist in a particular area then it is recommended that land should be measured in metres or any other internationally accepted unit of measurement.

However, in such an event, the unit that is being used must be explained to the affected farmers/users and must somehow be related to easily recognizable land features that the communities are familiar with, such as using location of trees, stumps, etc as immovable pegs. The most important concern of this exercise is to ensure that the affected person is able to

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verify using his/her own standards/units of measurement, the size of land that is being lost. This will ensure transparency in the system and will thus avoid subsequent accusations of wrong measurements or miscalculation of areas. A farmer should know how much land he/ she is losing, in terms of size and the replacement land must be at least of that same size and comparable value as land lost.

10.6.3 Calculation of Crops Compensation RateThe current prices for cash crops will be determined and all crops will be valued using a single rate regardless of the crop grown. This rate incorporates the value of crops and the value of the labour invested in preparing new land.

Determining compensation using a single rate creates transparency because anyone can measure the area of land for which compensation is due and multiply that by a single rate known to all. This approach also allows assignment of values to previous year's land (land in which a farmer has already invested labour) and land that have been planted but crops have not germinated. Further, it avoids contention over crop density and quality of mixed cropping.

The value of the labour invested in preparing agricultural land will be compensated at the average wage in the community for the same period of time. The rate used for land compensation should be updated to reflect values at the time compensation is paid.

Crop values will be determined on:-a) A combination of staple foods and cash crops. The 80/20 ratio of land that a farmer typically has in food crops and cash crops is used to determine the chances s/he would lose food crop rather than a cash crop income.b) The value of stable crops to be taken as the highest market price (over 3 years) reached during the year, in recognition of the following factors:-

■ Although most farmers grow staple crops mainly for home consumption, they always have the option of selling these crops to take advantage of the market.

■ Farmers most often purchase cereals when they have run out, during drought when prices are high. Compensating at a lower value might put the individual or household at risk.

■ On average, the highest price of stable food yields a high per hectare value reimburses for the vegetables and other foods that are commonly intercropped with staples, but are almost impossible to measure for compensation.

c) The labour cost for preparing replacement land is calculated on what it would cost a farmer to create a replacement land. This value is found by adding together the average costs of clearing, ploughing, sowing, weeding twice, and harvesting the crop.

The labour costs will be paid in Kenya Shillings at the prevailing market rates. All agricultural labour activities are included for two reasons. First, because of the need for transparency, all land labour will be compensated for at the same rate. Secondly, it is difficult to forecast when during the growing season, a farmer might need to give his/her land. In certain cases, assistance may be provided to land users in addition to compensation payments

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e.g. if the farmer is notified that his/her land is needed after the agriculturally critical date when he/she will not have enough time to prepare another land without assistance. In such a case, assistance will be provided in the form of labour intensive village hire, or perhaps mechanized clearing, so that replacement land will be ready by the sowing dates. The farmer will still continue to receive his/her cash compensation to enable him/her to pay for sowing, weeding and harvesting.

10.6.4 Compensation for Buildings and StructuresThe preferred option is to provide alternate structures (huts, houses, farm outbuildings, latrines, storage facilities and fences etc.) of improved quality where possible. Where structures are dwellings, the replaced structure should provide improved living conditions.The second option is provision of cash compensation at full replacement value. Replacement values will be based on:-

Measurements of structures and detail of materials used; Average replacement costs of different types of household buildings and Structures based on collection of information on the numbers and types of materials used to construct different types of structures (e.g. poles, bricks, rafters, Bundles of straw, corrugated iron sheets, doors etc.) Prices of these items collected in different local markets; Costs for transportation and delivery of these items to acquired/ replacement land or building site; Estimates of construction of new buildings including labour required; ' Any associated

taxes, registration fees.

Compensation will be made for structures that are (i) abandoned because of relocation or resettlement of an individual or household, or (ii) directly damaged by subproject activities.

10.6.5 Compensation for Community AssetsCompensation will be provided for community assets identified through the socioeconomic survey. In all cases these will be provided in kind and new facilities will be provided even if there are existing facilities at the new location.

10.6.6 Compensation for Sacred SitesThis policy does not permit the use of land that is defined to be cultural property by the Banks Safeguards OP 4.11. Sacred and genocide war memorial sites include but not restricted only to; museums, altars, initiation centrer, ritual sites, tombs and cemeteries. It includes other such sites or places/features that are accepted by local laws (including customary), practice, tradition and culture as sacred. To avoid any possible conflicts between individuals and/or communities/homesteads/chiefdoms the use of sacred sites for any project activity, is not permitted under this project.

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10.6.7 Compensation for Loss of BusinessesAny structures will be replaced in an appropriate location as outlined above. In addition, compensation will be paid for the lost income and production during the transition period (time lag between losing the business and re-establishment). This will be estimated based on the daily or monthly income of the affected parties.

10.6.8 Compensation for Cultivated Crops (both cash and subsistence) and TreesPAPs will be encouraged to harvest their produce before loss of land. In order to ensure that this is possible, and that appropriate market prices are received for yields, there needs to be sufficient consultation beforehand so that harvesting can be properly planned. In the event that crops cannot be harvested, compensation for loss of crops (whether cash or subsistence) and trees will be provided as follows:-

Provision of seed or seedlings (as appropriate for hillside plots, rice for marshland plots);

Provision of cash compensation for value of crops lost, at current market value; Provision of cash compensation to cover the income foregone during the period that

the PAP is without land. The cash compensation will be equivalent to the value of crop production lost, until the replacements are yielding to the same level (i.e., the period until the replacement seed/seedlings are producing - whether the same year for annual crops, or longer in the case of shrub or tree crops).

10.6.8 Compensation for vegetable gardens and other activitiesUntil a replacement garden starts to bear, the family displaced (economically or physically), will have to purchase vegetables in the market for daily use. The replacement costs therefore, will be calculated based on the average amount that an average town dweller spends on buying these items for one year per adult from the local market.

Other activities such as bee keeping placed in various locations in the bush by individuals specializing in honey gathering will also e taken into account. If such hives will be disturbed by the project activities, or access to hives is denied, beekeepers will be free to move them, and hopefully the bees will adapt to the new locations. Beekeepers will be compensated by the value of one season's production costs of honey for each hive that is moved and any reasonable costs associated with moving the hive.

10.6.9 Compensation for horticultural, floricultural and fruit treesBanana and Mango trees are featured here below as two examples of the set of primary fruit trees that are likely to be found in project targeted area and are estimated to account for a significant amount of all fruit bearing trees. They are primarily important as a source of:

■ Subsistence food for families■ Cash produce that contribute to the export economy■ Petty market income in some areas, and■ Shade (in the case of mango trees).

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For banana trees, they have a relatively much shorter productive life, normally, than mango trees. For species, banana trees will not bear fruit more than once. Therefore, compensation for banana trees would be compensated at the full market rates for bananas harvested in that year and for another year. The second year payment is for the replacement cost of planting a new tree, looking after it and harvesting it which could all be done in one year. Therefore, the farmer should have restored his pre-project position by the end of the second year. This example of bananas is an example for trees/ plants that have a relatively short life.

Given their significance to the local subsistence economy, which this project intends to positively impact, mango trees will be compensated on a combined replacement/market value. Mango trees used for commercial purposes will be compensated at market value based on historical production records.

If households chose to resettle, they will be compensated for the labor invested in the trees they leave behind, because they will continue to own the trees left behind under customary rights. It is not uncommon for individuals to own trees in other villages in which they formally lived and, in some cases, to continue to harvest fruit from those trees for subsistence purposes and/or sale to traders. If a household chooses to transfer ownership of the trees, transfer costs will be paid in addition to labor costs. The compensation rate will be based on information obtained from the socio-economic study. From this study, a compensation schedule for mango trees can be developed incorporating the following goals:

Replace subsistence mango production yields as quickly as possible. Provide subsistence farmers with trees to extend the number of months of the year

during which mangoes are produced and can be harvested as a supplemental source of food for their families during their "hungry season".

Provide farmers with the opportunity to derive additional production income from trees bearing more valuable fruits at off-season periods.

Provide cash payments to farmers to replace pre-project income derived from the sale of excess mango production until replacement trees produce the equivalent (or more) in projected cash income.

The compensation schedule is based on providing a combination of new grafted and local trees to farmers, as well as cash payments to offset lost yearly income.

10.6.10 Other domestic fruit and shade treesAs defined in this policy, individuals will be compensated for wild trees which are located in their land. Wild productive trees belong to the community when they occur in the bush as opposed to fallow land. These trees will be compensated for under the umbrella of the community compensation.

No compensation will be paid for minor pruning of trees. Compensation for removal of limbs will be prorated on the basis of the number of square metres of surface area removed. The total surface area of the tree will be calculated using the following formula: (Vidiameter of canopy) 2 x 3.14.

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11 IMPLEMENTATION ARRANGEMENTS

Overview

Before any project activity is implemnted, PAPs will need to be compensated in accordance with the RPF. The measures to ensure complience with this RPF will be included in the RAPs that will be prepared for each project involving resettlement of compensation. The schedule of implementation will be discussed between the Resettlement Committees and the PAPs. It is therefore necessary to establish regular communication fora to deliberate on the implementation arrangements including resettlement and compensation.

11.1 Public Consultation and participation

Public consultation and participation are essential because they afford the PAPs the opportunity to contribute to both the design and the implementation of the projects. This should start as early as possible such that projects are initiated, planned, designed, implemented and operated by communities. It is the communities who are to claim ownership of the projects for it to be successful. Communities have also a wealth of knowledge of local conditions, a very invaluable asset.

Communities should participate in the resettlement process. While this approach may be time consuming, it is the best way for resolving conflicts between the PAPs and the project implementation teams. The strategy should be to make community consultations an on-going aspect of the project implementation. For NaMSIP, the natural approach is to build on the consultative process used during the establishment of the extent of NMR. The community should be adequately informed about the project, be explained the choice of location and the implications of the project on the land and their livelihoods. As much as possible the community will need to understand the benefits of the project and see their participation as a contribution towards the realization of the benefits.

Public and community consultations should take place through a variety of engagement measures – through meetings, media, fliers and brochures, radio and TV programmes. These measures should take into account the literacy and absorption capacity of the affected persons. Community consultation, if properly managed can change the phase of engagement and avoid antagonism between the project implementers and the PAPs.

11.2 Stakeholders Workshop

The stakeholder consultation, a workshop was organised by MONMED on 20 December during which the ESMF and RPF Reports were presented. A copy of the RPF power point presentation is included in Appendix 4 and the Minutes of the deliberations included in Appendix 5. The points summarised below relate to the RPF.

The main issues rose in both the presentations and the discussions were: -

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1. The relationship between the frameworks and the actual projects. It was explained throgh the presentations and by the Project Coordination Team that Resettlement Action Plans will be prepared for the RPF detailing the implementation arrangements.

2. The issue of participation of stakeholders and Project Affected Persons was discussed. Participants emphasized the importance of meaningful engagement at all levels. They pointed out that politicians should be involved.

3. Forward Planning including land banking should be undertaken by MONMED to establish up todate land information for NMR. This should minimise displacements.

4. The issue compensation was discussed extensively: Should encroachers be compensated? Participants discussed and emphasized the need to learn from experience in applying World Bank Safeguard Policy 4.12.

5. Measures of minimising displacements and therefore need for compensation were discussed. Participants agreed that involvement of the Project Affected Persons must be built in project implementation.

6. The relationship of NaMSIP as presented in the RPF and the ESMF was discussed. Participants pointed out that there should be complemntarity to save on resources.

7. Cut Off date which is the date when the census of the affected persons begins or the date when the project area was delineated should be publicised. For every project, a public relations office should be established to continuously communicate project information especially with regard to displacements and resettlement.

8. The workshop concluded that several stakeholders who could not come to the meeting will be requested to send in their comments and recommendations on NaMSIP and the two presentations in particular.

11.3 Inventory/Census of PAPs to prepare Assets Registers

Once the project location and coverage has been confirmed, and the affected persons are identified, it is important that a register is established of the affected. It is important to:-

Explain to the PAPs the purpose of the register clearly. Capture all information on each affected person, households and activities. Employ the services of a professional enumerator who should not create a spirit of

fear among the affected persons. Use up to date maps to delineate the project area to avoid encroachments. A key task to be conducted under this process is a household survey describing the

extent of the social impacts. At this stage, all PAPs will be listed in order to avoid an influx of people trying to take advantage of the compensation and rehabilitation.

A cut off date1 should be established after which encroachers will not eligibile for compensation. The principles of compensation will be triggered wherever there will be land acquisition and adverse social impacts.

1 Normally, a Cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and continuous dissemination subsequent to the delineation to prevent further population influx.

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The reason for the cut off date must be discussed with the community and its neighbours who are likely to encroach.

Publicize the register (excluding personal information of PAPs which can be maintained at the Local Authority Office and the project Office) and ensure that all affected acknowledge its purpose.

11.4 Linking implementation to civil works

Before any project activity is implemented, PAPs must be compensated in accordance with the Resettlement Policy Framework2. For activities involving land acquisition or loss, denial or restriction to access, it is further required that these measures include provision of compensation and of other assistance required for relocation prior to displacement and preparation of resettlement sites with adequate facilities, where required. The RAPs will detail the step for taking over the land and expropriation of assets. In any case, this may only take place after compensation has been paid and where applicable, resettlement sites and moving allowances have been provided to displaced persons. For project activities requiring relocation or loss of shelter, the policy further requires that measures to assist the displaced persons are implemented in accordance with the individual RAPs.

The measures to ensure compliance with this RPF will be included in the RAPs for each location involving resettlement and/or compensation. The schedule for the implementation of activities must be prepared with the full involvement of the community members and the Resettlement Committee. Target dates for start and completion of civil works, timetables for transfers of completed civil works to PAPs, and dates of possession of land that PAPs are using should be publicized extensively. How these activities are linked to the implementation of the overall subproject must also be agreed between the parties. The screening process must ensure that RAPs contain acceptable measures that link resettlement activity to civil works in compliance with this policy.

The timing mechanism of these measures would ensure that no individual or affected household would be displaced (economically or physically) due to civil works activity before compensation is paid and resettlement sites with adequate facilities are prepared and provided for to the individual or homestead affected. Once the RAP is approved by the local and national authorities, the RAP should be sent to the World Bank for final review and approval.

11.5 Preparation of Resettlement Action Plans (RAPs).

Upon determination of the full extent of the physical coverage and potentially affected land and space, with all the details documented in the Formats in Annexes I and 2, a team of technicians led by a knowledgeable professional and including representation of the PAPs, will prepare the RAP. The RAP will be specific to each project and site.

2 Where the borrower has offered to pay compensation to an affected person in accordance with an approved resettlement plan, but the offer has been rejected, the taking of the land and related assets may only proceed if the borrower has deposited funds equal to the offered amount plus 10 % in a secure form of escrow or other interest bearing deposit acceptable to the Bank and has provided a means satisfactory to the Bank for resolving the dispute concerning said offer of compensation in a timely and equitable manner.

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Resettlement Action Plans will be prepared once the project sites have been agreed and early enough in the design stage to ensure that compensation is effected long before project start up. Upon determination of the full extent of the scope of the works and potentially affected land and space and displacements which cannot be avoided, the situation of the PAPs – individuals and household/groups will be documented on Forms in Appendices 1 and 2. A team of technicians led by a knowledgeable professional and including representation of the PAPs, will prepare the RAP. The RAP will be specific to each project and site. For each project and sub-project the following elements must be considered:-

i. Identification of project impacts and affected populations;ii. Particular aspects of the legal framework for land acquisition and compensation as

defined in this RPF;iii. Socio-economic characteristics of the affected population with base line values;iv. Particular aspects of the compensation details, as applied to each project/sub-project;v. Description of resettlement assistance and restoration of livelihood activities;

vi. Detailed project budget;vii. Implementation Schedule;

viii. Particular aspects of the description of organizational responsibilities, as applied to the sub-projects;

ix. Details of public consultation, participation, consensus building inthe planning of each sub-project;

x. Particular aspects of the description of provisions for redress of grievences, as applied for each sub-project;

xi. Particular aspects of the Monitoring and Evaluation framework and reporting to ensure timely decisions are taken to keep the implementation on course.

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CHAPTER ELEVEN: MONITORING AND EVALUATION

Overview

The responsibility of MONMED in managing the implementation of NaMSIP requires the establishment of mechanisms for Monitoring and Evaluation of activities undertaken from the inception to end of project. Monitoring and Evaluation is a continuous process that informs the parties on progress and provides information and facts that can lead to redesign and overall monitoring plan of the entire Ministry for projects such as NaMSIP. The establishment of the Monitoring and Evaluation capacity in MONMED should be a priority activity under component four of NaMSIP.

11.6 Setting of Monitoring and Evaluation Goals

RAPs will set major socio-economic goals by which to evaluate their success which will include:

(i) affected individuals, households, and communities being able to maintain their pre-project standard of living, and even improve on it,

(ii) the local communities remaining supportive of the project; and (iii) the absence or prevalence of conflicts.

In order to assess whether these goals are met, RAPs will indicate parameters to be monitored, institute monitoring milestones and provide resources necessary to carry out the monitoring activities. The Project Coordination Team will institute an administrative reporting system that will:-

Provide timely information about all resettlement arising as a result of NaMSIP activities;

Identify any grievances that have not been resolved at a local level and require resolution through the involvement of the PCT ;

Document the timely completion of project resettlement obligations for all permanent and temporary losses;

Evaluate whether all PAPs have been compensated in accordance with the requirements of this RPF and that PAPs have higher living standards in comparison to their living standards before physical or economic displacement.

alerts project authorities and parties to the necessity for land acquisition in NaMSIP’s planned activities.

The resettlement process should be monitored consistently with the involvement of the PAPs. The parties will:-

Agree the monitoring parameters with the PAPS and involve them in gathering the information.

Using the register, establish a method of tracking down the PAPS depending on their established socio-economic setting. Treat each case as a special case for better results.

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Establish purposes to which cash compensations and non-cash compensation are applied to and following the agreed monitoring parameters record the same and take immediate action.

Agree the expected results ot the resettlement process with the PAPs and authorities and document the progress.

Prepare periodic reports and disseminate information widely minus personal information of PAPs.

Agree and adhere to a timeframe and milestones for reporting and reviewing progress.There should be no hidden agenda.

11.7 Responsibility of the authorities

The role of the implementing authorities is critical in the aoperationalization of the Resettlement Policy Framework. The following are important points to observe:-

Ensure that there is trust between the PAPs and the authorities throughout the process by being transparent in every action and sharing information.

Being realistic with time frames and sequencing of related activities:- when registration will be completed, - when assessment will be completed,- when computation of entitlements will be carried out,- when payments will be made by whom and where, - when the acquired land will be vacated and when the contractor will move on site.

Adhering to the agrred and publicized timetable of delivery of compensation is critical. This calls for a deliberate effort to ensure:

o Funds for compensation are raedy set aside and accessible when payment commences;

o The location for resettlements are demarcated and available without encomperances for those who opt to be relocated.

The PCT will provide training, technical support and funding to ensure that capacity is established within all parties to facilitate their participation and contribution in M&E.

11.8 Indicators to Determine Status of Affected People

These indicators are most important with respect to the RPF policy on resettlement and compensation. They will be informed by the baseline survey and will provide the Ministry and the World Bank data and trends for refocusing the project and for improving delivery as a whole. The following will be considered:

Affected individuals, households, and communities are able to maintain their pre-project standard of living, and even improve on it; and

The local communities remain supportive of the project. Specific indicators may include the following, which would indicate a change in:

- quality of, and access to services, number of people employed;- number of people engaged in income-generating activities;- number of vulnerable people;- sources of income;

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- expenditure parttern.

11.9 Indicators to Measure RAP Performance

In terms of the resettlement process, the following indicators could be used to understand the success of the measures identified and the working of the relevant parties in implementation the RAP:

Percentage of individuals selecting cash or a combination of cash and in-kind Compensation; The number of contentious cases as a percentage of the total cases; The number of grievances and time and quality of resolution; The ability of individuals and families to re-establish their pre-displacement activities; Number of impacted locals employed by the civil works contractors; General relations between the project and the local communities.

These will be determined through the following activities: Questionnaire data will be entered into a database for comparative analysis

coordinated by the PCT; Each individual will have a compensation dossier recording his or her initial situation,

all subsequent project use of assets/improvements, and compensation agreed upon and received;

The PCT will maintain a complete database on every individual impacted by the sub-project land use requirements including

Relocation/resettlement and compensation, land impacts or damages; and the PCT should prepare Resettlement Completion Reports for each RAP, in addition to other regular monitoring reports.

11.10 Monitoring of RPF Implementation

Local Government Authorities will District assist in compiling basic information on all physical or economic displacement arising from the project, and convey this information to the PCT on a quarterly basis.

They will compile the following statistics:- Number of sub-projects requiring preparation of a RAP; Number of households and individuals physically or economically displaced by each

sub-project; Length of time from sub-project identification to payment of compensation to PAPs; Timing of compensation in relation to commencement of physical works; Amount of compensation paid to each PAP household (if in cash), or the nature of

compensation (if in kind); Number of people raising grievances in relation to each sub-project; Number of unresolved grievances.

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11.11 Storage of data and information:

Land expropriation is serious business. Each time information is missing or takes too long to be found adds misery to the affected especially the vulnerable. It is therefore important that each PAP household will be provided with a signed report recording his or her initial situation, all subsequent project use of assets and compensation agreed upon and received. The PCT will maintain a complete database on every individual impacted by the project land use requirements including relocation, resettlement and compensation, land impacts or damages.

Each recipient of compensation will have a record containing individual bio-data, number of household dependents and amount of land available to the individual or household when the report is opened. Additional information to be acquired for individuals eligible for resettlement and/or compensation include the level of income and of production, inventory of material assets and improvements in land and debts.

Each time land is used by a sub-project; the report will be updated to determine if the individual or household is being affected to the point of economic non-viability and eligibility for compensation or its alternatives. These reports will provide the foundation for monitoring and evaluation, as well as documentation of compensation agreed to, received, and signed for.

11.12 Socio-economic monitoring

The purpose of socio-economic monitoring is to ensure that PAPs are compensated and recovering on time. During implementation of each sub-project RAP, an assessment will be undertaken on payment of compensation, restoration of income delivery of resettlement objectives. Monitoring of living standards will continue following resettlement. A number of indicators will be used to determine the status of affected people and appropriate parameters and verifiable indicators will be used to measure the resettlement and compensation plans performance. For each sub-project with adverse social impacts, a monitoring and evaluation plan of the mitigation measures will be established. As part of the preparation of each RAP, a household survey will be conducted of all PAPs, prior to physical or economic displacement, and this will provide baseline data against which to monitor the performance of the RAP.

END

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APPENDIX 1

Appendix 1.0 Checklist to guide inventory/register of PAPS

AFFECTED STRUCTURE SHEET

Occupier particulars

Name ............................................. ID/No...............................Date of Birth ..........................P.O. Box ................................................. Tel..........................................................................

(Owner, spouse, tenant, sharing, lodger, other ........................................................................)Length of occupancy ................................................................................................................

Physical location with respect to project site

Project site......................................................Wayleave.......................................................Reserve...........................................................Next to ..........................................................

Description of Structure:

Permanent or non-permanent Size Sq. M. .............Rooms...............Walls Materials...................................Roof Materials..................................Floor Materials.................................

Annexes Latrine........ Bathrooms ...........Kitchen................others.................Other physical features ...........................................................................................

Going cost of structure/deeveloment ......................................................................

Replacement Value .................................................................................................

Proposed compensation moderlity Money .................................................Resettlement........................................Other ..................................................

Prepared By.................................................... Sign.................................Date........................................................................

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...............................................

APPENDIX 2

Appendix 2.0 Checklist to guide inventory/register of PAPS

AFFECTED HOUSEHOLD SHEET

( This includes questions related to demographic and socio-economic characteristics, assets ownership, indebtness, house types, size, ownership and available faciliites; - in the case of businesses – shops, workshops and other working space facilities: number of employees, turnover and income and related business information – type, merchandise, customers, linkages to others; and in rural areas – type of development – crops and pasture land and facilities, etc).

Household/Business Reference Name of Head of Household

Name ............................................. ID/No...............................Date of Birth ..........................P.O. Box ................................................. Tel..........................................................................

Reference of affected AssetType : .............................Structure: ...............................Plot: .......................Other:...................

..

Reference of affected Asset sheet:

Location.......................................... Physical Address .................................................... ....................................................

Name Relationship Gender Age

Education Occupation Income Nature of Vulnerability

Total Household Income ........................................................

Type of Business premises:

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Size .......................Construction materials...............................................Nature of business............................................ Incomes ......................Turnover ........................................................... Net Incomes ................Indebtness .........................................................No. Of employees ........................................No. of customers visiting daily ..........................

Project Impact Assessment of the Impact of the losss of the Affected Asset on Household’s

livelihood ..............................................................................................................................................................................................................................................................................

Proposed Compensation or Resettlement Package:

Household wish....................................................................................................................

Proposed package ..............................................................................................................

Proposed Livelihood Restoration Package:

Household wish...................................................................................................................

Proposed package ...............................................................................................................

Prepared By....................................................

.........................................................

Sign...................................Date........................................

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APPENDIX 3

Template for the design of sub-project Resettlement Action Plans (RAPs)

The basis for preparing RAPs is provided by Resettlement Policy Framework (RPF) which guides and governs projects as sub-projects are selected. In the case of NaMSIP, it is the responsibility of the Project Coordinating Team of the Ministry to prepare RAPs, which will be reviewed and approved by the World Bank before the commencement or civil works.

This section of the RPF provides a template for description of the contents of individual RAPs for NaMSIP activities which are likely to trigger resettlement.

A Resettlement Action Plan should address potential adverse impacts of the project and at the same time make provisions for improving the socio-economic conditions of the affected populations. To address the impacts, the plan should have the following attributes:-

A. The resettlement plan includes measures aimed at ensuring that the displaced persons are(i) informed about their options and rights pertaining to resettlement,(ii) consulted over choices and given technically and economically feasible

resettlement alternatives; and(iii) Provided with prompt and effective compensation at full replacement cost for

losses of assets due to the project; B. In case the impacts include physical relocation, the resettlement plan includes measures

to ensure that the displaced persons are:-(i) given assistance (such as moving allowance) during relocations; and (ii) (ii) Provided with residential housing or housing sites or, as required, agricultural

sites for which a combination of productive potential, vocational advantages and other factors is at least equivalent to the advantages of the old site.

C. Where necessary, to realize the objectives of the Resettlement Policy, the plan also includes measures to ensure that displaced persons are:-

(i) offered support after displacement for a transition period which is likely to be needed to restore their livelihood and standards of living and

(ii) Provided with development assistance in addition to compensation measures. Such assistance includes land preparation, credit facilities, and training and/or job opportunities.

D. The content and level of detail of a RAP will vary depending on circumstances such as theThe magnitude of resettlement. However, a satisfactory Resettlement Action Plan should include the following elements. Depending upon the magnitude of impacts for each activity the level of RAP will be determined, but broadly the following aspects will be

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covered:- (a) Description of the project (sub-project), project area and area of influence

Information presented in this section will include description of the project area showing location, sitting of plants, structures, lands, affected dwellings etc; NaMSIP objectives and strategy; policy and legal framework; timeframe; geographical coverage; project strategic context and rationale.

(b) Potential Impacts Description of project components or activities which would trigger resettlement; the cultural, social, economic and environmental impacts envisioned; and the alternatives considered to avoid or minimize resettlement.

c) Organizational Responsibility

The institutional arrangement within the implementing agency, provision of adequate resources to the agency and inter-agency coordination should be described. The capacity and commitment of the institution to implement the RAP should be assessed. Strengthening of the institutions should be considered if necessary and the steps that will be taken together with a timetable and budget should be described at the time of preparing the project. Involvement of the local people and NGOs in planning, implementation and monitoring resettlement should be highlighted.

d) Community Participation

This sub-section includes:- Description of the consultation and participation of the displaced and host

communities in design and implementation of resettlement activities including a summary of the views expressed and how these views were incorporated during the preparation of the resettlement plan.

A review of the resettlement alternatives identified and choices made by the displaced people, including choices related to forms of compensation and resettlement assistance, relocating as individual families or as part of pre-existing families and to retaining access to cultural property (e.g. cemeteries, places of worship etc)

Description of procedures for redress of grievances by affected people throughout the planning and implementation period.

Description of measures aimed at sensitizing and educating the affected and host communities on matters of resettlement.

e) Integration with host communities

Arrangements for consultation with host communities and for prompt payment to

the host for land and other assets should be provided to the resettled persons. Arrangements for resolving conflicts which may arise between the resettled

persons. Arrangements for resolving conflicts which may arise between the resettled

persons and host communities should be put in place.

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Appropriate measures should be formulated to augment public services such as education, water, health in host communities in order to avoid disparities between resettled persons and the host communities should be put in place.

Resettled persons should be integrated economically and socially into host communities so that adverse impacts to host communities are minimized.

f) Socio-economic Studies

These will include the following:- Population census of the project area including a description of production systems, household organization, baseline information on livelihoods and standards of living of the displaced population (and host communities) An inventory of assets of displaced households; the magnitude of the expected loss

(total or partial for individual or group assets); and extent of physical and economic displacement;

Information on disadvantaged/vulnerable groups or persons for whom special provisions may have to be made. Such groups and persons include those living below the poverty line, the landless, the elderly, women, children, indigenous people, ethnic minorities and displaced persons who are not protected through national land compensation legislation. Resettlement involving vulnerable/disadvantaged groups/persons should be preceded by a social preparation phase to build their capacity to deal with issues of resettlement;

Provisions for updating information on the livelihood of displaced people and their standards of living at regular intervals;

Description of land tenure systems including common property and non-title based land ownership or allocation recognized locally and related issues;

Public infrastructure and social services that will be affected; and Social and cultural characteristics of displaced and host communities. Appropriate

patterns of social organization should be promoted and the existing social and cultural institutions of resettled persons and their host should be retained, supported and used to the extent possible.

(g) Institutional arrangement This will involve the identification of agencies which are responsible for resettlement activities and NGOs that may have a role to play in project implementation and assessment of the institutional capacity of such agencies and NGOs.

(h) Eligibility Definition of displaced persons and criteria for compensation and other resettlement assistance including relevant cut off dates. The assurance should be given that lack of legal title should not bar affected persons form being compensated.

(i) Valuation and Compensation for losses The methodology to be employed for valuing losses in order to determine their

replacement cost. This is a description of the levels of compensation under the local laws and supplementary measures aimed at determining replacement of cost for lost assets.

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A description of the packages of compensation and other resettlement measures that will ensure that each category of eligible displaced persons get their fair compensation. In conformity with the World Bank Operational Policy (OP.4.12 of Dec 2001, updated February 2011), displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them to pre-displacement levels or to levels prevailing prior to the start of project implementation whichever is higher.

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(k) Identification of alternative sites, selection of resettlement site(s), site preparation and relocation

Institutional and technical arrangements for identifying and preparing relocation sites for which a combination of productive potential, location advantages and other factors, should be at least comparable to ancillary resources.

Procedures for physical relocation including timetable for site preparation and land title transfer and description of resettlements sites.

Measures to prevent the influx of ineligible person (encroachers and squatters) into the selected sites such as the identification and recording of affected people at the project identification stages.

Legal arrangements for regularizing tenure and transferring titles to resettled persons.

(l) Shelter, infrastructure and social services This sub-section provides details regarding plans to provide or finance housing, infrastructure (e.g. roads, water supply etc) and social services (schools, health services) and plans aimed at ensuring that services and any necessary site development to host.

(m) Environmental protection communities are comparable to those provided to resettled persons. An assessment of possible environmental impacts of the proposed resettlement

and measures to mitigate and manage the impacts. (n) Implementation Schedules

An implementation schedule covering all resettlement activities from project preparation through implementation to monitoring and evaluation. The schedule should indicate dates for achievement of expected benefits to resettled persons and hosts and dates for terminating the various forms of assistance.

(o) Costs and Budget The breakdown of cost estimates for all resettlement activities including allowances for inflation and other contingencies, timetable for expenditures, sources of funds and arrangements for timely disbursement of funds.

(p) Monitoring and evaluation Under this sub-section, information regarding arrangements for monitoring of resettlement activities by the implementing agency is presented. When appropriate, independent monitors will supplement the role of the implementing agency to ensure objectivity and completeness of information. Performance indicators for measuring inputs, outputs and outcomes of resettlement activities and for evaluating impacts for a reasonable period of time after the resettlement activities have been completed are also presented.

(q) Commitment to follow RPF guidelines and requirementA statement of assurance that the implementing agency will follow the guidelines and requirement of the RPF should be included in the RAP.

(r) Description of programmes for improvement and restoration of livelihoods and standards of living of the affected people. Programmes aimed at improving and restoring the livelihoods and standards of living of the affected people in line with the Resettlement Policy should be described and the magnitude of their funding should be indicated.

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Appendix 4: RPF POWER POINT PRESENTATION

The Power Point Presentation will be attached to the Report.

Appendix 5: Minutes of Stakeholder Workshop 20 December 2011

NAIROBI METROPOLITAN SERVICES IMPROVEMENT PROJECT (NaMSIP)

DEVELOPMENT OF ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK AND RESETTLEMENT PLAN FRAMEWORK.

Minute of the stakeholder’s workshop held at Shimba hills hall, KICC on 20th December 2011

Min. 1/2011: Workshop openingThe meeting was opened with a word of prayer. This was followed by a self introductory session whereby each participant, in turn, introduced him/herself mentioning, name, position and organization represented. The list of participants is annexed to the minutes.

The workshop was opened by Eng. Maina, the NaMSIP Project Coordinator. In his opening remarks, Mr. Maina explained that the Ministry of Nairobi Metropolitan Development (MONMED) was formed as an offshoot of the Kenya Vision 2030. Through NaMSIP, MONMED will undertake investments in the local authorities of the counties of the Nairobi Metropolitan Region. He explained that NaMSIP has been under discussion and that through the Project Preparation Fund provided by the World Bank, MONMED has commissioned the preparation of two documents, Environmental and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF). EMF and RPF are to be developed, completed and submitted to the World Bank by 3rdJanuary 2012 in readiness for financing in May.

As part of the process, MONMED is engaging the stakeholders through this workshop to to actively participate in discussing NaMSIP and contribute in finalizing the documents. These documents will be submitted to the World Bank by 3rdJanuary 2012 in readiness for presentation of the Project to the Board in May 2012.

He invited the participants to listen to the presentation by the consultants and to make comments, share views on the issues especially with respect to their areas of interest for improvement of the documents.

Min. 2/2011: Agenda presentation Eng. Moire presented the agenda of the workshop by taking participants through the workshop programme annexed to these minutes.

Min. 3/2011: Workshop presentationsEng. Moire introduced the ESMF consultant, Mr. Harrison Ngirigacha, who proceeded to make his presentation. The full power point presentation is attached to these minutes.

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Eng. Moire introduced the RPF consultant, Mr. David Kithakye, who proceeded to make his presentation. The full power point presentation is attached to these minutes.

Min. 4/2011: Plenary discussions, comments and responsesEng. Moire facilitated the plenary discussions which were participatory and interactive. Participants asked questions for clarification of the presentations, made comments and suggestions. The outcome of this session is presented in a question-answer structure as presented in the following paragraphs:

Engineer MainaHe commented that the ESMF and RPF as presented by the consultants were frameworks only and that details on each of the projects of NaMSIP will be provided in the Environmental Management Plan (EMP) and the Resettlement Action Plans (RAPs). He appreciated the consultants for the efforts and the good presentation.

He explained that the purpose for the stakeholder meeting was to critically make suggestions that would improve the ESMF and RPF. He emphasized that the important thing is how to involve those affected.

Giving an example on the problems in projects were the affected persons decide not to cooperate, he cited the case of a road extension that was done by MONMED in western part of the city where those affected were provided with a better alternative land to operate from, but, refused to vacate till they were forced to do so.

Question The above scenario therefore raises a question – How can NaMSIP influence the attitude of the Project Affected Persons?

AnswerThe response by the consultants and the contribution from participants was that there is need for a Change of attitudes of both NaMSIP side and the Project Affected Persons. NaMSIP should seek active involvement of politicians in discussing implementation and dealing with displacements and resettlement. The affected persons should be involved in all stages of the project and be updated with accurate information.

Peter Kibinda

Commented that there is within the stakeholders’ extensive experience in project implementation and that discussions should use lessons from those experiences. He suggested that Land banking should be built in project planning.

QuestionHow will the ESMF and RPF integrate the existing situation and experience?

AnswerThe existing situation was carefully analysed by the consultants and has greatly informed the recommendations in both the ESMF and the RPF. MONMED is advised to establish a

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Forward Planning unit and a Land Information System (LIS) so as to avoid conflict of development interests. calls for active involvement of those affected right from the beginning, before the NaMSIP implementation. This will make the affected appreciate the project thereby removing many handles that could impede the project.

QuestionIn the case of encroachment, how do we determine who will be compensated and who will not and how will this be enforced?

Answer

This is a complex matter that calls for active involvement of those affected right from the beginning, before NaMSIP implementation and declaring the Cut Off date for the census to determine those who will be compensated and who are within the project site. The affected persons should be involved and made to appreciate the project so as to be part of those controlling who is within the project site and who is encroaching.

Eng. Njenga

In discussion the problem of encroachment, he gave the experience MONMED has had in road extensions at the Outer Ring Road along Mutindwa in Umoja and at a road near Mater Hospital where the projects suffered delays due to people refusing to move.

QuestionHe wondered if there was a way of ensuring similar instances do not reoccur.

AnswerEfforts must be made to involve the affected people in the planning of projects and in the design of projects. If the communities can own the project, they will support the improvement works.

Mr. KiraituHe observed that Oloitokitok, the furthest area, was not considered as part of the NMR. It will however be incorporated into the ESMF.

He also observed that the dams which will be created in the Nairobi Metropolitan Area will be at magnitudes that do not trigger World Bank attention as their impacts will be relatively low.

He also suggested that the ESMF and RPF should also reflect on at political issues and development. The ESMF and RPF recommendation that may be in conflict with the Government should be highlighted and brought to the attention of the politicians even to Cabinet level.

Raphael KazuguHe commented that if individuals knowingly encroatched public land, it would be improper to compensate them for the financier to engage the PAPs who have “stolen” as this may

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propagate further encroachment making all funds to be spent on resettlement and at the end, no projects are implemented. They should instead be considered to have “stolen” from the public and not deserving to be compensated.

Mr. MuthamaHe observed that people encroach and settle in wrong areas and want compensation especially where the matter is politicized. Therefore a forum should be held with parliamentarians to create awareness about compensation of people.

He suggested that the ESMF and RPF should ensure harmony and interlinkage between the existing Law and the new constitution. He cited the Urban Areas Bill under the Devolved Government which has specific articles on urban development and urban land.

M/s BettyShe observed that though the workshop was meant for all stakeholders, a number were missing who are key to propagating the documents. She suggested that there may be need to hold another meeting and arranged to ensure that all concerned are present or represented.

Answer: MONMED sent out invitations to all stakeholders considered to have critical inputs to NaMSIP. They could not be forced to participate, however, in order to get their contributions, a questionnaire will distribute to stakeholders who did not attend and requested to fill and return the same for incorporation into the final reports.

QuestionThere are many risks anticipated with the NaMSIP especially in cases where planners still stick to old structures. Who will manage these risks?

AnswerMONMED is aware that like all projects, risks will be there in the implementation of NaMSIP. A risk-mitigation matrix should be developed and managed by MONMED.

M/s Jane

QuestionShe wondered if NaMSIP has considered KISIP which has all the four components as the NaMSIP? How do the two projects relate?

AnswerThe two projects are complementally and not in conflict. KISIP is specifically addressing housing. There is also KMP which is related and nationwide addressing infrastructure services development.

All related actors will be engaged and information shared appropriately to ensure harmony especially in the implementation phase. Mr. Ngirigacha discussed the ESMF structure to clarify on working relationships between NaMSIP and other stakeholders.

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M/s Marion Rono

QuestionDo we have criteria and guideline of determine a cutoff date?

AnswerThe cut-off date is the date when the census begins. This should be preceded by adequate sensitization of the community who should be presented with a clear scope of the works and envisaged impact on land, people and livelihoods.

Nr. Nguri

He observed that the major huddle in NaMSIP could be communication and public relations. For example, many adverts are placed on news papers. But how many people depend on the media for specific information on project implementation?

There is need to engage a liaison person to ensure that information is adequately communicated to all stakeholders and to the affected persons. Community workers should be involved in the implementation of NaMSIP. They link the project to other stakeholders being closer to the community.

Min. 5/2011: Closing

The meeting was closed by Mr. Peter Kibinda by thanking all participants who attended and actively participated in the meeting.

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Appendix 6: SAMPLE GRIEVANCE REDRESS FORM

Grievance FormGrievance Number Copies to forward toName of the Recorder (Original) – Receiver PartyDistrict/Sector/Cell (Copy) – Responsible PartyDate

INFORMATION ABOUT GRIEVANCE

Define the Grievance:

INFORMATION ABOUT THE COMPLAINANT Forms of Receive

Name - Surname o Phone LineTelephone Number o Community /information meetingsAddress o MailVillage o InformalDistrict o OtherSignature of ComplainantDETAIL GRIEVANCES1. Access to Land

and Resourcesa) Landsb) Pasture

Landsc) Fishing

groundsd) Housee) Commercial

sitef) other

2. Damage to

a) Houseb) Landc) Livestockd) Means of

livelihoode) Other

3. Damage to infrastructure or Community Assets.

a) Road/Railwayb) Bridge/Passagewaysc) Power/Telephone

Linesd) Water sources,

Canals and water infrastructure for irrigation and animals

e) Drinking water f) Sewarage Systemg) Other

4.Decrease or loss of Livelihood

a) Agricultureb)Animal husbandryc) Bee keepingd) Small scale tradee) Other

5. Traffic Accidenta) Injuryb)Damage to propertyc) Damage to livestockd) Other

6. Incidents regarding Explopriation and Compensation(Specify)

7. Ressettlement Process (specify)

8. Employment and Recruitment ( Specify)

9. Construction Camp and Commmunity Relations

a) Nuisance from dust

b)Nuisance from noise

c) Vibrations due to explosions

d)Misconduct of the project personnel/workers

e) Complaint

10. Other Specify

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followupf) Other

Appendix 7: RAP: Sample Template for Itemized RAP Budget and Cost Estimates and Contingencies

No. Item (detail as appropriate KSh US Dollars %A COMPENSATIONA1 Land acquisitionA2 Destruction and damages to cropsA3 Affected individual structuresA4 Affected community structuresA5 Contingencies – other compensation (e.g.

disturbance allowance(TOTAL COMPENSATION x%

B INVOLUNTARY RESETTLEMENTB1 Purchase of land for resettlementB2 Cost of resettlement land development

(utilities, paving, etc.)B3 Housing construction

TOTAL INVOLUNTARY RESETTLEMENT

C ADDITIONAL MITIGATION MEASURES

x%

C1 Livelihood restoration measuresC2 Vulnerable groupsC3 Coordination of additional mitigation

measuresC4 Grievance dispute mechanism/process

TOTAL ADDITIONAL MITIGATION MEASURES

x%

D IMPLEMENTATION COSTSD1 Surveying and asset identificationD2 ValuationD3 Coordination and supervision of worksD4 Legal adviceD5 Monitoring and EvaluationD6 Capacity-Building/Training/Technical

AssistanceTOTAL IMPLEMENTATION x%

E ADDITIONAL CONTINGENCIES x%GRAND TOTAL 100%

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S/N Item Cost (KSh) Assumptions1 Compensation for land

acquiredper hectare For land acquisition purposes, based on

cost realized in projects involving similar issues in Nigeria.

2 Compensation for loss of crops

per hectare of farm lost

Include cost of labour invested and average of highest price of staple food.

3 Compensation for buildings and structures

N/A This compensation will be in-kind. New buildings will be built and given to those affected

4 Cost of relocation assistance/expenses

per household This cost is to facilitate transportation

5 Cost of restoration of individual income

N/A Assume to be higher than the GDP/capita

6 Cost of restoration of household income

N/A For household of ten

7 Cost of Training Per participant Depends on the number of stakeholders in the counties selected

8 Cost of Management Per sub-project site Incurred by stakeholders such as ministries, districts

9 Cost of Monitoring and Evaluation

Per sub-project site Dependent on the each sub-project site

10 TOTAL Per sub-project site Addition of all the cost incurred

11 Contingency Per Total Cost 5% of the Total cost

12 Grand Total N/A Sum of t Total and contingency costs

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Documents

MINISTRY OF NAIROBI METROPOLITAN DEVELOPMENTdocuments.worldbank.org/curated/en/... · Web viewThe Nairobi Metropolitan Services Improvement Project ... Kikuyu is also growing fast