IntercontinentalConsultantsandTechnocratsPVTLtdinAssociationwithGeodevLtd

FinalAbbreviatedResettlementActionPlan(ARAP)Reportin the Construction of Kangundo -Kenol, Kenol-Koma,Katumani –Mombasa Rd and, rehabilitation of Kenol-MachakosTown-KatumaniLinkRoadProjectSubmittedby-RepconAssociatesTheRepconCenterSigona410offKEFRI/KARIRd-MugugaP.O.Box79605-00200,NairobiTelefax:254-20-2248119;Mobile-0721-274358/0736499399Email:info@repcon.co.ke

November9,2017

ii

ABBREVIATIONS

ARAP AbbreviatedResettlementActionPlan

Cap ChapteroftheLawsofKenya

EHS EnvironmentHealthandSafety

EMCA1999 EnvironmentManagementandCoordinationAct1999

EMP EnvironmentalManagementPlan

ESIA EnvironmentalandSocialImpactAssessment

GoK GovernmentofKenya

Ha Hectare

LN LegalNotice

LRCC LocationalResettlementandCompensationCommittees

m meter

M&E Monitoring&Evaluation

NaMSIP NairobiMetropolitanServicesImprovementProject

NEMA NationalEnvironmentManagementAuthority

O&M OperationandMaintenance

PAPs ProjectAffectedPersons

PIT ProjectImplementationTeam

PIM ProjectimplementationManual

RO Resettlementofficer

RR RoadReserve

SGPs SafeGuardPolicies

SCRCC SubCountyResettlementandCompensationCommittees

TORs TermsofReference

US$ UnitedStatesDollar

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DISCLOSUREPAGE

ThisAbbreviatedResettlementActionPlanisherebydisclosedforpublicreviewasfollows:-Proponent: MinistryofTransport,Infrastructure,Housing&UrbanDevelopment

StateDepartmentofHousing&UrbanDevelopmentAssignment: AbbreviatedResettlementActionPlan-ARAPintheDetailedEngineering

DesignoftheKangundo(Tala)-Kenol,Kenol-Koma,Katumani–MombasaRd and, rehabilitation of Kenol-Machakos Town-Katumani Link RoadProject

FirmofExperts: RepconAssociates-NEMARegistrationNo.0002Contactaddress: TheRepconCenter, Sigona410,off.KEFRI/KARIRdMuguga P.O.Box79605-00200,Nairobi Telefax:254-20-2248119;Mobile-0721-274358/0736499399 E-mail:info@repcon.co.ke

Signed:...... .. Date.11/10/2017..................................................MichaelM.WairaguLeadExpert(Environment)

Proponent: MinistryofTransport,Infrastructure,Housing&UrbanDevelopment

StateDepartmentofHousing&UrbanDevelopmentContactaddress: POBox30130-00100

20thFloorAMBankBuilding;Nairobi-Kenya

Attentionof: Eng.BenjaminNjenga-TheProjectCoordinator Signed:........................................... Date.................................................

iv

EXECUTIVESUMMARY

0.1 INTRODUCTION

TheGovernmentofKenya,throughits implementingagency,theMinistryofTransportandInfrastructure,HousingandUrbanDevelopment,NairobiMetropolitanDevelopmenthascommissioned IntercontinentalConsultantsand technocratsPVTLtd inassociationwithGeodevLtdtocarryoutpreliminaryanddetailedengineeringdesignofKangundo(Tala)-KenolRoad(C98/C99),Kenol-KomaRoad(E474),Katumani–MombasaRd(D522)andRehabilitationofKenol-MachakosTown-Katumani(C99)Road.

This Report provides the Abbreviated Resettlement Action Plan prepared to guideresolutionofdisplacementimpactsassociatedwithdevelopmentofthe70kmlongProjectRoadsProject.

0.2 OBJECTIVESOFTHEARAPSTUDY

The Abbreviated Resettlement Action Plan was designed to achieve the followingobjectives;

• To guide compensation against displacement in line with laws, regulations andguidelinesforResettlement/LandAcquisitionPolicyFrameworkoftheGovernmentofKenyaandtheWorldbank.

• ToidentifyandquantifydifferentcategoriesofProject–Affected-People[PAPs]whowouldrequiresomeformofassistance,compensation,rehabilitationorrelocation.

• Toprovideguidelinestostakeholdersparticipatinginthemitigationofadversesocialimpactsoftheproject.

• ToverifytheadherenceandcomplianceoftheWorldBank’sSafeguardPolicies.

0.3 ARAPAPPROACH

ThemainactivityintheARAPstudywasaninventoryofallpotentiallyaffectedpersons.ThistookplaceinJanuary2017andentailedadministrationofquestionnairesonthePAPsidentifiedalongtherouteoftraverse.Further,aspartoftheARAPStudy,consultationswithsecondarystakeholderstookplace.

Basedontheinformationcollected,anAbbreviatedResettlementActionPlanhasbeenprepared for the project. Core elements of the ARAP include an Asset register andentitlementmatrixtoguidecompensationtoallpeoplelikelytobeaffected.

0.4 TheCut-offDate

The Cut-off Date is the date the census began. The initial cut-off date was fixed inNovember2014butduetochangesindesignthiswasrevisedandfixedinJanuary2017whichisthedatethefinalcensusbegan.Personswhoencroachontheareaafterthecut-offdatearenotentitledtocompensationoranyotherformofresettlementassistance

0.5 LEGALANDINSTITUTIONALFRAMEWORKOFTHEARAP

This ARAP and its entitlement matrix have been prepared in compliance with theapplicablepolicyprovisionsofKenyanGovernmentandOP4.12of theWorldBankonInvoluntaryResettlement.OP4.12requiresthatanAbbreviatedARAP(ARAP)bepreparedforallprojectsthatanticipateminorlandacquisition(10percentorlessofallholdingsistaken)andfewerthan200peopleandnophysicalrelocationisinvolved.Basically,this

v

ARAPpresentsaninventoryof(register)ofpeoplewhowillbeaffectedbydevelopmentoftheprojectroads,aregisteroftheassetsthataretobedisplacedbytheprojectandtheproposedcompensationpackage.RelevantKenyalawsconsideredinclude:-• TheNationalConstitution2010TheLandAct2012

• TheNationalLandCommissionAct2013,etc.

0.6. THEARAPTEAM

ThisARAPstudywasundertakenbyamultidisciplinaryteambringingtogetherskillsasfollows:-

• Mr.MichaelM.Wairagu-EIALeadExpert

• Ms.NancyKanyi-Sociologist

• Ms.MonicahNyang-Socio-economist

• MeshackOwino-Biometrician

0.7 VALUATIONANDCOMPENSATION

SpectrumofPotentiallyAffectedPersons(PAPs)

Outcomeof the inventoryofpotentialPAPs in theProjectRoadbyroadsection isprovided inTableES01below.Thestudyhasdeterminedthatthereare36numberofPAPsoutofwhich4belong to corporates (Farmers Society and Church) and one has no records in theregistry/unknown. In this respect, there are 31 number. of PAPswhowent through the socioeconomicsurveywhoinclude21landedPAPsand10structuredPAPsassummarizedintableES02.It’sworthnotingthatthereareonly17parcelsoflandwhicharebeingtargetedforacquisition.Furtheranalysisindicatesthatthereare12affectedstructures,11outofwhichbelongtoPAPsonexistingroadreserveandonestructureisonlandtargetedforacquisition.

TableES01:SpectrumofthePAPsbyroadsection

PAPsCategory

Section1 Section2 Section4 Total

Land Structure Land Structure Land Structure Landparcels

structures

IndividualLandedPAPs

4 1 5 0 4 0 13 1

CorporatePAPs

0 0 3 0 0 1 3 1

Encroachers 0 0 0 0 0 10 10Unknown 0 0 1 0 0 0 1 Total 4 1 9 0 4 11 17 12NoofPAPs 13 1 5 0 3 10 31

TableES02:ThePAPswhowentthroughthesocioeconomicsurvey

TotalPAPs Tally

vi

LandedPAPs 21

StructuredPAP 10

TotalPAPsInterviewed 31

QuantificationofDisplacementImpacts

Section1,3and4has40metersroadreservewhileSection2enjoys25mofreserve.Thisisthedesignatedroadreserveuponwhichtheroadupgradingisbeingalignedinto.Atotalof1.36hawillbeacquiredintheroadupgradingprojectwhich,fora70kmroadprojectisquitesmall.Thisrepresentsasignificantdrop fromthe40.81haoriginally targetedandthishasbeenachievedthroughadecisiontorestrictallroaddevelopmenttotheexistingroadreserve.

SummaryofCosts

ThisARAPrecognizestwocostsregimesasfollows:-

(a) CoststowardsCompensation

Compensation costs have been computed based on the entitlement as applied to the AssetsRegistertoyieldtoCostedAssetsRegisterissuedasAppendix5.1tothisARAP.AsummaryofthecostedassetsregisterisprovidedinTableES02below.AtotalofKshs29,488,444.90(Read:KenyaShillingsTwentyEightMillion,OnehundredandNinetySevenThousands,SixhundredandTwentyshillings, centsFifty)hasbeen identifiedunder this vote.Thebulk (55.91%)of costswill go toacquisitionof1.36ha.

TableES02:GrossBudgetfortheARAP

Budgetitem AdditionalNotes Cost RemarksLand 1.36haoflandor17parcels

ofland14,337,000

Structures 12structuresincluding7non-operationalshops,2toiletsand3gates

7,880,656

Trees Includingfruittrees(299)andothertrees(70)(bothindigenousandexotic)

649,000

Seasonalcrops 84,470 Restorationcost Anadditional15%markup 6,537,319

TrainingsongoodcrophusbandryandenvironmentalconservationaspartofCSR.

1,000,000 BOQItem1.24.ThisishowevercateredforundertheESMP

ProvisionoftreeseedlingstoallPAPsandlocalreforestationgroupsasCSR.

2,000,000 BOQitem1.24.ThisisprovidedforunderthebudgetforESMP

CorporateSocialresponsibility(CSR)

Supporttolocalreforestationandconservationgroups,TrainingsongoodcrophusbandryandenvironmentalconservationasacomponentofCSR.

1,000,000 BOQitem1.20.CateredforundertheESMP

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Coststowardscushioningthevulnerable

Attachmenttothecountysocialservicesofficeforcounselingandinclusioninthesocialdevelopmentprojects.

1,000,000

Totalcompensationbudget

29,488,444.90

ARAPimplementationCosts:30%ofdirectcosts

ExternalImpactAssessmentandMonitoring

6,846,533.47

TrainingonGRMstructures 1,000,000.00

TotalDirectCosts 38,334,978.37 20%Contingency 7,666,995.67 TotalARAPBudget 46,001,974.04

(b) ARAPImplementationCosts

AtotalofKshs8,846,533.47 (ReadKenyaShillingsEightMillion,Eight HundredandFortySixthousands, Five hundred and Thirty Three, Forty Seven cents five) equivalent to 30% of theCompensation Cost has been earmarked to facilitate Nairobi Metropolitan Development toimplement the ARAP inclusive of capacity building for the PAPs,management of the GRM ascurrentlymanagedbytheSocialOfficeundertheResidentEngineer,andexternalmonitoring.

(c)Contingency:

A20%Contingencyhasbeenallowedtocaterforfluctuation incostsandanyunforeseencostelements. Kshs 7,666,995.67 (Read Seven Million, Six Hundred and Sixty Six thousand, NineHundredandNinetyFive,SixtySevencentsonly)hasbeenvotedforthis.

d)TotalbudgetfortheARAP

Table E02 above summarizes the gross budget for theARAP computed at Kshs 46,001,974.04(Read:KshsFortySixMillion,Onethousand,NinehundredandSeventyFourshillingsandfourcents)willberequiredinimplementingtheARAP.

OTHERASSISTANCEMEASURES

AssistancetoVulnerablegroups:Additionalmeasureswillbepursuedasfollows;-

• Creating of special programmes:While ordinary PAPs will undergo training onmodalities ofcopingeitherthedisplacement,elderlyandsickPAPswillnotbeavailableforsuch.Anoutreachprogramme in which they have been linking with the County Social Development Office forassistanceeitherundertheCashTransferProgram,reliefassistanceamongothershasbeenputinplace,

• Monitoring management of proceeds from compensation: If left alone, some PAPs have nocapacity tomanagemonies accruing from compensation andwould endup losing themoneywithout replacing lost assets. The Resettlement Officer will require to network with PAPs toensuresuchPAPshavere-placedlostassets.

• Assistance through Corporate Social Responsibility (CSR) Programme: Under the CSRprogramme, training on conservation and crop husbandly have been mounted under theEnvironmentalandSocialprogrammeoftheinconstructionsupervision.OthercomponentsoftheCSRalreadyunderwayinclude:-

viii

o Euphorbiafencingofallwaterpans(BOQItem1.20)

o Allowing communities access to water dammed for road construction during droughtseason

o Supporttolocalreforestationgroups(BOQItem1.24)

o Engagementoflocalcommunitiesinreforestationandgrassingofcutandfillareas

0.8 REQUIREMENTSFORMONITORINGANDEVALUATION

Monitoring by the DoNMED: The arrangements for monitoring will fit in with the overallmonitoringplanoftheentireprojectunderauspicesoftheDoNMED.ForpurposesofthisARAP,monitoringwill ensure smooth administrationof the compensationpackages in amatter thatfavours all. Exposure of PAPs to vulnerability has to be safeguarded against all costs. So far,monitoringbyDoNMEDhasentailedthefollowing:

• Monthlysitemeetingsbringingtogetherthecontractor,REandClient

• MonthlyTechnicalMeetings

• QuarterlymonitoringbyWorldBankMissions:TheRETeampreparesquarterlyreportsinanticipationofsuchmissions

PostProjectImpactAssessment:Inordertoensurethatcompensationandassistancewillenabletheaffectedpeopletoimproveorrestoretheirlivelihoods,anexternalimpactassessmentwillbeundertaken6-12monthsaftertheimplementationiscompletedtoevaluatewhethertheintendedobjectives are realized. For this, suitable baseline indicators related to income, assets, landownership,expenditurepatternofkeyactivities,housingconditions,accesstobasicamenities,demographiccharacteristics,indebtedness,etc.

0.9 CONCLUSIONANDRECOMMENDATIONS

Fromdiscussionswithdiversestakeholders,thereisageneralagreementthattheprojectisquitejustifiable and necessary. It enjoys overwhelming public support. Further, this ARAP hasdeterminedthat,withtheexceptionofafewstructures,theroadupgradingprojectascurrentlyaligned will occasion little displacement of people out of their farm holdings which greatlymitigates would be social and displacement impacts.Measures to offset impacts of the littledisplacementanticipatedhavealreadybeenidentified.

••••••

ix

TABLEOFCONTENTS

Executivesummary.....................................................................................................................iv

1 Introduction............................................................................................................................1

1.1 Backgroundtothisreport...............................................................................................1

1.2 ObjectivesoftheARAP....................................................................................................1

1.3 JustificationfortheARAP................................................................................................1

1.4 TheARAPteam................................................................................................................1

1.5 PrinciplesofthisARAP.....................................................................................................2

2 Projectdescription..................................................................................................................3

2.1 Ownership.......................................................................................................................3

2.2 Projectdescription..........................................................................................................3

2.3 TheSocio-economicbackground....................................................................................5

2.3.1 TheCountyperspective...........................................................................................5

2.3.2 Administrativejurisdiction......................................................................................5

3 Overviewofthepolicyframework........................................................................................10

3.1 Overviewofthepolicyframework................................................................................10

3.2 AnoverviewofGOKpolicyblueprints...........................................................................10

3.3 LegalframeworkIncompulsorylandacquisition..........................................................10

3.4 Thelandacquisitionprocess.........................................................................................17

3.5 WorldBank’ssafeguardpolicies...................................................................................19

3.5.1 Involuntaryresettlement(Op4.12).......................................................................19

3.5.2 Institutionalcontext..............................................................................................19

3.5.3 ComparisonofKenyalandlaws&WorldBank/GapAnalysis...............................20

4 TheARAPmethodology.........................................................................................................24

4.1 ScopeoftheARAPstudy...............................................................................................24

4.2 ARAPmethodology........................................................................................................25

4.3 Stakeholderconsultations.............................................................................................25

4.3.1 Theneedforstakeholderconsultations................................................................25

4.4 FieldinventoryofPAPsandassets................................................................................27

4.4.1 Questionnairedesign............................................................................................28

4.4.2 TheSocio-economicsurvey...................................................................................28

4.4.3 Datacleaningandanalysis....................................................................................28

4.4.4 Computationoftheassetsregister.......................................................................29

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4.5 ApproachtovaluationofPAPassets.............................................................................29

4.5.1 PrinciplesinassetvaluationintheARAPstudy.....................................................29

4.5.2 Parameterstovaluation........................................................................................29

4.5.3 Valuationmethodsadopted..................................................................................29

4.6 Modalitiesfordisclosure...............................................................................................30

5 FindingsoftheARAPprocess................................................................................................31

5.1 Potentialscopeofdisplacement...................................................................................31

5.1.1 Spectrumofpotentiallyaffectedpersons(PAPs)..................................................31

5.1.2 TheSocioEconomicData......................................................................................31

5.1.3 QuantificationofDisplacementImpacts...............................................................32

5.1.4 CostallocationinTheARAP...................................................................................33

5.2 SocioEconomicSurvey..................................................................................................35

5.2.1 Focusofthesurvey................................................................................................35

5.2.2 Approachtothesocio-economicsurvey...............................................................35

5.2.3 CharacteristicsPAPsParticipatingintheSocio-EconomicSurvey.........................35

5.2.4 Householdbasicneeds..........................................................................................38

6 ResettlementMeasuresandEntitlementMatrix..................................................................40

6.1 Eligibility........................................................................................................................40

6.1.1 PrincipleAuthorities..............................................................................................40

6.1.2 CriteriaforEligibility..............................................................................................41

6.2.3:TheCut-OffDate.........................................................................................................41

6.3:TheEntitlementMatrix......................................................................................................41

6.4:TheResettlementBudget...................................................................................................43

6.5:OtherAssistanceMeasures................................................................................................45

7 TheInstitutionalArrangementsforARAPImplementation..................................................46

7.1 AgenciesResponsibleforResettlementActivities........................................................46

7.2 RolesAndResponsibilitiesinARAPImplementation....................................................46

8 GrievanceManagementandRedress...................................................................................51

8.1 Overview.......................................................................................................................51

8.2 AnticipatedTypesofGrievances...................................................................................51

8.3 ManagementMechanism.............................................................................................51

8.3.1 GeneralPrinciplesandKeyAspects.......................................................................51

8.3.2 GrievanceRegistrationandMonitoring................................................................52

8.3.3 VillageLevelinCooperationwithDoNMeD..........................................................53

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8.3.4 MediationCommittee(SubCounty).....................................................................54

8.3.5 ThirdLevel:ResorttoJustice.................................................................................55

8.3.6 NationalLandCommissionGrievanceMechanism...............................................55

9 ImplementationSchedule.....................................................................................................57

9.1 LoanEffectivenessandImplementationPlanning........................................................57

9.2 ImplementationPhaseActivities...................................................................................57

9.3 CompensationProcess..................................................................................................58

9.4 RemovalofAssets.........................................................................................................59

9.5 CostsintheARAPImplementationSchedule................................................................59

10 ProcedureforMonitoringandEvaluation.........................................................................60

10.1 TheConcepts.................................................................................................................60

10.1.1 Monitoring.............................................................................................................60

10.1.2 ProjectEvaluation.................................................................................................60

10.1.3 IndicatorsandMeansforVerification...................................................................60

10.1.4 Progress/OutputMonitoring.................................................................................60

10.1.5 EffectMonitoring..................................................................................................60

10.1.6 ImpactMonitoring.................................................................................................60

10.2 ProcedureforInternalMonitoring................................................................................62

10.2.1 DevelopmentofCriteriaandIndicatorsforMonitoring........................................62

10.2.2 ResponsibilityforInternalMonitoring..................................................................63

10.3 ExternalMonitoring......................................................................................................64

Appendices....................................................................................................................................67

1

1 INTRODUCTION

1.1 BACKGROUNDTOTHISREPORTThe Government of Kenya, through its implementing agency, the Ministry of Transport andInfrastructure, Housing and Urban Development, Nairobi Metropolitan Development hascommissionedIntercontinentalConsultantsandtechnocratsPVTLtdinassociationwithGeodevLtd to carry out preliminary and detailed engineering design of Kangundo (Tala)-Kenol Rd(C98/C99),Kenol-KomaRd(E474),Katumani–MombasaRd(D522)andRehabilitationofKenol-MachakosTown-Katumani(C99)Road.

Underthiscontract,andinlinewithexistingnationallegislationandinternationalpractice,theConsultant is expected to develop an Abbreviated Resettlement Action Plan (ARAP) to guideresolutionofdisplacementImpactsassociatedwithdevelopmentoftheRoadProject.

ThisreportgivesthefindingsoftheAbbreviatedResettlementActionPlanStudyundertakenasanintegralpartofthedesignproject.TheARAPwaspreparedundercontractbytheConsultantswithEnvironmentalExpertsandSociologistfromRepconassociates,dulyregisteredandlicensedbyNEMA-andotherGovernmentofKenya(GoK)agencies.

1.2 OBJECTIVESOFTHEARAPAdetaileddescriptionoftheroadproject isprovidedinChapterTwobelow. TheAbbreviatedResettlementActionPlanisdesignedtomeetobjectivesasfollows;-

a) Toidentifyandassesspotentialimpactsfromlandtake.

b) ToidentifyandquantifydifferentcategoriesofProject–AffectedPeople[PAPs]whowouldrequiresomeformofassistance,compensation,rehabilitationorrelocation.

c) Toprovideguidelinestostakeholdersparticipatinginthemitigationofadversesocialimpactsoftheprojectincludingcompensationandrehabilitationforaffectedpeople.

d) Toverifycompliancewiththelandacquisitionandresettlementregulationsandindustry’sstandardsincludingtheWorldBank’sSafeguardPolicies.

e) Togeneratebaselinedataformonitoringandevaluationofhowwellthemitigationmeasureswillbeimplementedduringtheprojectcycle

1.3 JUSTIFICATIONFORTHEARAPThis ARAP has been prepared consistent with the applicable policy provisions of KenyanGovernmentandtheprovisionsoftheWorldBank'sSafeguardPolicyonInvoluntaryResettlement(OP4.12).OP4.12requiresthatanARAPbepreparedforallprojectsthatanticipateminorlandacquisition(10percentorlessofallholdingsistaken)andfewerthan200peopleandnophysicalrelocation is involved. Basically, thisARAPpresentsan inventoryof (register)ofpeople tobeaffected by development of the project roads, a register of the assets that are likely to bedisplacedbytheprojectandtheproposedcompensationpackage.

1.4 THEARAPTEAMThisARAPstudywasundertakenbyamultidisciplinaryteambringingtogetherskillsasfollows:-

• Mr.MichaelM.Wairagu-EIALeadExpert

2

• Ms.NancyKanyi-Sociologist

• MsMonicahNyang-Socio-economist

• MeshackOwino-Biometrician

1.5 PRINCIPLESOFTHISARAPPreparationofthisAbbreviatedResettlementActionPlanhasbeenguidedbycoreprinciplesasfollows:

(i)MinimizationofDisplacement

InlinewiththeOP4.12,displacementundertheprojectwillbeminimizedthroughthefollowingdesignprocedures:

• The development planned to avoid any impact on structures to avoiddisplacement/relocationaccordingly.

• Totheextentpossible,Projectfacilitieswillutilizepubliceasements-pipelines,publictaps,otherlinearinfrastructuresetc.whereverpossible.

(ii)LivelihoodRestoration

One of the objectives of this ARAP is to ensure that livelihoods are improved or restored to pre-displacement levels. To restore people’s income-earning opportunities after land acquisition andresettlement,OP4.12specifiesthat“displacedpersonsare providedwithdevelopmentassistance inadditiontocompensationmeasuresthus,thefollowingwillalsobeincluded;

Ø Anadditional15%markupundereveryPAPbudgetØ TrainingsongoodcrophusbandryandenvironmentalconservationaspartofCSRØ ProvisionoftreeseedlingstoallPAPsandlocalreforestationgroupsasCSR.

(iii)TheNeedtoCushionVulnerableGroups

Vulnerable households may have different needs from most households, or needs unrelated to theamountoflandavailabletothem.Thesocial-economicsurveyconductedaspartofthisARAPidentifiedsomefemaleheadedhouseholds(10)andelderlypeople70yearsandabove(6)asbeingvulnerableandinneedof cushioning.Aswell, thisARAP recognizes theneed forproviding additional support to thevulnerablegroupstofacilitatefasteradjustmentintermsofrelocatingpropertyandre-establishingagain.They will undergo capacity building in respect to environmental conservation and in this light, treeseedlingswillbeprovidedtoenablesoilconservationintheirfarmsandalongtheroadreserve.Theywillrequire to be attached to the county social services office for counseling and inclusion in the socialdevelopmentprojects

PRESENTATIONOFTHISARAPREPORT

ThisARAPispresentedin10chaptersand4Appendices.AglossaryoftermsisissuedasAnnexOnetothisreport.

•••

3

2 PROJECTDESCRIPTION

2.1 OWNERSHIPTheproject isownedby theRepublicofKenya through the implementingagency,MinistryofTransport and Infrastructure, Housing and Urban Development, Directorate of NairobiMetropolitanDevelopmentundertheNaMSIPinitiativeandisbeingfinancedbytheWorldBank.

2.2 PROJECTDESCRIPTIONTheprojectRoadscomprisesoffoursectionsamountingto70kmasfollows;

Section1:Kangundo(Tala)-KenolRd(21.452km)

Section2:Kenol-KomaRd(9km).

Section3:Katumani–MombasaRd(9km).

Section4:Kenol-MachakosTown-KatumaniLinkRoad(30km)

Fig2.1:TheroadsectionstargetedforreconstructionbetweenMombasaroadandKangundo

road.

Section1(Kangundo(Tala)-Kenaol-C98/C99Roadis21.452kmlongandstartsatthejunctionofTala(Kilimambogo)ofC98andKenolC99road.Thefirst6kmoftheroadistarmacandbalanceofgravelstandard.Therearevariousquarries,stonecrashingandsandharvestingactivitiesalongthisroute.IttraversesvariousriversincludingtheKathaanaRiverwhosebridgeconstructionhasoccasionedlandacquisition.4parcelshavebeenaffectedamountingtoonly0.537acresofland.

4

Theexistingroadreserveof40misadequatefortheroadconstructionworksandtherearenoencroachersonthisroad.

Section2:TheKenol-KomaRd(E474)sectionisa9kmlonggravelroadthatstartsattheKenolJunctionwithC99therebyproceedingtojointhesameroad(C99)atKomaMarket.Theroadisrelativelystraightwithatotallandacquisitionamountingto0.984acresor9parcelsofland.

Section3: Katumani (C99) –Konza (A109)MombasaRd it is 9km long. The road starts at thejunctionwiththeMachakos–WoteroadjustpastKatumaniproceedsinaSWdirectiontojoinMombasaRoad. Ittraversesawildlifedispersionarea. Thissectionisbarelybuilt,theexistingroadreserveisadequate(40m)andhasnolandacquisitionandhencenoPAPs.

Section 4: Kenol-Machakos Town-Katumani Link Road (30km). This road, currently built tobitumen standard starts atKenol. This section is entirely tarmacwhich isdilapidatedat somesections.TheroadfromKenoltoMachakoscutsthroughahillyterraindominatedbytheMuaandSinaihills.LandisbeingacquiredforMwaniabridgeconstructiononkm25.Thereare4parcelsofland (1.844acres) thatwillbeacquired.Additionally,betweenkm3.8 to7areshopsgatesandtoiletswhichhaveencroachedontheroadreservebelongingto11PAPs.

FullinformationisprovidedinChapter5belowonthefindingsoftheARAP.

Table2.1:Areatobeaffectedbytheproject

SNSection ParcelNumbers Acquisition

RegistrationSection ParcelNo AreaacquiredAcres Ha

SectionOne 1 Mitaboni 1462 0.105 0.042 Mitaboni 1415 0.123 0.053 Mitaboni 1413 0.236 0.104 Mitaboni 2672 0.073 0.3 TotalforSectionOne 0.537 0.28 SectionTwo 5 DonyoSabuk/Komarock

Block2

3786 0.083 0.036 3798 0.083 0.037 3799 0.094 0.388 3807 0.052 0.029 3998 0.055 0.0210 4000 0.110 0.0511 4020 0.113 0.0512 4022 0.290 0.1213 4023 0.103 0.04 TotalSectionTwo 0.984 0.40 SectionThree 0 0 SectionFour 14 KivutiKimutwa 1856 0.210 0.0915 KivutiKimutwa 714 0.476 0.1916 KivutiKimutwa 715 0.356 0.1417 KivutiKimaKimwe 613 0.802 0.32 TotalforSectionFour 1.844 0.75

5

TotalforallSections 3.365 1.36

2.3 THESOCIO-ECONOMICBACKGROUND

2.3.1 TheCountyPerspectiveMachakosCountycovers6,208squarekmsandhasapopulationof1,098,584asper2009census(Male–49%,Female–51%);withanagedistributionof0to14yearsat39%,15to64years56%and5%above65years.ThepopulationannualGrowthRateis1.7%withacurrentestimateof264,500households.Thecapital townMachakos is cosmopolitanand is located64kilometerssoutheastofNairobi.Theprevailinglocalclimateissemi-aridandthelandscapeishilly,risingfromanaltitudeof1,000to1,600metersabovesealevel.

2.3.2 AdministrativejurisdictionAccordingtotheMachakosCountyDevelopmentProfile,MachakosCountyisdividedintoeightsub-counties(Machakos,Kangundo,Matungulu,Kathiani,Yatta,Masinga,AthiRiverandMwala)whicharefurthersubdividedinto22divisions,71locationsand233sublocationsallcovering6,208squarekilometresofland.

(i)Locationandadministrativeset-up

Table2.1providesasummaryoftheadministrativejurisdictionstraversedbytheproposed70kmlong road project. The entire road project falls will traverse 4 sub-Counties namely;- Central,Kathiani,KangundoandMatunguluintheprocesscoveringatotalof11administrativelocations.39outthe70kilometresofroadprojectare locatedwithintheCentralsub-Countywhichalsoaccountsfor6outofthe11administrativelocationscovered.

6

Table2.2:Administrativejurisdictionwithinthetraverse

RoadSection Administrativejurisdiction PopulationstatisticsSection Sub-County Location Population Area(Sqkm) DensityKangundo-Kenol

Kangundo Kathaana 5,301 15.1 351Matetani 7,239 11.4 636Isinga 6,686 8.6 775

Matungulu Tala 26,297 34.1 770Kenol-KomaRd

Matungulu KomaRock 14,116 189.9 74 Lukenya 150,137 180.4 84Kathiani Mitamboni 6,691 14.7 454

Katumani –MombasaRd

Central KiimaKimwe 2,177 3.5 619Kimutwa 13,806 333.7 41

Kenol-MachakosTown-Katumani LinkRoad

Masaku 7,753 14.6 176Township 14,698 5 2938Mutituni 12,970 11.6 1121Ngelani 10,776 15.2 707

Mumbuni 4,515 11.5 393Totals 5 148,162 849.3 913.3

(ii)Populationdynamicsalongtherouteoftraverse

Goingbythe2009NationalPopulationCensus,the10locationstraversedbytheroadprojecthadacombinedpopulationof148,162people(Table2.2above/Plate2.1)equivalentto9.1%oftheCountyPopulation. Thispopulation isspreadout inagroundareaof849.3squarekilometresimplyingapopulationdensityof913personspersquarekilometre.Highestpopulationdensitiesin excessof 2000per square kilometreoccurwithinMachakos Townand vicinity followedbyKangundo.

Plate2.1:PopulationdensityishighestwithinMachakosanditssuburbs

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(iii)Landuseandlivelihoods

An analysis of dominant land use along the traverse is provided in Table 2.2 below. Agropastoralism inwhich local breedsof cattle, goats andpoultry are kept supplementedby cropfarming(maize,pigeonpeas,greengramsandsomevegetables)isthemaineconomicmainstay.TowardsthecoolerareasatKangundoandonthehills,somecoffeefarmingtakesplacebuttoaverylimitedscaleonaccountofaridity.

WithinMachakostown,tradeistheeconomicmainstayagaingivingwaytoagropastoralismintheKatumaniarea.BetweenKatumaniandtheMombasaRd,mainlandusehasbeenranchingbutthisiscurrentlybeingreplacedbyagropastoralism.Onaccountofaridity,cropfarmingisarisky business and the district frequently relies on food relief. Some community membersincreasinglyresorttocharcoalmaking,sandharvesting,quarryactivityandexploitationofothernatural resources to earn an income. There is overwhelming evidence of increasing landdegradationduetoexploitationofnaturalresourcesforsale.ThiswasnotedalongtheKangundo–Kenolroad.

Table2.3:Summaryofland-usesystem

Section Relief Climate Mainlanduse

Kangundo(Tala)-Kenol Gentlereliefandlowlying

Marginalsemi-arid

Agro-pastoralism

Kenol-KomaRd

Gentlereliefandlowlying

Marginalsemi-arid Agro-pastoralism

Katumani–MombasaRd Gentlereliefandlowlying

Marginalsemiarid Agro-pastoralism

Kenol-MachakosTown-KatumaniLinkRoad Hilly Semi-humid Cropproductionand

urbanlanduse

Plate2.2:Quarriesandstonecrashingalongtheprojectroad

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(iv):Otherland-useinterests:

Abreakdownofmarket centres servedby theproposed roadproject isprovided inTable2.3below. Along the traverseare founda totalof24marketsexclusiveofMachakosTownallofwhichhostatotalof1254shopsand110stallsimplyingtheimportanceoftradeasameanstolivelihoodforbothtradersandlocalresidentswhoserelianceonfarmoutputisunderminedbyaridityandhencehavetorelyonfoodinputfromoutsidethecounty.Indeed,oneofthemainstrategiesoftheCountyGovernmentcurrentlyistoputanendtofoodreliancebyboostinglocalproduction.

Other than trade facilities, the road project will also serve 33 churches, 2 hospitals and 4dispensaries,26schoolsand2colleges,7gasstationsandonemosqueallofwhichwillbenefitfromefficientdeliveryofservicesonaccountofenhancepassengerandgoodtransport.OthermajorstakeholderswithinthetraverseincludetheKatumanibasedAgricultureresearchstation,theNortureshwaterpipelineandextensivestormrunoffdrainagewithinMachakosTown.

Table2.4:Marketcentresandfacilitiesservedbytheroadsections

Section NameofMarket SubCountyShop

s

Bank

Kiosks/Stalls

Chch

Hosp/Disp

Sch

Cllge

Msq

GasStns

Koma-Kenol KomaRock Matungulu 75 16 1 KwaMamaDan Kathiani 3 KwaMakau Kathiani 3 1

KenolKangundo

Kilalani Kangundo 17 Syanthi Kangundo 120 2 2 2 Sambarau Kangundo 47 8 Kathaana Kangundo 108 1 Muonyweni Kangundo 62 3 Kinyau Kangundo 9 KwaNgondi Kangundo 20 3 2

Kenol-Machakos

Kenol Machakos 124 20 3 1 KwaNgila Machakos 12 10 1 1 KwaVaa Machakos 40 1 Kamuthanga Machakos 17 17 1 1 MuaMarket Machakos 42 3 1 Kivutini Machakos 15 1 MutituniCentre Machakos 250 4 1 4 1 1Tumba Machakos 106 4 KwaMusyoka Machakos 35 1 KwaKathoka Machakos 48 3 5 StValentine Machakos 19 2 4 2MachakosTown Machakos 1 2 3 2 4Katolonimarket Machakos 44 24 2 1 KwaMwau Machakos 38 2 2

Katumani-Msard

Konzamarket Machakos 0 6

Totals 1254 1 110 33 6 26 2 1 7

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(v)PhysicalInfrastructure

Utilities–WaterandSewerage:MachakosanditssurroundingsisservedfromMarumbaDam,NolTureshWaterSystemsandboreholesunderMachakosWaterandSewerageCompany.TheNolturesh mains and the main sewerage system infrastructure runs along the Machakos-Katumanilinkroad.

Powerlines:Thereisheavypresenceofpowerlinesrunningalongtheproposedroads.Thispowerserves the neighborhoods including, hospitals, schools, colleges ,universities various petrolstations, hotels etc within and outside the project area. Design and construction activity willrequire that operators of all these be fully consulted and involved at all stages of projectdevelopment.

HousingandSanitation:ThemainsystemsavailableforsewagemanagementinMachakosCountyincludethefollowing:-

• Centralizedsewersandtreatmentplants

• Septictanksandsoakagepits,and

• Pitlatrines.

Thecentralizedsewersystemservesonlyasmallproportionofthepopulationinthetown.Theuseofseptictanksandsoakagepitsislargelylimitedtotheplannedareasofdevelopment.Themajorityofthepopulationisservedbytheuseofpit latrinesandseptictanks. ThetreatmentplantservingthesettlementsmentionedaboveislocatedatMutheuriver.

(vi)EconomicActivities

Commerceandtrade:Theproposedroaddevelopmentisfrontedbyvariousmarketcentresandquarrieswhichduetopoorroadstheirgrowthandaccessibilityisverylimited.Therewillbeneedto ensure that road construction does not interfere with such activity which provide vitalanchoragetomuchneededeconomicdevelopment.

(vii)StatusofSocio-welfare

PovertylevelsintheCountyareat59.6%againstanationalaverageof47.2%basedonKIHBS(2009);thispositionstheCountyat33outofthe47counties,while52%ofthepopulationlivesintheurbancenters,whichiswayabovethenationalaverageof29.9%.Thereisahighincreaseinlabourforcewhichhasledtoincreaseinunemploymentandthiscouldleadtoescalationofcrimesasa resultofnon-absorptionof thisactivepopulation in servicesofgainfulemployment.Thisscenariocoupledwiththefactthatthe51%oftheMachakosCountycitizenareconsideredaseconomicallyinactiveimpliesthattheCountyisinneedofinvestmentstospurgrowthandreversethesituation.

•••

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3 OVERVIEWOFTHEPOLICYFRAMEWORK

3.1 OverviewofthePolicyFrameworkThechaptersetsoutthe legaloperatingenvironmentforacquisitionof landasanticipated intheTalaKangundoRoadProjectConstructionProjectproposedbyDoNMED.Itismotivatedbytherealizationthat,unmitigatedinvoluntaryresettlementindevelopmenthaspotentialtotriggersevereeconomic,socialandenvironmental risks including;- displaced and dismantled production systems, loss of income sources,weakened community institutions and social networks, dispersed kin groups and diminished or lostcultural identity and traditional authority. The ARAP is developed based on the GoK policy and legalprovisionsasreadtogetherwithSafeguardPoliciesoftheWorldBank.

3.2 AnoverviewofGOKPolicyblueprintsGoKPolicyonNationalDevelopmentiselaboratedindiverseblue-printdocumentsasfollows:-

3.2.1:Policyblueprintsonlandandenvironment

SessionalPaperNo.3of2009onNationalLandPolicy

TheLandPolicyof2009formsthebasisuponwhichthelandchapterintheConstitutionisfounded.Article45 of the Policy highlights the problemswith the previous land law regime in Kenyawith respect tocompulsoryacquisition.Withaviewtocurbtheidentifiedvices,theLandPolicyproposedthefollowingchangesinthegeneraladministrationoflandinKenya:

• The reviewof theprevious land lawson landacquisition tobealignedwith thenew landtenures(Article47)

• Harmonizationoftheinstitutionalframeworkforcompulsoryacquisitiontoavoidoverlapofmandates(Article47)

• Developmentof compulsory land acquisitionprocesses that are efficient, transparent andaccountable

• CompulsorylandacquisitionbedonethroughtheNationalLandCommission

• Resettlementbecarriedoutinatransparentandaccountablemanner(Article175)

• Establishmentofalandbanktoimplementresettlement

• TheGovernmentresettlesallinternallydisplacedpersons(Article208)

• Is has alsomandated theGovernment to developmechanisms to remove squatters frominformalsettlementfortheirresettlement

The National Land Policy is relevant to infrastructure development as it provides for compulsoryacquisition-thepoweroftheStatetoextinguishoracquireanytitleorotherinterestinlandforapublicpurpose,subjecttopromptpaymentofcompensation,andisprovidedfor inthecurrentConstitution.ThispowerisexercisedbytheNationallandCommissiononbehalfoftheState.

3.3 LegalFrameworkincompulsorylandacquisition3.3.1:LegalbasisforlandownershipinKenya

(i)ProvisionoftheNationalConstitution

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a) Article40oftheConstitutionofKenyaprovidesfortheprotectionofrighttoproperty.

(i). Therighttopropertyisextendedtoeverypersoneitherindividuallyorinassociationwithothers,toacquireandownpropertyofanydescription;andinanypartofKenya.

(ii). TheConstitutionalrighttoownpropertyisextendedtobothcitizensandnon-citizens.

b) Therighttoownpropertyishowevernotabsolute.

(i). ItisexpresslystatedtobesubjecttoArticle65whichdealswiththeextentandtenureofownershippermittedtonon-citizens.

(ii). Article40(3)providesthatthestateshallnotdepriveapersonofpropertyofanydescriptionunlessthedeprivation-

a. Resultsfromanacquisitionoflandoraninterestinlandoraconversionofaninterestinland,ortitletoland,inaccordancewithChapterFive;or

b. IsforapublicpurposeorinthepublicinterestandiscarriedoutinaccordancewiththisConstitutionandanyActofParliamentthat-

i. Requirespromptpaymentinfull,ofjustcompensationtotheperson;and

ii. Allowsanypersonwhohasaninterestinorrightover,thatpropertyarightofaccesstoacourtoflaw.

c) Article40(4)oftheConstitutionmakesprovisionforcompensationforoccupantsingoodfaithwhomaynotholdtitletolandthatissubsequentlycompulsorilyacquired-

(i). This Article does not distinguish between public community and private land.Compensationisnotlinkedtoownershipinregisteredinterestsinland.

(ii). Thus squatters and other occupiers in good faith are entitled to some form ofcompensation.

(ii)TheLandActNo.6of2012:

The Land Act was enacted by Parliament to give effect to Article 68 of the Constitution, to revise,consolidateandrationalizelandlaws;toprovideforthesustainableadministrationandmanagementoflandandlandbasedresources,andforconnectedpurposes.TheActappliestoall landdeclaredas(a)publiclandunderArticle62oftheConstitution;(b)privatelandunderArticle64oftheConstitution;and(c)communitylandunderArticle63oftheConstitutionandanyotherwrittenlawrelatingtocommunityland.

TheLandActguaranteessecurityoftenureforlandunder(a)freehold;(b)leasehold;(c)suchformsofpartialinterestasmaybedefinedundertheActandotherlaw,includingbutnotlimitedtoeasements;and(d)customarylandrights,whereconsistentwiththeConstitutionandguaranteesequalrecognitionandenforcementoflandrightsarisingunderalltenuresystemsandnon-discriminationinownershipof,andaccesstolandunderalltenuresystems.

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UndertheLandsAct2012,TheWayleavesAct,Cap292andTheLandAcquisitionAct,Cap.295havebeenrevokedbutSections8and9allowforCompulsoryAcquisitionasanoptioninacquiringlandforpublicutility.

(iii)TheLandRegistrationAct,No.3of2012:

TheLandRegistrationAct(LRA)2012wasassentedtoon27thApril,2012andcommencedon2ndMay,2012withtheobjectiveandpurposeofrevising,consolidatingandrationalizingtheregistrationoftitlestolandtogiveeffecttotheprinciplesandobjectsofdevolvedgovernment.Sections18to21oftheLRA2012dealwithestablishmentandmaintenanceofboundariestoland.Undersection21(1)isrelevanttodevelopmentofpowerdistributionlinesinthat,itcriminalizesinterferencewithboundariesthus;-Anypersonwhodefaces,removes, injuresorotherwiseimpairsaboundaryfeatureoranypartofitunlessauthorizedtodosobytheRegistrarcommitsanoffenceandisliableonconvictiontoimprisonmentforatermnotexceedingtwoyearsortoafinenotexceedingtwohundredthousandshillingsortoboth.

UndertheLRA2012,statutespreviouslyrelatedtolandpropertynamely;-TheIndianTransferofPropertyAct1882,TheGovernmentLandsAct,(Cap280),TheRegistrationofTitlesAct,(Cap281),TheLandTitlesAct,(Chapter282)andTheRegisteredLandAct,(Cap.300)nowstandrepealed.

(iv)TheEnvironmentandLandCourtActNo.19of2011:

Thislawwasassentedtoon27thAugust,2012andcommencedon30thAugust,2012togiveeffecttoArticle162(2)(b)oftheConstitution;toestablishasuperiorcourttohearanddeterminedisputesrelatingto the environment and the use and occupation of, and title to, land, and tomake provision for itsjurisdictionfunctionsandpowers,andforconnectedpurposes.Section13(1)oftheActgivestheCourtoriginalandappellatejurisdictiontohearanddeterminealldisputesinaccordancewithArticle162(2)(b)oftheConstitutionandwiththeprovisionsofthisActoranyotherwrittenlawrelatingtoenvironmentandland.InexerciseofitsjurisdictionunderArticle162(2)(b)oftheConstitution,theCourtshallhavepowertohearanddeterminedisputesrelatingtoenvironmentandland,includingdisputes:-

a) relatingtoenvironmentalplanningandprotection,trade,climateissues,landuseplanning,title,tenure,boundaries,rates,rents,valuations,mining,mineralsandothernaturalresources;

b) relatingtocompulsoryacquisitionofland;

c) relatingtolandadministrationandmanagement;

d) relating to public, private and community land and contracts, choses in action or otherinstrumentsgrantinganyenforceableinterestsinland;and

e) anyotherdisputerelatingtoenvironmentandland.

ThisstatuteisdeemedrelevanttoalldevelopmentproposedforimplementationinKenyaasitprovidesforlegalrecoursefordisputesrelatingtoenvironmentandland.ThisisalawthatanydeveloperincludingtheDoNMEDshouldfamiliarizewith.

3.3.2:StatutorymechanismforcompulsorylandacquisitioninKenya

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LandacquisitionforpublicinterestislegallyallowedforinKenyaasfollows:-

(i)TheNationalLandPolicy

The National Land Policy recognises the need for compulsory land acquisition where the overridingmotivationistheserviceofpublicinterests.

(ii)ProvisionoftheNationalConstitution

InKenya,expropriationisprovidedforintheConstitutionunderSection40whoseclauses3-6interalia,stateasfollows;-

(3)TheStateshallnotdepriveapersonofpropertyofanydescription,orofanyinterestin,orrightover,propertyofanydescription,unlessthedeprivation—

a. resultsfromanacquisitionoflandoraninterestinlandoraconversionofaninterestinland,ortitletoland,inaccordancewithChapterFive;or

b. is for a public purpose or in the public interest and is carried out in accordance with thisConstitution and any Act of Parliament that— (i) requires prompt payment in full, of justcompensationtotheperson;and(ii)allowsanypersonwhohasaninterestin,orrightover,thatpropertyarightofaccesstoacourtoflaw.

(4)Provisionmaybemadeforcompensationtobepaidtooccupantsingoodfaithoflandacquiredunderclause(3)whomaynotholdtitletotheland.

(5)TheStateshallsupport,promoteandprotecttheintellectualpropertyrightsofthepeopleofKenya.

(6)TherightsunderthisArticledonotextendtoanypropertythathasbeenfoundtohavebeenunlawfullyacquired.

(iii)ProvisionsoftheLandActof2012

OnCompulsoryAcquisition,theLandAct2012:-

- Identifiescompulsoryacquisitionasameansofacquiringtitletoproperty(Section7)

- TaskstheNationalLandCommissiontomaintainaregisterdetailingparticularsofpersonswhoselandhasbeencompulsorilyacquired

- Prescribestheprocedureforcompulsoryacquisitionofproperty(PartVIII)

AccordingtoSection7oftheLandsAct2012,Titletolandmaybeacquiredthrough—(a)allocation;(b)land adjudication process; (c) compulsory acquisition; (d) prescription; (e) settlement programs; (f)transmissions;(g)transfers;(h)longtermleasesexceedingtwentyoneyearscreatedoutofprivateland;or any other manner prescribed in an Act of Parliament. Section 9(2)(c) of the Lands Act 2012 alsorecogniseslandacquisitionasanavenuetoconversionofprivatelandtopublicland.

OnConversionofLand-

• Section9oftheActprovidesfortheconversionoflandfrompublictoprivateandviceversa.

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• It also provides for conversion of community land to public or private subject to the law oncommunityland.

• Section127providesformethodologyofdisputeresolutioninrespectofcompulsoryacquisition.

• Section107providesfortheestablishmentoftheoverseeingauthorityincompulsoryacquisition.

• Section111giveseffect totheconstitutionalsafeguardsondeprivationofprivatepropertybycompulsoryacquisition.

• Section153establishestheLandCompensationFund.

TheLandsAct2012 is theprincipalact tobeapplied inguiding landacquisitionfor theproposedTalaKangundoRoadsdevelopmentProject.

(iv)TheNationalLandCommissionAct,2012

TheNational LandCommission (“NLC”) is establishedunderArticle 67(1) of theConstitutionwith thefollowingfunctions:

• tomanagepubliclandonbehalfoftheNationalandCountyGovernments;

• torecommendanationallandpolicytotheNationalGovernment;

• toadvisetheNationalGovernmentonacomprehensiveprogrammefortheregistrationoftitleinlandthroughoutKenya;

• toconductresearchrelatedtolandandtheuseofnaturalresources,andmakerecommendationstoappropriateauthorities;

• toinitiateinvestigations,onitsowninitiativeoronacomplaint, intopresentorhistorical landinjustices,andrecommendappropriateredress;

• toencouragetheapplicationoftraditionaldisputeresolutionmechanismsinlandconflicts;

• toassesstaxonlandandpremiumsonimmovablepropertyinanyareadesignatedbylaw;and

• tomonitorandhaveoversightresponsibilitiesoverlanduseplanningthroughoutthecountry.

• anyotherfunctionsprescribedbynationallegislation.

ApartfromthefunctionslistedunderArticle67(2)oftheConstitution,Section5(2)oftheLandActassignsothertaskstotheNLCasfollows:

(i). onbehalfof,andwiththeconsentoftheNationalandCountyGovernments,alienatepublicland;

(ii). monitortheregistrationofallrightsandinterestsinland;

(iii). developandmaintainaneffectivelandinformationmanagementsystematnationalandcountylevels;and

(iv). manageandadministerallunregisteredtrustlandandunregisteredcommunitylandonbehalfoftheCountyGovernment.

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(i). Pursuant to Section 36 of the National Land Commission Act, the NLC is obliged to makeregulationstoregulateitsfunctions.

ThisARAPrecognisestheNLCastheAcquiringAuthorityinalllandtargetedinthedevelopmentoftheprojectathand.

(v)TheEnvironmentandLandCourtAct(E&LC)2012

• Article162(2)oftheConstitutionprovidedthatParliamentshallestablishcourtswiththestatusoftheHighCourttohearanddeterminedisputesrelatingtoEmploymentandlabourrelations;andTheenvironmentandtheuseandoccupationof,andtitleto,land.

• Section4oftheActestablishestheEnvironmentandLandCourtwhilesection13:-

- ProvidesforthejurisdictionoftheCourtandstatesthatitincludeshearinganddeterminingdisputesrelatingtocompulsoryacquisitionofland.

- DefinesthepowersoftheCourtandordersthatcanflowtherefromwithrespecttodisputesinvolvingland.

- ProvidesfortheadministrativestructureoftheCourtandthemannerofoperationoftheCourtasfollows:

(a) TheCourtshallhaveoriginalandappellatejurisdictiontohearanddeterminealldisputesinaccordancewithArticle162(2)(b)oftheConstitutionandwiththeprovisionsofthisActoranyotherlawapplicableinKenyarelatingtoenvironmentandland.

(b) InexerciseofitsjurisdictionunderArticle162(2)(b)oftheConstitution,theCourtshallhavepowertohearanddeterminedisputes:

• relating toenvironmentalplanningandprotection, climate issues, landuseplanning, title,tenure,boundaries,rates,rents,valuations,mining,mineralsandothernaturalresources;

• relatingtocompulsoryacquisitionofland;

• relatingtolandadministrationandmanagement;

• relating to public, private and community land and contracts, chooses in action or otherinstrumentsgrantinganyenforceableinterestsinland;and

• anyotherdisputerelatingtoenvironmentandland.

TheGrievanceMechanismproposedinChapterEightofthisReportprovidesforaccesstotheE&LCasafallbackpositionfordisaffectedPAPs.

(vi)TheEvictionsandResettlementBill,2014

KenyahasnoreigningevictionlawastheEvictionsandResettlementBill2014isyettobeenacted.TheBillhoweverhasusefulguidelinesonforcedevictions.

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- Section5hassomeguidingprinciplesonforcedevictions

- Section6(2)delineatesthecircumstanceswhenevictionanddemolitionsareallowed

- Section7providesthatprivatelandownersmaynotevictanypersonwithoutaCourtorder

- Section8and9containcertainsafeguardswithrespecttoevictions

- Section11providesforthemannertodealwithpropertyleftbehindbypersonsevicted

- Part III mandates the Cabinet Secretary to cause to be undertaken resettlement planning tofacilitate the resettlement of persons evicted from public land or persons who have beendisplacedasaresultofinternalstrifeoractsofwar.

- TheCabinetSecretarymayalsoprepareRegulationstogovernreturntoresidencewherepersonshavebeenresettledduetoanactofwaroranactofGodandreturnispossible.

- It requires that an Environmental and Social Impact Assessment be conductedwhenever thegovernmentintendstoresettleaffectedpersons.

- Section19oftheBillprovidesthattheCabinetSecretarymay,bynoticeinthegazette,declareanyareaasaresettlementareaforthepurposeofresettlementoftheaffectedpersons.

- TheCabinetSecretarymayconstitutearesettlementcommitteetoimplementtheresettlementplan

-

(vii)TheLandAcquisitionAct(Cap295ofLawsofKenya)

The Land Acquisition Act was repealed by the Land Act 2012. However, the Schedule to the LandAcquisitionActcontinuestoremaininforceuntilthepromulgationofrulesandregulationsoutliningtheprinciplesfortheassessmentofjustandfullcompensationbytheNationalLandCommission.

TheAct lists theprinciplesuponwhichcompensation for compulsoryacquisitionof land ismade, keyamongwhich ispeggingcompensationtothemarketvalueof land.TheActdefinestheterm“marketvalue”ofthelandtobeacquiredas“themarketvalueofthelandatthedateofpublicationintheGazetteofthenoticeofintentiontoacquiretheland.”Theeffectofanyexpressorimpliedconditionoftitleorlawwhichrestrictstheusetowhichthelandconcernedmaybeputistakenintoaccountindeterminingthemarketvalueofthelandintendedtobeacquired.Anincreaseinthevalueofthelandonthefollowinggroundsistobedisregardedincomputationofthecompensationpayable:-

• Animprovementmadebytheownerofthelandtwoyearsbeforepublicationofthenoticeofintentiontoacquiretheland,unlessthesameisbonafideandiftheimprovementwasmadenotincontemplationofproceedingsfortheacquisitionoftheland.

• Due to use of land in a manner restrained by a court or contrary to the law or a mannerdetrimentaltothehealthoftheoccupiersofthepremisesorpublichealth.

Additionally,thefollowingmattersshallbetakenintoaccountindeterminingthecompensationpayableasaresultofcompulsoryacquisitionofland:

• Themarketvalueoftheland

• Severance damage-damage occasioned to the owner of the land as a result of severing theacquiredlandfromtherestofhisland

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• Theprincipleofinjuriousaffection-damageoccasionedtotheownerofthelandbyreasonoftheacquisitioninjuriouslyaffectingtheowner’sotherproperty,whethermoveableorimmovable

• Theprincipleofdisturbance-wheretheacquisitionwillcompeltheownertochangehisresidence,orplaceofbusiness,reasonableexpensesincidentaltothechange.

• DamagegenuinelyresultingfromthediminutionofprofitsofthelandfromthedateofpublicationofthenoticeofintentiontoacquirelandandthedateofactualpossessionbytheCommission.

• Indeterminingthecompensationpayable,thefollowingmattersarenotconsidered:

- Theurgencynecessitatingtheacquisition

- Reluctanceoftheownerofthelandtopartwiththeland

- Damagesustainedbythepersoninterestedwhich,ifcausedbyaprivateperson,wouldnotbeagoodcauseofaction

- Damage likely tobe caused to the land after publicationof thenoticeof intention toacquirethelandorinconsequenceoftheusetowhichthelandwillbeput

- Increaseintheactualvalueofthelandlikelytoaccruefromtheusetowhichthelandwillbeputwhenacquired

- Any outlay on additions or improvements to the land, incurred after the date ofpublication in the Gazette of the notice of intention to acquire the land, unless theadditions or improvements were necessary for the maintenance of any building in aproperstateofrepair

• Theamountofcompensationdeterminedshallbeincreasedby15%ofthemarketvalueofthelandfordisturbance

• Theownerofthelandshallnotbeawardedanamountofcompensationexceedingthatclaimedduringtheinquiryforcompensation

• Whereapersoninterestedinthelandhasfailed,orneglectedwithoutsufficientcausetomakeaclaimforcompensation, thatpersonshallnotatany timebeawardedanamountbeyondtheamountawardedbytheCommission.

• Inaddition,Courtshavetendedtotakeintoaccountthenearnessofthelandinquestiontothemaintownanditsnearnesstotheroadaccessinassessingthecompensationpayable.

InpreparingthisARAP,theScheduletoCap295hasbeenappliedincomputingcompensationforAssetstobedisplacedbytheproposedroads.

3.4 ThelandAcquisitionprocess

TheNLCguidelinesincompulsorylandacquisitionprescribeanactionplanasfollows:-

(i)ProofthatcompulsorypossessionisforpublicgoodItisveryexplicitintheLandAct,2012,Section107,thatwheneverthenationalorcountygovernmentissatisfiedthatitmaybenecessarytoacquiresomeparticularlandundersection110ofLandAct2012,thepossessionofthelandmustbenecessaryforpublicpurposeorpublicinterest,suchas,intheinterestsofpublic defence, public safety, public order, publicmorality, public health, urban and planning, or the

18

developmentorutilizationofanypropertyinsuchmannerastopromotethepublicbenefit.Infrastructureprojectsincludingpublichighwaysareexplicitlyidentifiedasmeritinglandacquisitionaspublicutilityandthenecessitythereforeissuchastoaffordreasonablejustificationforthecausingofanyhardshipthatmayresulttoanypersonhavingrightovertheproperty,andsocertifiesinwriting,possessionofsuchlandmaybetaken.

(ii)RespectiveGovernmentagencyorcabinetmustseekapprovalofNLCTherespectiveCabinetSecretaryorGovernmentagencyortheCountyExecutiveCommitteeMembermustsubmitarequestforacquisitionofprivate landtotheNLCtoacquirethe landon itsbehalf.TheCommissionwillprescribeacriteriaandguidelinestobeadheredtobytheacquiringauthoritiesintheacquisition of land. It is important to note that if the NLC is constituted prior to conclusion of landacquisition,itcouldprescribecriteriaandguidelinesnecessitatingvariationsorrevisionstothecurrentARAP.Similar,theCommissionhaspowerstorejectarequestofanacquiringauthority,toundertakeanacquisitionifitestablishesthattherequestdoesnotmeettherequirementsprescribed.

(iii)InspectionoflandtobeacquiredNLCmayphysicallyascertainorsatisfyitselfwhethertheintendedlandissuitableforthepublicpurpose,whichtheapplyingauthorityintendstouseasspecified.Ifitcertifiesthatindeedthelandisrequiredforpublicpurpose,itshallexpressthesatisfactioninwritingandservenecessarynoticestolandownersandorapprovetherequestmadebyacquiringauthorityintendingtoacquireland.

(iv)PublicationofnoticeofintentiontoacquireUponapproval,NLCshallpublishanoticeofintentiontoacquirethelandintheKenyaGazetteandCountyGazette.28ItwillthenserveacopyofthenoticetoeverypersoninterestedinthelandanddepositthesamecopytotheRegistrar.Thecourtshavestrictlyinterpretedthisprovision,requiringthatthenoticeincludethedescriptionoftheland,indicatethepublicpurposeforwhichthelandisbeingacquiredandstate thenameof theacquiringpublicbody.NLC shall ensure that theprovisions are included inhernotice.TheLandRegistrarshallthenmakeentryinthemasterregisterontheintentiontoacquireastheofficeresponsibleforsurvey,atbothnationalandcountylevel,georeferencesthelandintendedforacquisition.

(v)ServethenoticeofinquiryThirtydaysafter thepublicationof theNoticeof IntentiontoAcquire,NLCwill scheduleahearing forpublicinquiry.NLCmustpublishnoticeofthismeetingintheKenyaGazetteandCountygazette15daysbeforetheinquirymeetingandservethenoticeoneverypersoninterestedinthelandtobeacquired.Suchnoticemust instructownerof landtodelivertotheNLC,no laterthanthedateofthe inquiry,awrittenclaimforcompensation.

(vi)HoldingofapublichearingNLCthenconvenesapublichearingnotearlierthan30daysafterpublicationoftheNoticeofIntentiontoAcquire.On the date of the hearing,NLCmust conduct a full inquiry to determine the number ofindividualswho have legitimate claims on the land, the land value and the amount of compensationpayabletoeachlegitimateclaimant.Besides,atthehearing,theCommissionshall—makefullinquiryintoanddeterminewhoarethepersonsinterestedintheland;andreceivewrittenclaimsofcompensationfromthoseinterestedintheland.Forthepurposesofaninquiry,theCommissionshallhaveallthepowersof the Court to summon and examine witnesses, including the persons interested in the land, toadministeroathsandaffirmationsandtocompeltheproductionanddeliverytotheCommission(NLC)of

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documentsoftitletotheland.Thepublicbodyforwhosepurposesthelandisbeingacquired,andeverypersoninterestedinthe land, isentitledtobeheard,toproduceevidenceandtocallandtoquestionwitnessesatan inquiry. Itwillalsoprovideopportunity to landowners tohear the justificationof thepublicauthorityinlayingclaimstoacquiretheland.

(vii)ValuationofthelandPartIIIoftheLandAct2012,section113(2a)statesthat“theCommissionshalldeterminethevalueoflandwithconclusiveevidenceof(i)thesizeof landtobeacquired;(ii)thevalue, intheopinionoftheCommission,oftheland;(iii)theamountofcompensationpayable,whethertheownersoflandhaveorhavenotappearedattheinquiry.”ThiscanbeinterpretedthatNLCmustdeterminethevalueofthelandaccordinglyandpayappropriatejustcompensationinaccordancewiththeprinciplesandformulaethatitwilldevelop.Nonetheless,justcompensationcouldalsobeinterpretedasmarketrate.ThefinalawardonthevalueofthelandshallbedeterminedbyNLCandshallnotbeinvalidatedbyreasonofdiscrepancy,whichmaybefoundtoexistinthearea.

3.5 WorldBank’sSafeguardPoliciesBy virtue of source of funding, the proposed development of road sections by theMinistry of Land,Housing and Urban Development, and Nairobi Metropolitan Development under the NaMSIP is alsosubjecttoWorldBankrequirementsforimpactassessment.Assuch,thisARAPstudyhasbeenformulatedtoaddressandcaterforbothKenyanandWorldBankrequirementsforimpactassessment.WorldBankprojects and activities are governed byOperational Policies,which are clearly spelt out in the Bank'sOperationalManual("BankProcedures"and"GoodPractices").TheWorldBank’ssafeguardpoliciesaredesigned to ensure that projects proposed for Bank financing are environmentally and sociallysustainable,andthusimprovedecision-making.

With regard to Involuntary Resettlement, the Bank Policy is expounded in OP 4.12 InvoluntaryResettlement.

3.5.1 InvoluntaryResettlement(OP4.12)OP 4.12 requires that anARAPbeprepared for all projects that anticipateminor land acquisition(10percent or less of all holdings is taken) and fewer than 200 people and no physical relocation isinvolved.Thepolicy aims to avoid involuntary resettlement to theextent feasible, or tominimize andmitigateitsadversesocialandeconomicimpacts.Giventhattheproposedroadsprojectwillrequirelandacquisition,thisARAPhasdeterminedthatrequirementsofOP4.12willbetriggeredbytheproject.

3.5.2 InstitutionalContextResponsibility for ensuring that all aspects of resettlement and compensation planning andimplementation are taken into consideration falls to project proponents or project implementationbodies.Themaininstitutionsinvolvedinlandmanagement,compensationandresettlementarebrieflydescribedbelow:

• TheMinistryofTransportandInfrastructureHousing&UrbanDevelopmentincollaborationwithDoNMeD:

• .CountyGovernmentsofMachakos

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3.5.3 ComparisonofKenyaLandLaws&WorldBank/GapAnalysisTable 3 outlinesWorld Bank OP. 4.12 policy on involuntary resettlement and compares them to theKenyanlegislationonthesame.RecommendationsaremadeontheexistinggapsoftheKenyanlaws.Ingeneral,wherethereisadifferencebetweenKenyanlawandOP4.12,thelattershallprevail.

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ComparativeAnalysisofWorldBankOp4.12&KenyanResettlementLawsTable3ComparativeAnalysisofWorldBankOP4.12andGovernmentofKenyarequirementsincludingmeasurestoaddressgapsOP4.12 KenyanLegislation Comparison RecommendationtoAddress

GapGENERALREQUIREMENTSWorldBankOP4.12hasoverallpolicyobjectives,requiringthat:1.Involuntaryresettlementshouldbeavoidedwhereverpossible,orminimized,exploringallalternatives.2.Resettlementprogramsshouldbesustainable,includemeaningfulconsultationwithaffectedparties,andprovidebenefitstotheaffectedparties.3.Displacedpersonsshouldbeassistedinimprovinglivelihoodsetc.,oratleastrestoringthemtopreviouslevels.

1.AccordingtoKenyanLegislation,involuntaryresettlementmayoccurasaresultofprojectsimplementedinpublicinterest.2.TheLandAct,2012Actoutlinesproceduresforsensitizingtheaffectedpopulationtotheprojectandforconsultationonimplicationsandgrievanceprocedures.3.TheLandAct2012guaranteestherighttofairandjustcompensationincaseofrelocation.

1.TheLandActdoesnotstipulatethatresettlementshouldbeavoidedwhereverpossible;onthecontrary,aslongasaprojectisforpublicinterest,involuntaryresettlementisconsideredtobeinevitable.2.SameastheWorldBank3.JustandfaircompensationasoutlinedintheLandAct2012isnotclearandcanonlybedeterminedbyNLC,whichcanbesubjective.Itisdoesnottalkaboutimprovinglivelihoodorrestoringthemtopre-projectstatus.

1.ForARAP,ensurethatresettlementissuesareconsideredatthedesignstageoftheprojectinordertoavoid/minimizeresettlement.ImplementWorldBankOP4.12policy-displacedshouldbeassistedinimprovingtheirlivelihoodtopre-projectstatus.

Consultation:Displacedpersonsshouldbemeaningfullyconsultedandshouldhaveopportunitiestoparticipatein

TheLandActoutlinesproceduresforconsultationwithaffectedpopulationbytheNLCandgrievancemanagementprocedures.

SameasWorldBank ImplementconsultationproceduresasoutlinedinbothKenyanlegislationandWorldBank.

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planningandimplementingresettlementprograms

EligibilityCriteriaDefinedas:(a)thosewhohaveformallegalrightstoland(includingcustomaryandtraditionalrightsrecognizedunderthelawsofthecountry);(b)thosewhodonothaveformallegalrightstolandatthetimethecensusbeginsbuthaveaclaimtosuchlandorassets—providedthatsuchclaimsarerecognizedunderthelawsofthecountryorbecomerecognizedthroughaprocessidentifiedintheresettlementplan(seeAnnex10A,para.7(f));and19(c)thosewhohavenorecognizablelegalrightorclaimtothelandtheyareoccupyingTodetermineeligibility:Carryoutresettlementcensus.Cut-offdateforeligibilityisthedaywhenthecensusbegins.MonitorAdequatemonitoringandevaluationofactivitiestobeundertaken.

TheLandAct2012providesthatwrittenandunwrittenofficialorcustomarylandrightsarerecognizedasvalidlandright.TheLawprovidesthatpeopleeligibleforcompensationarethoseholdinglandtenurerightsLandActalsorecognizesthosewhohaveinterestorsomeclaiminthelandsuchpastoralistorwhousethelandfortheirlivelihood.Theconstitutionrecognizes‘occupantsoflandeveniftheydonothavetitles’andpaymentmadeingoodfaithtothoseoccupantsofland.However,thisdoesnotincludethosewhoillegallyacquiredlandLandAct2012providesforcensusthroughNLCinspectionandvaluationprocessAccordingtoLandActM&EcanbeundertakenbytheCountyLandBoards

Kenya’sLandLawdefineseligibilityasbothformal(legal)andinformal(customary)ownersofexpropriatedland.However,itdoesnotspecificallyrecognizeallusersofthelandtobecompensated.TheconstitutionofKenyaontheotherhandrecognizes‘occupantsofland’whodonothavetitleandwhothestatehasanobligationtopayingoodfaithwhencompulsoryacquisitionismade.SameasWorldBankBothKenyanLawandWorldBankpolicyadvocatesforMonitoringandEvaluation

EnsureALLusers(includingillegalsquatters,laborers,rightsofaccess)ofaffectedlandsareincludedinthecensussurveyorarepaidImplementcut-offproceduresasoutlinedintheKenyanLawImplementasprescribedintheWorldBankOP4.12andKenyanLaw.

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Table3.2.ComparativeAnalysisofWorldBankOP4.12andKenya'srequirementsRelevanttotheProcessCategoryofPAPsandTypeofLostAssets KenyanLaw WorldBankOP4.12LandOwners Fairandjustcompensationwhichcouldbein

formofcashcompensationorLandforLandRecommendsland-for-landcompensation.Othercompensationisatreplacementcost

LandTenants Constitutionsaysthat‘occupantsofland’entitledtosomelevelofpayingoodfaith.LandActstipulatesthattheyareentitledtosomecompensationbasedontheamountofrightstheyholduponlandunderrelevantlaws.However,thosewhoacquiredlandillegallynotentitledtoany.

PAPsareentitledtosomeformofcompensationwhateverthelegal/illegalrecognitionoftheiroccupancy.

LandUsers LandActnotclearonLandUsersalthoughinsomecasestheycanreceivesomeformofcompensationdependingonthedeterminationbyNLC

Entitledtocompensationforcropsandinvestmentsmadeontheland;livelihoodmustberestoredtoatleastpre-projectlevels.

OwnersofTemporaryBuildings/Structuresontheroadreserve(illegaltraders)

TheConstitutionofKenyarespectstherighttoprivatepropertyandincaseofcompulsoryacquisition,justcompensationmustbegrantedtotheownerforthelossofthetemporarybuildings.

Entitledtoin-kindcompensationorcashcompensationatfullreplacementcostincludinglaborandrelocationexpenses,priortodisplacement.

OwnersofPermanentbuildings TheconstitutionofKenyarespectstherighttoprivatepropertyandincaseofcompulsoryacquisition,justcompensationmustbegrantedtotheownerforthepermanentbuilding

Entitledtoin-kindcompensationorcashcompensationatfullreplacementcostincludinglaborandrelocationexpenses,priortodisplacement.

PerennialCrops Compensationforthelossofcrops FullreplacementcostforthelossofcropsvaluedatmarketpriceRelocationassistanceandlivelihoodrestorationprogram.

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4 THEARAPMETHODOLOGY

4.1 SCOPEOFTHEARAPSTUDYOP4.12AnnexhasbeenadoptedastheTORtodefinethescopeoftheARAPStudyasfollows:-

Task1:Carryoutadetailedsurveyontheactualnumberofpeopletobeaffectedbytheproposedroad

× AconcisedescriptionofprojectareaincludinglocationoftheprojectareaandthenumberofpeopletobeaffectedbytheprojectineachlocationorSubcounty

× Undertakeasocio-economicbaselinesurveyofthepeopleaffectedbytheproject

× Description of categories of people to be affected; partially orwholly taking into accountgender,vulnerabilityandotherdiversityconcerns.

Task2:Carryoutadetailedevaluationoftheamountoflandtoaffectedbytheproject

× Descriptionofthetotallandthatwillbeaffectedbythewayleaveaccess

× Baselinedescriptionoflandtenure,landusepatternsandtransfersystems

× Evaluationof farmland;commercialandsubsistencefarmlandthatwillbeaffectedbytheproposedroadupgradingandgivearoughestimateoflandvalues

Task3:Carryoutadetailedsurveyonthestructurestobeaffectedbytheproposedroad

Totalnumberofstructurestobeaffectedbytheproposedroad

× DescriptionofthestructurestobeaffectedbytheROWaccess

× Baseline description of structures affected including permanent and semi-permanentstructures

× TotalnumberofStructurestobeaffected

× Estimated valuationof structures tobeaffectedaccompaniedbypicturesof theaffectedstructuresandmeasurements

Task4:Detaileddescriptionof:

× Typeofcompensation

× Howcompensationvalueswillbecalculated

× Preferredmethodofvaluationandwhy

× Compensationframeworkincludingcountrylawsandregulations

Task5:Preparean inventoryof lossesandadetailedEntitlementMatrix thatwillbeused forcompensation.

Task6:Preparelivelihoodrestorationstrategiesandmeasuresnecessarytoassistpeopleaffectedbytheprojectimproveorrestoretheirlivingstandards.

Task 7: Prepare a detailed organizational arrangement for delivery of entitlements, includinglivelihoodrestorationmeasures,preparationandreviewofcostestimates,theflowoffundsandcontingencyarrangements.

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Task 8: Prepare a detailed description of the implementation process, linking resettlementimplementation to civil works Initiate stakeholder involvement and come up with specificstakeholder committees either locational or sub-locational in areas affected that will ensuresmoothimplementationoftheARAP.

Task9:Prepareadetailedgrievanceredressmechanismincludingconciseproceduresfordisputeresolutiontakingintoaccounttraditionaldisputesettlementmeasuresandjudicialrecourse.

Task10:Prepareadetaileddescriptionofmechanismsforconsultingwith,andparticipationof,displacedpersonsinplanning,implementationandmonitoring.

Task 11: Prepare a detailed description of arrangements formonitoring by the implementingagencyandifrequired,byindependentmonitors.

Task12:PrepareadetailedestimatedbudgetcostforthewholeAbbreviatedResettlementActionPlaninclusiveofcostsofstructures,land,contingenciesandmonitoringoftheproject.

Briefly,themethodologysetouttocapturedetailsofallindividualslikelytobeaffectedbytheroad construction, their social economic background to allow computation of realisticcompensation packages in line with GoK and World Bank safeguard requirement in landacquisition.Themethodologythusentailedactivitiesasoutlinedinsectionsbelow.

4.2 ARAPMethodologyTheARAPStudyfollowedsixcorestepsallofwhichcalledforapplicationofspecificapproaches.Theyinclude:-

(i) Discussionswithclientrepresentatives

TowardsplanningthisARAPStudy,consultativemeetingswereheldatNaMSIPofficesbringingtogethertheClient,themainconsultantandtheESIA/ARAPConsultant.Essentially,suchforumsserved as steering committees where diverse aspects of the study were reviewed to buildconsensus.

(ii) FamiliarizationwiththeRouteofTraverse

Fieldworkstartedwithareconnaissancetriptoidentifyandfamiliarizewiththeentirealignment.

(iii) Fielddatacollection

Afarmtofarmreconnaissancesurveywasundertakenduringwhichafull inventoryofprojectaffectedpersonsandtheiraffectedpropertywasundertaken.Theinventoryofpotentialimpactswasbasedonanidentificationofassetsandlivelihoodactivitiesbasedintheroadreserve.

(iv) DataentryandcomputationoftheAssetsRegister(seebelow).

(v) PreparationofthisARAPreport

ThisdraftversionoftheARAPhasbeenpreparedforreviewbytheclientfollowingwhichthefinalversion(thisReport)hasbeenpreparedandreleased.

4.3 STAKEHOLDERCONSULTATIONS

4.3.1 TheNeedforStakeholderConsultationsOP4.12oftheWorldBankalsorequiresforprojectswhereresettlementisanticipated,botha

26

Resettlement Plan and Resettlement Policy Framework be developed taking care to inbuiltmeasures to ensure that displaced persons are;- informed about their options and rightspertainingtoresettlement;consultedon,offeredchoicesamong,andprovidedwithtechnicallyand economically feasible resettlement alternatives; and provided prompt and effectivecompensationatfullreplacementcostforlossesofassetsattributabledirectlytotheproject.Theaim is to ensure that all stakeholder interests are identified and incorporated in projectdevelopment,implementationandoperation.Ofnecessity,stakeholderconsultationsshouldtakeplace alongside project design and implementation to ensure that the project puts in placemeasures to cater for stakeholder concerns in all project phases. In case of the proposeddevelopment of the road, public consultations followed several steps as outlined in sectionsbelow.

StakeholdersConsultation

Consultationwiththestakeholdersisanongoingprocesswhichwillproceeduptotheendoftheproject.Objectives

• To disclose the roads upgrading project with the aim of provision of correct and accurateinformationabouttheproject.

• ToengagethelocalcommunityespeciallytheInterestedandAffectedPartiesabouttheproject

benefits,problemstheyanticipatewiththeprojectandhowthesecanbeovercomeandmitigatedagainst;

• To consult and gather recommendations from the local administration e.g. DC, DOs, Chiefs,

AssistantChiefs,MCAs,VillageEldersandcommunitiesthathaveastakeintheproject;

• Toprovideanopportunitytoallthecommunitiesintheareaswheretheprojectroadtraversesinorder to raise issues and concerns pertaining to the project, and allow the identification ofalternativesandrecommendations.

UnderthisARAP2categoriesofstakeholdershavebeenconsultedthrough;

i. Seminar and key informant interviews for the secondary stakeholders: The secondarystakeholders continue to be identified and consulted with the objective of establishing theexistingsocioeconomicneedsandtheimmediatesurrounding.Thisisundertakenthroughvisitsto theiroffices.Additionally, a seminarwasorganized forall theMachakosCounty leadershipwheretheroadsupgradingprojectwasdisclosedandissuesofconcernraised.

ii. ConsultativeMeetingwiththePAPs:AconsultativemeetingwithalldifferentcategoriesofPAPswasundertakenwiththeaimoffurtherdisclosingtheprojectandexplainingtothePAPsonhowthey will be affected as well as administration of a socio economic questionnaire. The fieldinventoryingwasundertakenincollaborationwiththerespectivePAPsinJanuary2017whenthecut-offdatewasdeclared.(Appendix5.1showstheMinutesoftheconsultativemeetingwiththePAPs)

SummaryoftheconcernsraisedinameetingwiththePAPs

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Concern ResponseConfirmationofroadreserve:Complainedofpeggingbeendonebeyondthelandbeacon.Addingthatifthatisthecaseallhislandhasbeen‘swallowed’

ConcreteBeaconswereforreferencepurposesfortheusebysurveyors.Theydon’tshowtheextentoftheroadreserve.Theextentoftheroadreserveismarkedbypegswithredribbon.

tobeshowntheextentoftheroadreservesothatshewillknowwheretofinallyputhergate

Compensation:clarificationonwhetherthe structures, crops and trees on theroad reserve would be affected andwhethertherewouldbecompensation.

Wherestructuresarewithintheconstructionarea,theownerswillbecontactedfordetailedinventoryingandrecording as compensation should be given atreplacementcostwithoutconsideringdepreciation.Iftherewouldbeanycropsortreestobeaffected,theowner would be given time to harvest them wherepossibleifnotallwillbevaluedforcompensation.

Underpass: Askedwhether therewouldbe cattle underpasses for the cattlecrossing along the road and whethertherewouldbeflyoversneartheschoolfor the safety of the school goingchildren.

The surveyor answeredby saying that theywouldberoadsignsandbumpsputintheseareasforthesafetyofthechildrenandcattle.Alsoroadsafetycampaignswill be undertaken in collaboration with the trafficofficers.

Relocation: Asked that what wouldhappenforthosehavingtheirbusinessesunderthetrees.

In cases where the trees would be cut down, theywould be notified in advance and necessarycompensation effected for the days they will not beoperatingtheirbusiness.Theywerehoweverassuredthatthehawkerswillnotbeaffectedasthecurrentalignmentisbeingadoptedandiftherearechangestheywillbeinformedanddueprocedurefollowed.

Requestedthatthecontractordoesnotblocktheaccessforthecustomers

Valuation:Howwillpropertybevalued? Allthepropertyforcompensationwillbevaluedatreplacementcostwithoutconsideringdepreciation.ThefinalvalueoflandwillbedeterminedbyvaluersfromNationalLandCommission

4.4 FIELDINVENTORYOFPAPSANDASSETSThisfollowedspecificproceduresasfollows:-

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4.4.1 QuestionnaireDesign(i)Designofquestionnaires:

Forpurposesofguidingcollationofdataonpotentiallyaffectedpersonsandtheirassets,aonepagequestionnairewasdesignedandadaptedforthestudyathand.

(ii)ProcedureintheUpdatingofProjectAffectedPeople

FromtheonsetoftheARAPstudy,ithadbeenclarifiedthatroaddesignswillbealignedtotheexistingroadreserveandwill thereforenotentailanyacquisition.Theenumeration targetedassetsandinterestsasinformedbythedetailedengineeringdesignsandcadastralmapsandtookthe form of questionnaires either filled by the respondent or filled after an interview. Thequestionnairehascovereddetailsasfollows:-

• Personal details of respondent: this included name, age, relationship to landowner,occupation,parametersofvulnerability(disability,socio-economicstatus).

• Administrativedetailsincludingvillage,locationanddistrict;

• Currentassetbaseofrespondentfamilyincludinglandownershipanduse,totaltreesowned,number of houses in homestead by size and constructionmaterials (floor, wall and rooftypes),

• Anyotherinformationincludingwishesoftherespondentfamilyregardingcompensation.

Thefinalfigureforeachwasagreedwiththelandownerfollowingwhichanyquestionswouldbeanswered. The limit of the land acquisition had already been pegged on the ground by thesurveyorsforeaseofidentification.Fortheentirerouteoftraverse,atotalof35No.potentialPAPswereidentifiedandinventoried.Appendix6.1aprovidestheAssetregister

4.4.2 TheSocio-EconomicSurveyAsocio-economicsurveywasconductedon31individualPAPsforpurposesofestablishingthebaseline features of the potentially affected population. The baseline survey firstly targetedfamiliarizationwith documented socio-economic profiles largely through review of secondarydatasupplementedbyinterviewswiththematiclocalexpertswithingovernment,NGOsandotherplayers.Basicprimarydataoneachofpotentiallyaffectedpersonswerecapturedaspartoftheassetinventoryprocess.

4.4.3 DataCleaningandAnalysisDaily returns of questionnaires were always scrutinized for errors in data entry and capture,validityofdatagenerated,etc.followingwhich,thesheetswerefiledfordataentryintheKenolSiteoffice.Onceintheoffice,questionnairedatawasenteredtocreateExcel-baseddatafilestocreateanassetregisterforallprojectaffectedpeoplebasedonadministrativeunits.Adataentryformatwasadoptedasfollows:-

Inte

rvie

w

No.

Dis

tric

t

Loca

tion

Villa

ge

Nam

e

Stat

us

Age

Tota

lhol

ding

[a

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]

leng

tho

fRR[

m]

RR(a

cres

)

Perc

ent

ofh

oldi

ng

Stru

ctur

esin

RR

Tota

ltr

ees

29

Inte

rvie

w

No.

Dis

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t

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tion

Villa

ge

Nam

e

Stat

us

Age

Tota

lhol

ding

[a

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]

leng

tho

fRR[

m]

RR(a

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)

Perc

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Stru

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RR

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Thedatawasthenfurtherscreenedforconsistencyandcorrectedfortypologicalandentryerrorsbeforefurtherapplicationincomputationwork.

4.4.4 ComputationoftheAssetsRegisterFollowingentryandcleaningofalldata,anAssetsRegisterbasedonwhich,compensationwascomputedwasassembled.DetailsareprovidedinChapterfivebelow.

4.5 APPROACHTOVALUATIONOFPAPASSETS

4.5.1 PrinciplesinAssetValuationintheARAPStudy Asaworkingprinciple,compensationforassetsinthisARAPhasbeenguidedbytheReplacementCostApproach(RCA)whererestorationofeitherpropertiesorlivelihoodsimpactedbytheprojectis themain working goal. In sections below, we highlight themethodology adopted towardsestablishingtheassetbaseandworthofeachPAP.

4.5.2 ParameterstoValuationAssetvaluationrecognizedthreemainparametersnamely:-landareatobeacquiredfortheRR,structures fallingwithin the new road alignment, trees and crops falling under the new roadalignment.Followingthecollectionofthebaselinedata,marketsurveysforstructures,landandcrops,anentitlementmatrixwasdevelopedsettingtheframeworkforvaluation.Asaprinciple,valuationinthisARAPadoptedtheReplacementCostApproachMethodwiththetwingoalsofrestorationandrehabilitationtostandardshigherthanoriginal.

4.5.3 ValuationMethodsAdoptedThisARAPadopteddiversevaluationmethodologiesasfollows:-

(i)Valueofland

Determinationofthelandvaluefactoredmanyparametersincludingthecurrentmarketpricesasobtained from diverse sources land and property agents, local administration, land controlboards,propertyowners,recentresearchpapersandreports,etc).Allentitlementsalsofactoredinastatutory15%mark-uprequiredforallcompulsoryacquisition.

(ii)ValuationofBuildingsandotherStructures

ThereplacementvalueofstructureshasbeeninvestigatedduringtheSocio-EconomicBaselineSurvey. Structures in theproject corridor arenotnumerousandwere valuedon case-by-casebasis.Replacementcostswascalculatedbasedonactualcostofconstruction/re-establishmentofastructureofatleastequalorbetterqualityastheaffectedstructure.

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(iii)Thecompensationpackage:

Thiswasderivedfromsummationofthecoststoaffectedland,buildings,treesandcropstowhichwasaddeda15%mark-uptocaterforinvoluntaryacquisitioninlinewithOP4.12.

4.6 MODALITIESFORDISCLOSUREResponsibilityofdisclosingtheARAPvestswithNaMSIP.Thus,oncetheARAPisapprovedbytheBank, it isexpectedthat itwillbedisclosed in theWorldBank infoshop,MinistryofTransport,Infrastructure, Housing and Urban Development website and at the County Government ofMachakos.TheExecutivesummarywillalsobeavailedinthelanguageunderstandabletothePAPseither local languageorKiswahili andwillbeavailableat thesiteofficeand in theofficeof theproponent.Disclosuretotheneighborsoftheprojectandstakeholdersthroughoutthetraversehasalreadybegunas theproject isalreadyunder implementation followingthe issuanceof theNEMALicense.AhardcopyoftheARAPreportonceapprovedbytheBankwillalsobeavailableatthesiteofficeaswellastheproponent’soffice.

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5 FINDINGSOFTHEARAPPROCESSThischapterunveilstheoutcomeofthesocio-economicsurveyandtheimpactsurvey(inventoryoflikelydamage)allofwhichformthefoundationonwhichthecompensationpackagehasbeencrafted.AmajorfindingoftheARAPstudyhoweveristhatallthe4sectionsoftheProjectRoadfollowexistingreservesmostofwhichareadequatetocontaintheproposeddevelopmentwithoutneedforadditionallandandthisgreatlymitigatespotentialdisplacement.Only17parcelsoflandwillbeacquired.

5.1 POTENTIALSCOPEOFDISPLACEMENT

5.1.1 SpectrumofPotentiallyAffectedPersons(PAPs)OutcomeoftheinventoryofpotentialPAPsintheProjectRoadbyroadsectionisprovidedinTable5.1below.Thestudyhasdeterminedthatthereare36numberofPAPsoutofwhich4belongtocorporates(FarmersSocietyandChurch)andonehasnorecordsintheregistry/unknown.Inthisrespect,thereare31numberofPAPswhowentthroughthesocioeconomicsurveywhoinclude21 landedPAPsand10structuredPAPsassummarizedintable5.1.It’sworthnotingthatthereareonly17parcelsoflandwhicharebeingtargetedforacquisition.Furtheranalysisindicatesthatthereare12affectedstructures,11outofwhichbelongtoPAPsonexistingroadreserveandonestructureisonlandtargetedforacquisition.

Table5.1:SpectrumofthePAPsbyroadsection

PAPsCategory

Section1 Section2 Section4 Total

Land Structure Land Structure Land Structure Landparcels

structures

IndividualLandedPAPs

4 1 5 0 4 0 13 1

CorporatePAPs

0 0 3 0 0 1 3 1

Encroachers 0 0 0 0 0 10 10Unknown 0 0 1 0 0 0 1 Total 4 1 9 0 4 11 17 12NoofPAPs 13 1 5 0 3 10 31

5.1.2 ThesocioeconomicdataThesocioeconomicdatawasundertakento31PAPsprovidedasTable5.2belowwhoinclude21landedPAPsand10structuredPAPs.

Table5.2:ThePAPswhowentthroughthesocioeconomicsurvey

TotalPAPs Tally

LandedPAPs 21

StructuredPAP 10

TotalPAPsInterviewed 31

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5.1.3 QuantificationofDisplacementImpactsFromthebelow-listedscheduleofimpacts(Table5.3),inferencecanbemadeasfollows;-

Table5.3:BreakdownofthePAPspercategory

NatureofAssets Ownership TallyLand Owners(asreflectedinthesearch) 5

Interests(landchangedownershipbutnotyettransferred)

16

Corporate(Farmerssociety;-2parcels,1parcelwithnorecordsofownershipinregistry)

3

Structures Ownersidentified 10 Corporate—(church) 1Total 35

ThelandregisteredunderKarntfarmer’ssocietyisnotsubdividedandhasnostructures.Itisworthnotingthat the owner of Karnt society has not yet been identified hence no socio economic data, fullcompensationwillhoweverbepaidtotheowneronceidentified.Thisalsoappliestothechurch,whichhasamembershipofbetween50-60membersincluding;20women,11men,20childrenand10youths.Fullcompensationwillbepaidinrespecttotheaffectedtoilet.

LandAcquisition

Sections1,3and4havea40mroadreservewhileSection2hasonly25m.Atotalof1.36hawillbeacquiredintheroadupgradingprojectwhich,fora70Kmroadprojectisquitesmall.Thisrepresentsasignificantdropfromthe40.81haoriginallytargetedandthishasbeenachievedthroughadecisiontorestrictallroaddevelopmenttotheexistingroadreserve.

Table5.1:DistributionofLandAcquisitionbyRegistrationSection

SN

Section ParcelNumbers

Acquisition

RegistrationSection ParcelNo AreaacquiredAcres Ha

SectionOne 1 Mitaboni 1462 0.105 0.042 Mitaboni 1415 0.123 0.053 Mitaboni 1413 0.236 0.104 Mitaboni 2672 0.073 0.3 TotalforSectionOne 0.537 0.28 SectionTwo 5 DonyoSabuk/

KomarockBlock2

3786 0.083 0.036 3798 0.083 0.037 3799 0.094 0.388 3807 0.052 0.029 3998 0.055 0.0210 4000 0.110 0.05

33

11 4020 0.113 0.0512 4022 0.290 0.1213 4023 0.103 0.04 TotalSectionTwo 0.984 0.40 SectionThree 0 0 SectionFour 14 KivutiKimutwa 1856 0.210 0.0915 KivutiKimutwa 714 0.476 0.1916 KivutiKimutwa 715 0.356 0.1417 KivutiKimaKimwe 613 0.802 0.32 TotalforSectionFour 1.844 0.75 TotalforallSections 3.365 1.36

InventoryofAssets

Thereare7shops,3gatesand2toiletsthatarebeingaffectedbytheroadupgradingproject.11ofwhichbelongtoencroachersontheROWandarelocatedinsection4while1isownedbyalandedPAPinsection1.

Inventoryoftreesandcrops

Atotalof369assortedtreeswerefoundwithintheroadreserve.

DisplacementofInfrastructure

Roadexpansionislikelytooccasionmajordisplacementofwater,sewerage,streetlighting,poweranddatatransmissioninfrastructure,whichthoughaffectingonly0.25%ofPAPs,islikelytobethemostcostlyimpactoftheroad.DisplacementofsuchinfrastructureswillhoweverbearrangedbetweentheGOKandUtilitiesoutsideof thisARAP.Thecostof relocatingtheseutilities is factored in theBOQas item1.14provisionedforKShs25,000,000(ReadTwentyFiveMillionShillingsonly).

5.1.4 CostallocationintheARAP

(a) CoststowardsCompensation

CompensationcostshavebeencomputedbasedontheentitlementasappliedtotheAssetsRegistertoyield toCostedAssetsRegister issuedasAppendix 5.1 to thisARAP.A summaryof theCostedassetsregisterisprovidedinTable5.5below.AtotalofKshs29,488,444.90(Read:KenyaShillingsTwentyEightMillion,OnehundredandNinetySevenThousands,SixhundredandTwentyshillings,centsFifty)hasbeenidentifiedunderthisvote.Thebulk(55.91%)ofcostswillgotopurchaseofthe1.36hatobeacquiredfortheroad.

Table5.2:DirectCostsinCompensation

Budgetitem AdditionalNotes Cost RemarksLand 1.36haoflandor17parcelsof

land14,337,000

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Structures 12structuresincluding7non-operationalshops,2toiletsand3gates

7,880,656

Trees Includingfruittrees(299)andothertrees(70)(bothindigenousandexotic)

649,000

Seasonalcrops 84,470 Restorationcost Anadditional15%markup 6,537,319

TrainingsongoodcrophusbandryandenvironmentalconservationaspartofCSR.

1,000,000 BOQItem1.24.ThisishowevercateredforundertheESMP

ProvisionoftreeseedlingstoallPAPsandlocalreforestationgroupsasCSR.

2,000,000 BOQitem1.24.ThisisprovidedforunderthebudgetforESMP

CorporateSocialresponsibility(CSR)

Supporttolocalreforestationandconservationgroups,TrainingsongoodcrophusbandryandenvironmentalconservationasacomponentofCSR.

1,000,000 BOQitem1.20.CateredforundertheESMP

Coststowardscushioningthevulnerable

Attachmenttothecountysocialservicesofficeforcounselingandinclusioninthesocialdevelopmentprojects.

1,000,000

Totalcompensationbudget

29,488,444.90

ARAPimplementationCosts:30%ofdirectcosts

ExternalImpactAssessmentandMonitoring

6,846,533.47

TrainingonGRMstructures 1,000,000.00 TotalDirectCosts 38,334,978.37 20%Contingency 7,666,995.67 TotalARAPBudget 46,001,974.04

(b) ARAPImplementationCosts

This item has been identified a total of Kshs 8,846,533.47 (Read Kenya Shillings EightMillion, EightHundredandFortySixthousands,FivehundredandThirtyThree,FortySevencentsfive)equivalentto30%oftheCompensationCosthasbeenearmarkedtofacilitateNairobiMetropolitanDevelopmenttoimplementtheARAPinclusiveofCapacitybuildingtothePAPsandmanagementoftheGRMstructures,andexternalimpactassessmentandmonitoring.

(c)Contingency:A20%Contingencyhasbeenallowedtocaterforfluctuationincostsandanyunforeseencostelements.Kshs7,666,995.67(ReadSevenMillion,SixHundredandSixtySixthousand,NineHundredandNinetyFive,SixtySevencentsonly)hasbeenvotedforthis.

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d)TotalbudgetfortheARAP

Table5.4providesthegrossbudgetfortheARAP.ThetotalbudgetforresettlementintheroadupgradingprojectisestimatedatKshs46,001,974.04(Read:KshsFortySixMillion,OnethousandNinehundredandSeventyFourshillingsandonecent)willberequiredinimplementingtheARAP.

5.2 Socioeconomicsurvey

5.2.1 FocusoftheSurveySocio-economicsurveysforARAPpurposestargettodocumentpre-projectstatusofpotentiallyaffectedindividualstoprovideadatumagainstwhich,projectimpactscanbemonitoredinfuture.

5.2.2 ApproachtotheSocio-economicSurveyItwasrecognizedthatthe31PAPswillbeinneedofeconomicrehabilitation/relocationandthisisthegroupthatwasselectedtoparticipateinthesocio-economicsurvey.Thisincluded21landedPAPSand10structured PAPs. (Table 5.7).It’sworth noting that there are only 17 parcels of land or 1.36 ha beingacquiredasreflectedintheOfficialSearch.

Table5.3:Livelihoodsinvolvedinthesocioeconomicsurvey

Category TallyLandedPAPs 21StructuredPAPs 10Total 31

5.2.3 CharacteristicsPAPsparticipatingintheSocio-economicSurveyVulnerableGroupsVulnerablegroupsmustbeidentifiedandgivenanopportunitytoparticipateintheprocess.Thesearepersonsthatwillbeinadisadvantagedposition.Allspecialgroupsofpersons(widowsandelderlyabove70years)havebeenidentifiedandwillbegivenadditionalassistancetoensurethattheydonotundergosufferingandtheydonotsufferunduedisadvantage.

Amongthesurveyedhouseholds,atotalof10PAPswereidentifiedasvulnerablebybeingFemaleHeadsofHouseholdsbyvirtueofbeingwidowsorsinglemothersTable5.4:Thenumberoffemaleheadedhouseholds

HouseholdHead Tally %MHH 21 67.74FHH 10 32.26Total 31 100.00

Femaleheadedhouseholdsrepresentaspecialcategoryofcompensation/resettlementvulnerability.Inthecaseofwidows,theirrightstolandandpropertyareoftenputoutbythedeathoftheirspouses.Oftentheextendedfamilyofthedeceasedhusbandclaimsthewidow’sassets;evenininstancesofanymalechildrenforwhomtheirdeadfather’sassetsareheldintrustbymalemembersoftheextendedfamilyor

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clan. Special consideration must be given to these vulnerable populations during allocation ofcompensation.

EducationachievementTable5.9:Literacyrateofheadsofhouseholdsbysexandage

Below30years 30-40 40-50 50-60 60-70

70yrsandabove Total

Education w m w m w m w m w m w m w % m %None 0 0 2 2 2 6.45 2 6.45Primary 1 1 1 2 1 1 2 1 2 6 19.35 6 19.35Secondary 1 1 2 5 1 3.23 8 25.81Tertiary 4 1 1 1 3.23 5 16.13Total 0 1 0 2 2 8 2 2 2 6 4 2 10 32.26 21 67.74

KeyW-womenM-menAcomparisonof theeducation levelofmaleand femaleheadsofhouseholdsdemonstrates thatFHHgenerallyhavealmostthesameeducationallevelsandthesamenumber(2)ofmenaswomenwhohavenot gone through any formal training. This is depicted in table 5.9 above. The highest population ofvulnerablePAPsbyagecohorts(70yrsandabove)iswomenwhoare4ascomparedtoonly2men.83.9%ofthehouseholdsaretakingtheirchildrentopublicprimaryschoolswhile100%endupinPublicsecondaryschoolswithinadistanceof600m.Table5.5:PreferredschoolsamongPAPs

Primary % Secondary %Privateschool 5 16.1 0 Publicschool 26 83.9 31 100%Total 31 100 31

Sourceofincome

Table5.11:Sourceofincomefortheheadsofhouseholdsbysexandage

Below30years 30-40 40-50 50-60 60-70

70andabove Total

Occupation w m w m w m w m w m w m w % m %Employed 1 2 1 4 2 6.45 6 19.35Business 1 2 1 1 2 2 6.45 5 16.13Farmer 1 2 1 1 3 3 2 6 19.35 7 22.58Quarryoperators 1 1 1 0.00 3 9.68Total 1 2 3 5 2 5 2 6 3 2 10 32.26 21 67.74

KeyW-womenM-men

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Mostofthefemaleheadsofhouseholds(6)areearningtheirlivelihoodsthroughfarmingwhichisrainfedandquiteunreliableoutofwhich3areintheagecohortof70yearsandaboveasshownintable5.11above.Thereare5elderly(70yearsandabove)casesasreflectedbythesocioeconomicsurveyandthesearecases ifnotproperlycushionedarepronetosuffer theshockofdisplacement.Theelderly (likeyoungchildren)aredisproportionatelyvulnerabletodiseaseandevendeathinresettlementoperations.SpecialprogrammeswillbeorganizedwiththeCountyDepartmentofsocialservicesforcounselingandinclusioninthesocialdevelopmentprojects.

Incomeprofiles

TheunemployedactivelabourforceinMachakosCountyis9.4%(Weismannetal,2014)thismeansthatthenumberwhichdoesnothaveajobbutareavailableforoneisquitesubstantial.Inthelightofthistheroaddevelopmentisseenasanadditionalsourceofincomeeitherdirectlyorindirectlyforthelocalsasthey are accorded first priority before non locals are absorbed. At economic levels, female headedhouseholdsarepoorerthanmaleheadedhouseholdssincemostmaleheadshavespouseswhomtheysharethehouseholdrolesthuslighteningtheburden.

Over90%ofthePAPsearnlessthan20,000everymonthasdepictedin5.1.2belowwithover50%ofthePAPs fallingwithin the incomebracketofbetweenKshs5,000-10,000permonth.Thus, inaddition tolosing their land and property to road construction they require to be adequately compensated asoutlinedinChapter6below.

Table5.6:IncomeprofilesforPAPs

Incomeprofiles Femaleheadedhouseholds

Maleheadedhouseholds

Total

below5,000 3 3 65,000-10,000 5 13 1811,000-15,000 2 3 516,000-20,000 2 2 10 21 31

Sizeofhouseholds

Onlyonerespondenthasafamilysizeof1child.Thehighestnumberofchildreniswithintheagecohortofbetween2-5childrenwith8and11forfemaleheadedhouseholdsandmaleheadedhouseholdsrespectivelymostofwhicharenotdependentontheparents.

Table5.13:HouseholdsizesamongstthePAPs

Familysize FemaleHeadedhousehold(FHH)

Maleheadedhousehold(MHH)

Total

1 1 12-5 8 11 19

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6-8 1 5 6

above8 5 5

Total 10 21 31

5.2.4 HouseholdbasicneedsWaterSourcesTheaffectedhousehold’ssourcetheirwaterfromtapwater,waterpan,boreholeorriver.Thedistancetothewatersourceisonaverage300maway.Thedegreetowhichhouseholdsuseoneormoreofthesewatersourcesisdependentupontheirproximitytoamarketcentrewherethereiseitheraboreholeortapwater.Waterpansandriversourcehavebeenrecordedamongthehouseholdsfurtherawayfrommarketcentres.

CookingFuel

Majorityofthehouseholdsinterviewed(51.6%)usebothcharcoalandfirewoodforcooking,while32.2%usesfirewood.BothCharcoalandfirewoodarepopularsincetheyarelocallyavailable.Only9.7%oftherespondentusebothgasandcharcoal.

Table5.7:Preferredcookingfuel

Typeoffuel Tally %Charcoal 2 6.5Firewood 10 32.2Charcoalandfirewood 16 51.6Paraffin 0 0GasandCharcoal 3 9.7Total 31 100.0

LightingFuel

71%oftherespondentuseparaffinforlightingwhile16.1%usebothelectricityandparaffin.Paraffinisforbackupincaseofpowerblackout.Only12.9%ofthehouseholdsusesolarandparaffinwhilethetorchisusedformovingaroundatnightbyallthehouseholds.

Table5.8:PreferredSourceoflightingfuel

Typeoffuel Tally %Paraffin 22 71.0Electricityandparaffin 5 16.1Solarandparaffin 4 12.9Total 31 100.0

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Healthfacilities

Thehealthfacilitiesareaccessiblewithin3kmradiusonaverageandallthePAPsinterviewedindicatedprevalence for public hospitals. Initially, travelling through section 1,2 and 3 during the rains was achallenge,theroadswereimpassablewithvehiclechargesbeingtoohigh,thuscompoundingmovementtohealthfacilities.Theroadupgradingprojectisthusawelcomeprojectenjoying100%support.

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6 RESETTLEMENTMEASURESANDENTITLEMENTMATRIX

6.1 ELIGIBILITYThischaptersetsouteligibilitycriteria,whicharenecessarytodeterminewhowillbeeligibleforresettlementandbenefits,andtodiscourageinflowofineligiblepeople.

6.1.1 PrincipleAuthoritiesTheinvoluntarytakingoflandhaspotentialtooccasionrelocationorlossofshelter,lossofassetsand loss of means to livelihood through displacement or curtailed access to productive/ livesupportingresources.Itisimportanttherefore,toestablishcriteriabywhichdisplacedpersonswill be deemed eligible for compensation and other resettlement assistance. The coredistinguishing aspect of this Abbreviated Resettlement Action Plan is that, it will allocate forcompensationofallpeopleirrespectiveofphysicaldisplacementandstatusoftenuretolandandassets.Thisworkingphilosophyisbasedonpoliciesofdiverseauthoritiesasfollows:-

(i) TheNationalConstitution:

UnderSection40ofthenewNationalConstitution,landownershipandacquisitionareenshrinedasfollows:-

1) Subject toArticle 65, everypersonhas the right, either individually or in associationwithothers,toacquireandownproperty––(a)ofanydescription;and(b)inanypartofKenya.

2) Parliament shall not enact a law that permits the State or any person— (a) to arbitrarilydeprive a person of property of any description or of any interest in, or right over, anypropertyofanydescription;or(b)tolimit,orinanywayrestricttheenjoymentofanyrightunderthisArticleonthebasisofanyofthegroundsspecifiedorcontemplatedinArticle27(4).

3) TheStateshallnotdepriveapersonofpropertyofanydescription,orofanyinterestin,orrightover,propertyofanydescription,unlessthedeprivation—(a)resultsfromanacquisitionof land or an interest in land or a conversion of an interest in land, or title to land, inaccordancewithChapterFive;or(b) isforapublicpurposeor inthepublic interestandiscarriedoutinaccordancewiththisConstitutionandanyActofParliamentthat—(i)requirespromptpaymentinfull,ofjustcompensationtotheperson;and(ii)allowsanypersonwhohasaninterestin,orrightover,thatpropertyarightofaccesstoacourtoflaw.

4) Provision may be made for compensation to be paid to occupants in good faith of landacquiredunderclause(3)whomaynotholdtitletotheland.

(ii) TheWorldBankSafeguardPolicies:

OP 4.12 of theWorld Bank (which is accepted as the Universal Pace Setter in resettlement)suggeststhefollowingthreecriteriaforeligibility;

(a) thosewhohaveformalrightstoland(includingcustomary/communalland,traditionalandreligiousrights);

(b) thosewhodonothaveformallegalrightstolandatthetimethecensusbeginsbuthaveaclaimtosuchlandorassetsprovidedthatsuchclaimsarerecognizedunderthenationalandlocallaws;

(c) Thosewhohavenorecognizablelegalrightorclaimtothelandtheyareoccupying,usingor

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getting their livelihood but are acknowledged as having lived on the same land beforedeclarationoftheCut-offDate.

6.1.2 CriteriaforEligibilityIntheviewofthisARAP,OP4.12offersthemostcomprehensiveeligibilitycriteriaandthesamehasbeenappliedinthedeterminationofwhotoextendcompensation.Subsequenttothis,twobroadcategorieshavebeenrecognizedintheproposedroadupgradingprojectasfollows:-

(i)LandedPersons

Thesearedefinedaspersonswithclaimtolandirrespectiveoftenuresituationandincludethosewhomay not own the land but have claim to assets such as structures and trees. This ARAPhoweverrecognizesallasbona-fidePAPswithorwithoutlegaltitletolandandacompensationpackage and other resettlementmeasures has been computed for each eligible PAP towardsachieving the objectives of the diverse policies governing this ARAP. Additionally, theReplacementCostApproachmethodpreferred fordeterminingcompensationpackages in thisARAPisonlyachievablewherethelandbaseisfactoredintothecompensation.Withinthelandedpersonsare17parcelsoflandor3.36acres(1.36ha)thatwillbeacquiredforcompensation.

(ii)Non-LandedStakeholders

Thiscategoryincludesindividualswhoselivelihoodsarelikelytobeaffectedeitherthroughdeniedaccess toproductiveresources, tradeopportunitiesetc.The followingarethePAPsunderthiscategoryincluding;

a. Ownerofthestructures:12structuresarebeingaffected including7shops,3gatesand2toilets

(i) Vulnerablegroups:outofthe31PAPswhohavebeeninterviewed32.3%(10)arefemaleheadedhouseholdsand6areelderly(70yearsandabove).

6.2.3:TheCut-offDate

TheCut-offDateisthedatethecensusbegan.Theinitialcut-offdatewasfixedinNovember2014butduetochangesindesignthiswasrevisedandfixedinJanuary2017whichisthedatethefinalcensus began. Persons who encroach on the area after the cut-off date are not entitled tocompensationoranyotherformofresettlementassistance.

6.3:THEENTITLEMENTMATRIX

Anentitlementmatrixdetailingout(i)eligibilityand(ii),entitlementincompensationisprovidedinTable6.1below.

Table6.1:TheEntitlementMatrix

CategoryofPAPs Typeofloss Entitlements Tally

PropertyOwners (titleholders)

Lossofland 100% cash compensation for land taken forroadconstruction.

Disturbanceallowance15%

17parcelsofland

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CapacitybuildingonenvironmentalconservationandProvisionoftreeseedlings

Lossofstructure(Toiletbelongingto one landedPAP)

Compensationat full replacementvaluenotconsideringdepreciation,takingintoaccountmarketvaluesforstructuresandmaterials

Advancenoticetovacate(onemonthaftercompensation)

Disturbance allowance is 15% of thereplacement value of the cost ofconstructionofaffectedstructuresrighttosalvagematerialswithoutdeductionfromcompensationCapacitybuildingonenvironmentalconservationandProvisionoftreeseedlings

1

LossofTrees 100%CompensationforanytreesremovedbasedoneconomicvalueDisturbanceallowanceof15%Plantingoftreesinthebufferzoneofthedevelopedroadstoreplacetheremovedonesandprotectexposedgroundsalongtheroads.

70trees

Loss of crops(including treecrops)

100%CompensationforanytreesremovedbasedoneconomicvalueforcashcropsDisturbanceallowanceof15%CapacitybuildingonenvironmentalconservationandProvisionoftreeseedlings

299 fruittrees

Loss of foodcrops(perennialcrops)

100%CompensationforanytreesremovedbasedoneconomicvalueforcashcropsDisturbanceallowanceof15%CapacitybuildingonenvironmentalconservationandProvisionoftreeseedlings.

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Encroachers/thosewithoutformallegalrights

Loss ofStructures

Cashcompensationatfullreplacementvaluefor structures not considering depreciation,taking into account market values forstructuresandmaterials.

AdvanceNoticetovacate(onemonth)

Righttosalvagematerialswithoutdeductionfromcompensation

CapacitybuildingonenvironmentalconservationandProvisionoftreeseedlings.Disturbanceallowanceof15%

(7 shops, 3gates and 1toilet)

Vulnerablegroups Capacitybuilding(inadditiontotheirentitledcompensation) on environmentalconservationandProvisionoftreeseedlings

Attachment to the country social servicesoffice for counseling and inclusion in thesocialdevelopmentprojects.

32.3% (10)are femaleheadedhouseholdsand6elderlyPAPs (70years &above)

6.4:THERESETTLEMENTBUDGET

ThisARAPrecognizestwocostsregimesasfollows:-

(a)CoststowardsCompensation

CompensationcostshavebeencomputedbasedontheentitlementasappliedtotheAssetsRegistertoyieldtoCostedAssetsRegisterissuedasTable6.2below.AtotalofKshsKshs29,488,444.90(Read:KenyaShillings Twenty Nine Million, Four hundred and Eighty Eight Thousands, Four hundred and fourshillings,Ninetycentsonly)hasbeenidentifiedunderthisvote.

(b) ARAPImplementationCosts

This itemhas been identified a total of Kshs8,846,533.47 (ReadKenya Shillings EightMillion, EightHundredandFortySixthousands,FivehundredandThirtyThree,FortySevencentsfive)equivalentto30%oftheCompensationCosthasbeenearmarkedtofacilitateNairobiMetropolitanDevelopmenttoimplementtheARAPinclusiveofCapacitybuildingtothePAPsandmanagementoftheGRMstructures,andexternalimpactassessmentandmonitoringoftheARAP.

(c)Contingency:

A20%Contingencyhasbeenallowedtocaterforfluctuationincostsandanyunforeseencostelements.

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d)TotalbudgetfortheARAP

Table6.2providesthegrossbudgetfortheARAP.ThetotalbudgetforresettlementintheroadupgradingprojectisestimatedatKshs46,001,974.04(Read:KshsFortySixMillion,OnethousandNinehundredandSeventyFourshillingsandonecent)willberequiredinimplementingtheARAP.

Table6.2:GrossbudgetfortheARAPintheroadupgradingproject

Budgetitem AdditionalNotes Cost

Land 1.36haoflandor17parcelsofland 14,337,000.00

Structures 12structuresincluding7nonoperationalshops,2toiletsand3gates

7,880,656.00

Trees Includingfruittrees(299)andothertrees(70)(bothindigenousandexotic)

649,000.00

Seasonalcrops 84,470.00

Restorationcost Anadditional15%markupundereveryPAPbudget

6,537,318.90

TrainingsongoodcrophusbandryandenvironmentalconservationaspartofCSR.ThisistakencareofintheBOQitem1.24whichhasallowedforaPCsumofKshs43.000,000forimplementationoftheESMP

1,000,000.00(NotincludedintheARAPBudget)

ProvisionoftreeseedlingstoallPAPsandlocalreforestationgroupsasCSR.ThisistakencareofintheBOQitem1.24whichhasallowedforaPCsumofKshs43.000,000forimplementationoftheESMP

2,000,000.00(NotincludedintheARAPBudget)

CorporateSocialresponsibility(CSR)

Supporttolocalreforestationandconservationgroups,TrainingsongoodcrophusbandryandenvironmentalconservationasacomponentofCSR.ThisistakencareofintheBOQinitem1.20whichhasallowedforaPCsumofKshs10.000,000foroffroadenvironments

1,000,000.00(NotincludedintheARAPBudget)

Coststowardscushioningthevulnerable(FemaleHeadsandelderly)

Attachmenttothecountysocialservicesofficeforcounselingandinclusioninthesocialdevelopmentprojects.

1,000,000.00

CostinCompensation 29,488,444.90ARAPimplementationwhichis30%ofARAPcostincompensation

ExternalimpactassessmentandmonitoringoftheARAP

6,846,533.47

TrainingonGRMstructures 1,000,000.00

TotalDirectCosts 38,334,978.37

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Contingency20%oftotaldirectcost

7,666,995.67

TotalARAPBudget 46,001,974.04

6.5:OTHERASSISTANCEMEASURES

AssistancetoVulnerablegroups:Additionalmeasureswillbepursuedasfollows;-

• Creatingofspecialprogrammes:WhileordinaryPAPswillundergotrainingonmodalitiesofcopingeitherthedisplacement,elderlyandsickPAPswillnotbeavailableforsuch.AnoutreachprogrammeinwhichtheyhavebeenlinkingwiththeCountySocialDevelopmentOfficeforassistanceeitherundertheCashTransferProgram,reliefassistanceamongothershasbeenputinplace.

• Monitoringmanagementofproceedsfromcompensation:Ifleftalone,somePAPshavenocapacitytomanagemoniesaccruingfromcompensationandwouldenduplosingthemoneywithoutreplacinglostassets.TheResettlementOfficerwillrequiretonetworkwithPAPstoensuresuchPAPshavere-placedlostassets.

• Assistance through Corporate Social Responsibility (CSR) Programme: Under the CSR programme,trainingonconservationandcrophusbandlyhavebeenmountedunder theEnvironmentalandSocialprogrammeoftheinconstructionsupervision.OthercomponentsoftheCSRalreadyunderwayinclude:-

o Euphorbiafencingofallwaterpans(BOQItem1.20)

o Allowingcommunitiesaccesstowaterdammedforroadconstructionduringdroughtseason

o Supporttolocalreforestationgroups(BOQItem1.24)

o Engagementoflocalcommunitiesinreforestationandgrassingofcutandfillareas

•••

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7 THEINSTITUTIONALARRANGEMENTSFORARAPIMPLEMENTATION

7.1 AGENCIESRESPONSIBLEFORRESETTLEMENTACTIVITIESi) OverviewoftheInstitutionalFramework

ThisARAPwillbe implementedaspartof theDoNMEDProgrammesandWorkPlanswhich ispartlyfinancedbytheGovernmentoftheRepublicofKenya.AsaprojectwithinDoNMED,thedevelopment of the proposed road will be mainstreamed into the administrative andmanagementinfrastructureofthisInstitutionwiththeTechnicalServicesDepartmentassumingtheprojectmanagementrole.Insectionsbelow,rolesandresponsibilitieswithinthisframeworkincludingrequisitecapacitybuildingareanalyzed.

ii) LevelsofProjectImplementation

Projectimplementationwilltakeplaceinthreetiresnamely:-

• Nationallevel

• DoNMEDlevel

• Projectlevel

Activitiesateachlevelhasdrawnparticipationofdiverseplayersallbasicallycoordinatedbytheroads sector-namely the Ministry of Transport and infrastructure Housing and UrbanDevelopment and DoNMED. It has become necessary to create new structures to addressemergingneedsespeciallyatprojectimplementationlevelandbelow.Insectionsbelow,therolesandresponsibilitiesofinstitutionsateachlevelareanalyzed.

7.2 ROLESANDRESPONSIBILITIESINARAPIMPLEMENTATIONNationalLevelInstitutions

Atnationallevel,relevantinstitutionsareidentifiedasfollows:-

(a) TheMinistryofTransport,Infrastructure,HousingandUrbanDevelopment

The road upgrading project is a project of the Kenya government through the Ministry ofTransportandinfrastructure,HousingandUrbanDevelopment,thelatterofwhichisprovidinganoversightsupervisionandtechnicaldirectiontotheImplementingAgency.TheMoTIH&UDalsointerfacewithotherministriessuchasMinistryofFinanceonissuespertainingtoprojectfundingto ensure smooth flow of both internal and external funding.MoTIH&UD also communicatesdirectly with Financier on all issues related to project implementation including financial,procurement and physical progress and all such communication will take place under thesignatureofthePrincipalSecretary(orhisdesignatedrepresentative)astheoverallaccountingofficerfortheMinistry.

(b) TheDirectorateofNairobiMetropolitanDevelopment(DoNMED)

DoNMED is taskedwithmanaging the development and implementation of all aspects of theproposedroadupgradingprojectincludingenvironmentalandsocialmitigation.

(c)NationalLandCommissionTheNationalLandCommission(NLC)isanindependentconstitutionalagencythathasstatutorypowerstoundertakecompulsoryacquisitionofprivateorcommunitylandforpublicpurposesorpublic interest. It performs these functions on behalf of the national government and county

47

governments. The specific powers and functions of the NLC are set out in the National LandCommissionAct2012,andtheLandAct2012.KeyrolesofNLCintheimplementationofthisARAPwillinclude:

• ProvideapprovaltorequestmadebyDoNMEDtoacquirelandfortheproject;• Notifylandholdersinwritingoftheintentiontoacquireland;• Assistinresolvingdisputesrelatedtocompensation;• AcquirelandonbehalfofDoNMED;• Undertakepublicconsultationonintendedacquisition;• UndertakeactualpaymentofentitlementawardstoPAPs

(c) ProjectImplementationTeam

Foraprojectofthismagnitude,itisexpectedthatafully-fledgedProjectImplementationUnitPITwillbeformedwithinDoNMEDtotakechargeofprojectaffairs.Inthisrespect,itisrecommendedthatthePITtooperateunderthecontroloftheHeadofTechnicalServicesDepartmentwhowilldoubleupastheProjectCoordinatorsupportedbyacomplementofstaffselectedandcommittedentirelytothisproject.SuchstaffwillincludeanCivilEngineer(SupervisorofWorks),WayleavesOfficer/ResettlementOfficer,SocialScientist,EnvironmentalScientist,LandSurveyor/GISExpert,amongothers. WithregardtotheimplementationoftheARAP,thePIThasthefollowingresponsibilities

i. CommunicationandCoordination

o Communication and cooperation with County administrations as key actors withimplementationoflivelihoodrestorationprograms

o Communicationandcooperationwithlocalresettlementcommitteesaskeyactorswith

implementation processes (i.e. compensation process, monitoring, identification ofvulnerablepeople)

o Communication and cooperation with the institutions involved in the compensation

processandintotrainingmeasuresforaffectedpeople:

o OverallcoordinationwithnationalandcountygovernmentandwithlocalauthoritiesandfundingagencywithregardtotheProject’ssocialandenvironmentalissues

ii. ManagementofARAPImplementation

• EnsureandmonitoroverallsocialandenvironmentalduediligencewithinARAPimplementation

(nationalrequirements,lendersrequirements)

• ARAPKeyImplementationProcesses

- Overseeandcoordinatecompensationprocess

- OperateGrievanceMechanism

- OperateMonitoring

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• Design of overall training plan for ARAP implementation staff, oversee and coordinateimplementationofplan

• Managestaffrecruitmentprocessesandcontractingprocessesofexternalserviceproviders

iii. ChangeManagementCommunicatenecessarychangesofapproach,particularlywheresubstantialandmaterialchangestotheARAPmightbeenvisionedornecessary.

iv. CapacityBuildingFacilitateandguidecapacitybuildingforauthoritiesondifferent levelswithregardtoduediligenceofProjectmanagementanddueconsiderationofenvironmentalandsocialsafeguardsThe Environmental and Social Unit of DoNMED will serve as the primary point of contact betweencommunitiesoftheprojectaffectedareaandtheproject,andwillhavethefollowingprimaryareasofresponsibilityinteralia:

• LiaisewithCountyandSubCountygovernmentwithregardtolocalcommunityliaisonandissuesandinconsultationwithappropriateDoNMEDpersonnel

• Logandrespondtogrievanceslodgedbymembersofthecommunity

• Organizeandfacilitatecompensationpaymentactions

• Obtain priorwritten permission from community leaders/affectedmembers for any intended

damagetoanyinfrastructure,cropsorlandasaresultofconstructionandcompensationtobepaid.

v. LiaisonwiththeGovernmentofKenya

TheprojectisownedbytheGovernmentofKenyathroughtheMinistryofTransportandInfrastructureHousing & Urban Development who jointly with DoNMED. MOTIH&UD shall be responsible formobilizationoffinancingfromTheNationalTreasuryforthisARAP.MOTIH&UDwillrequestTheNationalTreasurytoallocatefundsforthisARAPandwillthereaftergivethefundstoNLCtocompensatealltheidentifiedPAPs.(vi.) GrievanceRedressCommittee(GRC)

ThePITwillsetupaGrievanceRedressCommitteetobecoordinatedbytheDoNMeDProjectCoordinatorforpurposesofresolvingallgrievancesarisingfromacquisitionsandcompensation.TheConstitutionoftheGRCisoutlinedinChapter8.1below.

RolesRelatedtoImplementationArrangementsTheoverallcoordinationoftheimplementationoftheARAPwillbeprovidedbyjointlybyDoNMED,whichwilloverseeallresettlementplanningandcoordinateallissuesrelatingtothecompensation.Giventheimportanceoftheactivitiesunderthevarioussub-components,DoNMEDwillcollaboratewiththeCountyGovernmentfallingincoordinationandimplementation.DoNMEDwillbealsoresponsibleforimplementationoftheARAP.Otherroleswillinclude;

• ConstitutetheGRMcommitteesandprovidetheiroperationalbudget;• Collectalltheneededdocumentationforcompensation;• MakefundingrequestfromMOTIH&UDtoundertakecompensationofthePAPs;• Compileallthegrievancesanddocumentforfuturereference• SendcopiesofallthedocumentstotheMOTIH&UD;

49

• Besides this, DoNMED will have overall responsibility of monitoring and evaluation of theresettlement process. Specialist consultants will support the DoNMED, including: an M&EconsultanttocollectdatatotransfertoDoNMED,whichwillberesponsibleforoverallprojectM&E; and a social/environmental safeguards specialist for implementation of the ARAP andEnvironmentalandSocialManagementPlan(ESMP),workingunderthesupervisionofDoNMED.

(a)PublicParticipationwiththePAPsThiswillinitiatethecompensationprocessaspartofanongoingprocessthatwouldhavestartedattheplanningstageswhenthetechnicaldesignsarebeingdevelopedandatthelandselection/screeningstage.TheprocessthereforeseekstheinvolvementofPAPsinaparticipatoryapproachfromthebeginning.(b)NotificationoflandresourceholdersIncaseswherethereisclearlynoidentifiedowneroruser,therespectivelocalauthoritiesandleaderswillnotify thecommunity leadersandrepresentativeswhowillhelp to identifyand locate the landusers.Theseleadersandrepresentativeswillalsobechargedwiththeresponsibilityofnotifyingtheirmembersabout the established cut-off date and its significance. The users will be informed through formalnotification in writing and by verbal notification delivered in the presence of the all the relevantstakeholders.(c)AgreementonCompensationandPreparationofContractsAlltypesofcompensationwillbeclearlyexplainedtotheindividualandhouseholdsinvolved.NLCjointlywith the client will draw contracts listing all property and land being surrendered, and the types ofcompensationselected.ThecompensationcontractandthegrievanceredressmechanismswillbereadaloudinthepresenceoftheaffectedpartyandtheLocalCommunityElderpriortosigning.(e)CompensationPayments

Allhandingoverofpropertysuchaslandandbuildingsandcompensationpaymentswillbemadeinthepresenceoftheaffectedparty,DoNMEDstaff,CountyGovernmentrepresentativesandlocaladministration,representativeofthePAPsandthecommunitylocalleaders.

ProjectLevelInstitutions

ResettlementandCompensationCommitteesSinceSubCountyisfairlylarge,furtherdecentralizedresettlementunitswillbeformedineachlocationoftheprojectaffectedarea.LocationalResettlementandCompensationCommittees(LRCCs),basedineachadministrativelocationaffectedbytheprojectwillbeestablished.DoNMEDwillconstitutetheLRCCswith the assistance of local administration. The LRCCswill work under guidance and coordination ofSCRCC.LRCCswillbeformedtwotothreeweeksaftertheformationoftheSCRCC.Theirmembershipwillcompriseofthefollowing:

• ThelocationalChief,whoistheGovernmentadministrativerepresentativeatthelocationalunitandwhodealswithcommunitydisputeswillrepresenttheGovernmentinLRCC

• AssistantChiefs,whosupportthelocationalChiefandGovernmentinmanaginglocalcommunitydisputesinvillageunits,willformmembershipoftheteam.

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• FemalePAP,electedbywomenPAPs,willrepresentwomenandchildrenrelatedissuesasregardsresettlementandcompensations

• Youthrepresentative,electedbyyouths,willrepresentyouthrelatedconcernsintheLRCCs

• Vulnerablepersonsrepresentative,willdealandrepresentvulnerablepersonsissuesintheLRCC.

• Businessrepresentative,willrepresentbusinesspeopleconcerns

MembershiptoLRCCswillbeelectedbyeachcategoryofPAPsexceptthelocationalChiefandassistantchiefswhowillautomaticmembersoftheteambyvirtueoftheirpositions.EachLRCCwillelecttheirchairpersonandasecretary.TherolesofLRCCswillincludeamongothersthefollowing:

• Conductingextensivepublicawarenessandconsultationswiththeaffectedpeople.

• HelpensurethatlocalconcernsraisedbyPAPsasregardsresettlementandcompensationamongothersarepromptlyaddressedbyrelevantauthorities.

• Resolvemanageabledisputesthatmayariserelatingtoresettlementandcompensationprocess.

Ifitisunabletoresolve,helprefersuchgrievancestotheSCRCC.

• Ensurethattheconcernsofvulnerablepersonssuchasthedisabled,widowedwomen,affectedbytheprojectareaddressed.

• Helpthevulnerableduringthecompensationandrestorationfortheirlivelihoods

• EnsurethatallthePAPsintheirlocalityareinformedaboutthecontentoftheARAP.

• ValidateinventoriesofPAPsandaffectedassets;

• Monitorthedisbursementoffunds;

• Guideandmonitortheimplementationofrelocation;

• Coordinateactivitiesbetweenthevariousorganizationsinvolvedinrelocation;

• Facilitateconflictresolutionandaddressinggrievances;and

• Providesupportandassistancetovulnerablegroups.

o Thiscommitteemeetsonaregularbasis(asdeterminedbytheneedsoftheproject)to

ensurethatresettlementactivitiesareappropriatelydesignedandexecuted..

•••

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8 GRIEVANCEMANAGEMENTANDREDRESS

8.1 OVERVIEWRegardless of its scale, involuntary resettlement inevitably gives rise to grievances among theaffectedpopulationoverissuesrangingfromratesofcompensationandeligibilitycriteriatothelocation of resettlement sites and the quality of services at those sites. Timely redress of suchgrievances is vital to the satisfactory implementationof resettlement and to completionof theprojectonschedule.

Grievanceproceduresmaybeinvokedatanytime,dependingonthecomplaintandnopersonorcommunityfromwhomlandorotherproductiveassetsaretobetakenwillberequiredtosurrenderthoseassetsuntilanycomplaintshe/shehasaboutthemethodorvalueoftheassetsorproposedmeasuresaresatisfactorilyresolved.Inordertodealwiththegrievancethatmayriseduringtheimplementation,thisARAPhasidentifiedprocedurestoallowaffectedpeopletolodgeacomplaintoraclaim(includingclaimsthatderivefromcustomarylawandusage)withoutcostandwiththeassuranceofatimelyandsatisfactoryresolutionofthatcomplaintorclaiminwhichcase,dialogueis a vital element. The grievance redressmechanisms is designedwith theobjectiveof solvingdisputes at the earliest possible timewhichwill be in the interest of all parties concerned andthereforeimplicitlydiscouragesreferringsuchmatterstotheCourtswhichwouldotherwisetakeaconsiderablylongertime.Thegrievanceprocedurewillbesimple,administeredasfaraspossibleatthelocal levelstofacilitateaccess,flexibleandopentovariousproofs.Fig.8.1 isaschematicpresentationoftheoverallgrievanceprocuresrecommended.

8.2 AnticipatedTypesofGrievancesInthecontextoftheProject,grievancescouldarisefrom;

• Misidentificationofowner/occupierofeligiblepropertyandassets;• Errorsinassetassessments;• Disputesoverplotlimits,eitherbetweentheaffectedpersonandtheProject,or

betweentwoneighbors;• Complaintsaboutentitlementpolicyoftheproject;• Disagreementofassetvaluation;• Disagreementonentitlementandownership;• Disputedownershipofbusinesses(forexampleiftheownerandtheoperator

aredifferentpersons);• InthecaseofVulnerableandMarginalizedGroups,disputesaboutfree,prior

andinformedconsultation,adverseimpacts,culturallyappropriatebenefit-sharing,protectionoftraditionalrightsrelatedtonaturalresourcesmanagementandlandtenure;

• Disagreementoftimeandmannerofcompensation.

8.3 ManagementMechanism

8.3.1 GeneralPrinciplesandKeyAspectsTheProjectwillputinplaceanextra-judicialmechanismforthemanagementofgrievancesanddisputes,basedonexplanationandonmediationbythirdparties.Eachoftheaffectedpersonswillbeabletotriggerthismechanism,whilestillbeingabletoresorttothejudicialsystem.Themechanismwillbebasedonthefollowingprinciples:

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• Eachaffectedpersonwillhaveeasyaccesstodelivergrievancesandcomplaints;• Grievancescanbesubmittedorally(andwillberecorded)orinwrittenform;• Anygrievancewillberegistered,acknowledgedreceiptof,andtrackeduntilitisclosed;• Thegrievancemanagementarrangementwillincludetwotiersofextra-judicial,amicablereview

andsettlement,withthefirstoneinternaltoDoNMEDincooperationwiththelocalresettlementcommittee(villagelevel),andthesecondonewithinvolvementofexternalparties;

• The third tier of the mechanism is the judicial system, for those grievances that cannot beresolved;theoverallobjectiveistoavoidresortingtoJusticeforasmanygrievancesaspossible.

Keyaspectsofthegrievancemechanismare:

• ThepublicandespeciallyPAPsneedtobe informedabout thegrievancemechanismandhowtheycanmakeuseofthisprocess.ThepublicwillbeinformedviaARAPdisclosureprocessandthroughcommunitymeetingsconductedbyDoNMEDincooperationwiththelocalresettlementcommittees:

• Grievances will be recorded by using a Grievance Form (in local language, also available inEnglish).GrievanceFormsareavailableforrecordingcomplaintsandwillcontaindetailsregardingthe grievance as well as the name and address of the applicant, application date, type ofapplicationandthenameofthepersonsreceivingthegrievance.Theformswillbeloggedinaregisterwheretheywillbetrackedthroughtoasuitableresolution.

• DoNMED will maintain a digital grievance database, containing the logs and records of allgrievancesreceived,withanindicationoftherespectivestatusofagrievance(i.e.resolved,notresolved,pending).

• Resolutionoptionswillbedevelopedthroughunilateralproposal,bilateraldiscussionand/orthirdpartymediation.Ifacomplaintisnotlegitimatethecasewillbeclosedwithoutagreementwiththe complainant.Any responsewill be communicatedclearlyeitherorallyor inwriting, andagrievancecasewillonlybeclosedwhenanagreementwiththecomplainantisreached.

• Affectedpeoplewillbeofferedaccesstothirdparty legaladvice, throughaqualified lawyeraregularbase;legaladvicewillbeatnocosts;informationonthepossibilityofaccesstolegaladvicewillbecommunicatedtotheaffectedpeople;

8.3.2 GrievanceRegistrationandMonitoringThegrievancemechanismshallbeaccessibletoallaffectedparties,includingvulnerablepeople.Hence,itisofkeyimportancethatgrievancescanbesubmittedonthevillagelevel.Grievanceregistrationwillbepossible:

• Atthevillagelevel,registrationthroughtheresettlementcommittees;• ACommunityLiaisonOffice,tobeestablishedattheProjectsite;• Grievance registration will be possible as of the commencement of compensation and

resettlementactivities.Foreachgrievance,agrievancefilewillbeopened,containing:• Grievanceform(recordingcomplaints,detailsregardingthegrievance,nameandaddressofthe

applicant, application date, type of application and the name of the persons receiving thegrievance);

• Receiptwithacknowledgementofregistration,tobehandedbacktothecomplainant;• Grievancemonitoringsheet(actionstaken,correctivemeasures);

53

• Closuresheet,copyofwhichwillbehandedtothecomplainantafterhe/shehasagreedtotheresolutionandsignedoff.

Grievanceswillberegisteredwithin7daysofreceiptandaresponsewillbeprovidedtotheaggrievedpartyin30daysorless.Closureofagrievancedoesnotautomaticallymeanthatthecomplainantissatisfiedwiththeactiontaken(i.e.incaseswhereacomplaintisnotjustified).Closuremeansthatthecomplainantagreesthatactionhas been taken by DoNMED to address the grievance without being necessarily satisfied with theoutcome.ThesecommitteeswillseektoresolvePAPsissuesquicklyinordertoexpeditethereceiptofentitlements,withoutresortingtoexpensiveandtime-consuminglegalprocessintheEnvironmentandLandCourt61orhighcourtthatmaydelaytheimplementationofproject.Appealstothecourtwillonlybeoccasionedifthegrievanceprocedurefailstoprovidearesult.

8.3.3 VillagelevelinCooperationwithDoNMEDInpractice,insimilarcompensationandresettlementactivities,grievancesarisefrommisunderstandingsof theProjectpolicy,or result fromconflictsbetweenneighbors,whichcanusuallybesolvedthroughadequatemediationusingcustomaryrulesorlocaladministrationatthelowestlevel.Furthermore,grievancesareexpectedtoariseinthecontextofconstructionactivities.Forthisreason,thecooperationwiththeconstructioncontractor’sgrievancemanagement–andcommunityliaisonstaffis of key importance Grievances related to construction should be resolved through cooperation ofDoNMEDandtheconstructioncontractors’staff inchargeforgrievances.Duringconstruction,reportsshouldbeissuedtoseniormanagementDoNMEDthathighlightgrievanceswithpotentialtoaffecttheconstruction schedule. These reports should include grievances where resolution is pending for longperiods.Aggrievedpeoplewillhave theopportunity tosubmit theirgrievancesat thevillage level.This settingprovidesmaximumaccessibilitytothegrievancemechanismforallaffectedpeopleandthepossibilitytoresolvegrievancesinapracticalanddirectmanner.Localresettlementcommittees/villageleadersasmembersoftheresettlementcommitteeswillrecordgrievancesinoralorwrittenform.Itisexpectedthatalargepartofgrievancescanberesolveddirectlythroughexplanationandinformationtotheclaimant.Grievances,whichwerenotresolvedonthevillagelevel, will be reviewed. Village Resettlement Committeeswill perform the reviews, typicallywith thefollowingsteps:

• Reviewofexistingrelevantdocumentationontheindividualcase(householdissues,potentialplotdisputes,initialmeasurementsandcounts,etc);constructionrelateddisturbance-orotherissue

• Reviewofdisputedproperties,disputedboundaries,orpropertycharacteristics inthefield,asapplicable,andhearingofinterestedparties(thecomplainant(s)andthirdparties(resettlementcommitteemembers);

• Agreement on proposed resolution within the grievance management team and the localresettlementcommittee/villageleader;representativeofconstructioncontractor

• Responsetocomplainant.For these cases, the grievance management team will cooperate with representatives of the localresettlementcommitteesandwithrepresentativesoftheconstructioncontractorandwillmeetdirectly

54

withthecomplainantinordertoprovideindepthexplanationsandifnecessary,combinetheexplanationwithafieldvisittothedisputedarea/thelocationrelatedtoaconstructionrelatedgrievance.Thegrievancemanagementteamwill:

• Maintain,checkandfiletheregisteredgrievancesandlogallgrievancesinacentraldatabaseofgrievancesatvillagelevel;

• Ensurethatgrievancesareacknowledgedreceiptofintheagreedtimeframe(7days);• Collectfilesofgrievancessubmittedatlocallevelsonaregularbasis(twiceamonth)tomake

surethatallgrievancesaredealtwithinatimelymanner;checkthatreceiptsforgrievanceregistrationwereissuedbythelocallevels(resettlementcommittees,cellandwardadministrations)

• MakesurethatlocalauthoritiesandVillageResettlementCommitteesaredulyconsultedwhenreviewingthegrievance;constructioncontractor’srepresentativeswillbeconsultedwhenapplicable

• Makesurethatclosurelettersproposingaresolutiontothecomplainantaretimelysenttothecomplainantandacknowledgedreceiptof;

• Ensurethatallstepsofgrievancemanagementareproperlydocumented.Thevillagelevelgrievanceredresscommitteewillinclude1.OneVillageElderfromaffectedvillage2.ChiefandAssistantChiefofArea3.CountyWardAdministrator4.Youthrepresentative5.Womenrepresentative6.Vulnerablegrouprepresentative

8.3.4 MediationCommittee(SubCounty)Thesecondtieraimsatprocessinggrievancesthatthefirsttierisunabletoresolve,andcomingupwithsolutions,whichifagreedwillbebindingtoboththeimplementingagencyandthecomplainant(s).Theobjective is toavoid resorting to Justiceand try to reachamicable settlementswhereverpossible.Nogrievancewillbeconsideredbythesecondtierunlessithasalreadybeenreviewedbythefirsttierandtheresolutionproposedbythecommitteewasnotacceptabletothecomplainant.ThesecondtierofgrievancemanagementshallbebasedonaMediationCommitteeestablishedatSubCountylevel,whichwillinclude:

• OnerepresentativeoftheAdministration;-NationalGovernment• OnerepresentativeofSubCountyAdministration;-CountyGovernment• SubCountyLandOfficer• OnerepresentativeoftheDoNMED,actingasanobserver;• Onerepresentativeoftheconstructioncontractor,actingasanobserver• Threerepresentativesoftheaffectedpeople,amongstthematleastonewoman,choseni.e.from

communitybasedorganizations,elders,customaryauthorities.

55

TheMediationCommitteewillmeetasneeded,dependingonthe inflowofregisteredcomplaintsanddisputes. Minutes of meetings, including proposed resolution arrangements, records of decisions,agreementsreachedwouldbeprepared.

8.3.5 ThirdLevel:ResorttoJusticeIn case thismechanismwill not allow an amicable agreement to be reached, the complainant or thedefendantcanresorttoJustice(andcouldatanytime).

8.3.6 NationalLandCommissionGrievanceMechanismTheLandAct2012andNationalLandCommissionAct2012obligatetheNLCtomanagegrievancesanddisputesrelatedtoresettlementor landamicably.NLCwillbeexpectedtoarbitrateornegotiatewithPAPsorlandownersthathaveanygrievancesconcerningtheircompensation.Thecascadingstructurestheyputinplacearealsoexpectedtotakeupthisresponsibility.

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Figure8.1:GrievanceRedressProcedure

•••

Registrationofgrievance/disputesbyDoNMED

Resolutionofgrievance/disputebyDoNMED

Closureofgrievance/DisputebyDoNMED

ComplainantsatisfiedwithoutcomeYes No

Resorttomediation

Grievanceprocessingbythemediationcommittee

Responseofmediationcommittee

Complainantsatisfied

Yes

Closure

NOHighcourt

FinalClosure

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9 IMPLEMENTATIONSCHEDULEThis chapter outlines the stepwise procedure in implementing this Resettlement Plan. Theimplementationschedulealso identifiesessentialsafeguardsthatrequiretobeput inplacetoensureasmoothresettlementprocessthatismutuallybeneficialtoboththeprojectandaffectedhouseholds.

9.1 LOANEFFECTIVENESSANDIMPLEMENTATIONPLANNINGWheretheprojectisfundedexternally,theofficialeffectivenessoftheprojectwillbemarkedbysigning of the loan agreement betweenGoK and the Financier followingwhich,DoNMEDwillmove to fulfill conditions for loan effectiveness. During this preparatory phase, DoNMEDwillundertakeactivitiesasfollows:-

(a) ConstitutionofaPITattheDoNMED

DoNMEDwillappointaProjectCoordinatorandcorestaffofthePITwhowillthenmovetoplanforimplementation.

(b) PlanningforImplementation

This has been ongoing through the environment and Social experts in collaborationwith theDoNMeD. The ARAP has been under review. The grievance redress in respect to landcompensationhashowevernotyetbeenconstituted.

(c) OrientationtotheProjectAffectedArea

ThePITwilltakeadvantageofthisPhasetofamiliarizewiththepeoplelikelytobedisplaced.

(d) FormulationofaProjectImplementationManual-PIM(Optional)

ProjectimplementationwillbeguidedbyaprojectImplementationmanualtobedevelopedbythe PIT and approved by the DoNMED. Thus, part of planning, the PITwill develop a ProjectImplementation Manual detailing the roles and responsibilities of PIT officers, operatingproceduresandrules,etc.IncaseoftheARAP,thePIMwillincludeguidelinesonconstitutionofcoreinstitutionsnamelytheLRCCs,GRC,respectivetrainingmodules,etc.

(e) ConstitutionofLRCCsandtheGRC

Aspartoforientation,theROwillmakecontactwithPAPsandguidethemtoconstituteLRCCsbasedoncriteriaputforthinthePIM.Alongsidethis,localchiefswillalsobecontactedtomobilizevillageelderstocollaboratewithLRCCinprojectsimplementation.ThePITinconsultationwillidentify and recommend suitable candidates for the GRCwhowill then be appointed by theDoNMED.

9.2 IMPLEMENTATIONPHASEACTIVITIESImplementationPhaseactivitieswillentailthefollowing:-

(a) MobilizationofLRCCsinstitutions

TheROwillmovetomobilizetheLRCCsbyascertainingthatthereisoneforeachRoadSection,theyhavebeenappropriatelyconstituted,andareadequate.Followingthis,theROwillarrangetraining schedules with a view to focusing activities of the PAPs and such training will coveraspects such as leadership qualities, roles, responsibilities and limits of the LRCC, grievanceregistration procedures, approach to conflict resolution, need for impartiality, etc. Upon

58

successfultraining,LRCCswillbeequippedwithstandardstationaryincludinggrievanceregisters,foolscaps,filingmaterialetc.

(b) MobilizationoftheGRC

The PITwill finalize constitution of the GRC and follow-up approval with the PS. This will befollowedbyinductionmeetingsduringwhichtheGRCwillbeguidedtoestablishproceduresforgrievance redress.A secretariat for theGRCwill beestablishedwithin thePITwith theROasSecretary.

9.3 COMPENSATIONPROCESS(a) ConfirmationoftheAssetsRegister

Atthebeginningoftheimplementationphase,thefinalalignmentoftheroadupgradingprojectwillbemadefollowingwhich,theAssetsregisterwillbecrosscheckedonthegroundtoascertainthefinallistofPAPsandthestatusoftheirassets.ThefinalAssetsRegisterwillthenbeassembledandcontractsissuedtoallPAPs.

(b) Sensitization/CounselingforPAPs

Kenya is replete with people who squandered entire proceeds from compensation/ terminalbenefitsorevencreditandendedupdestituteandmiserable.Thisnormally isassociatedwithignoranceandshockreactiontoexposuretoapparentlyhugeamountsofmoney instantly.Toforestall such incidence in the case of road upgrading project, the PIT willmount counselingsessions for all PAPs to empower them copewith the expectedproceeds. Indeed, thisARAPrecommendsthataspartofthetraining,eachPAPwillbeassistedtodevelopabudgetfortheexpected payment! The reality of how little the anticipated payment is likely to cut downonadventures.

(c) ConsensusbuildingamongFamilies

Itisalsoexpectedthatpriortopayment,allthoseentitledtopaymentunderaPAPsaccountwillhavebeenbroughttogethertoagreeonmoniesduetothemandonthemodeofdisbursement.This caution is issued asmany householdswere observed to request that assets be recordedunderonebrotherandthisislikelytobringfamilyconflictsoncecompensationisreleased.TheLRCCswillcomeinhandyinfosteringconsensusamongcompositePAPs.

(d) FinalAwardandSigningofContracts

Upon finalization of the assets register, the final compensation sum will be computed andadjustedfor inflationandotherprocesses.Basedonthissum,contractswillbe issuedtoPAPswhowillsigntheirapprovalwitnessedbytheirrespectivechairmenofLRCCsandtheareachief.Within this contract, eachPAPwill undertake to removeaffectedassetswithinonemonthofacceptingpayment.ThePAPswillthenberequiredtoopenbankaccountsthroughwhichchequeswillbeprocessed.

(e) ReleaseofCheques

ThePITwillthenarrangeascheduleforreleaseofchequesonalocationbasis.AccountPayeechequeswillbereleasedpubliclytoeachrespectivePAPsinthepresenceofrespectiveSCRCCs.TheprocesswillberepeateduntilallPAPshavereceivedtheirmoniestousherinthenextphase.

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9.4 REMOVALOFASSETS(a) RemovalofEconomicAssets

FromencounterswithpotentialPAPsduringentrypointdiscussionsandsubsequentinventoryofindividual assets, this ARAP can confirm a 100% support to the resettlement process. Allhouseholdsexpressedwillingness toremovetheassetsandpaveway for roadconstruction inwhichcasenoresistanceisanticipated.ThusinlinewiththeContractforcompensation,eachPAPwillbeexpectedtoshifttheirassetswithinonemonthofreceivingpayment.

(b)ReplacementofCommunityAssets

ReplacementofcommunityAssetssuchasinfrastructureandwaterprojectswilltakeplaceunderthecontract forcivilworks.Subsequent to this, therefore, thebudget for replacementwillbecomputedatthepre-biddingstageandallowedforintheBillsofQuantitiesforCivilWorks.TheContractforCivilWorkswillbearclausesbindingtheContractorforsuchworkstoreplaceallsuchassetsthoughprovisionofsimilarifnotbetterfacilities.Thecontractorwillendeavortominimizedisruptionofassetsthatcommunitiesrelyonfor livelihoodorsocial lifethroughensuringthatalternative passage is provided where access roads and foot paths are blocked, alternativelandingsareprovidedwherepubliccrossingpointsareblocked,amongothers.AllthesewillbesealedinthecontractandwillbemonitoredthroughtheMonthlySiteMeetings.

9.5 COSTSINTHEARAPIMPLEMENTATIONSCHEDULEFacilitation of the Resettlement Process will require funding channeled to the PMU. In theestimateofthisARAP,asumequivalentto30%oftheResettlementBudgethasbeenallocatedforthispurpose.DetailsareinChapter6above.

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10 PROCEDUREFORMONITORINGANDEVALUATION

10.1 THECONCEPTS

10.1.1 MonitoringMonitoring involves the collection and analysis of data on project activitieswith the applyingaccruinginformationtocorrectandredirectprojectimplementationandmanagementtowardstargetprojectobjectives.Monitoringallowsprojectparticipantstokeeptrackofprojectactivities,todeterminewhetherprojectobjectivesarebeingachieved,andtomakewhateverchangesarenecessarytoimproveprojectperformance.

10.1.2 ProjectEvaluationProjectEvaluationisanassessmentofprojectperformanceandresultsinlightofstatedprojectobjectives.EvaluationforpurposesofthisARAPisproposedtoincludeaparticipatorycomponentallowingtheprojectparticipantstocommentontheirexperienceoftheproject.Tobesuccessful,monitoring and evaluation begins with clear project design followed by identification andelaboration of appropriate criteria and indicators. This document provides guidance aboutincorporatingmonitoringandevaluationelementsineachstageoftheprojectcycle.

10.1.3 IndicatorsAndMeansForVerificationIndicators form thekeyelementsof anymonitoringandevaluation system.Theadvantageofidentifyingindicatorsisthatitprovidesmanagementandstaffwithaclearsetoftargetsateachlevelofperformanceandensuresthatprogresscanbemeasuredagainstthetargets.Indicatorsalsomakepossiblethecomparisonofinputswiththecompletionofoutputsandachievementofobjectivesandgoals,thusprovidingthebasisforperformanceevaluation.ForpurposesofthisARAP, four categoriesof indicatorshavebeen formulated to facilitatemonitoringofProgress,Outputs,Effects,ImpactsandComplianceinimplementingtheproject.

10.1.4 Progress/OutputMonitoringForpurposesofthisARAP,deliverables(outputs)havebeenclearlyoutlinedintheEntitlementMatrixandtheAssetsRegisterwhichwillformthebasisforpaymentofcompensation.ProgresswillbemonitoredonthebasisofperiodicoutputsaspertheImplementationScheduleandAnnualWorkPlanwhileoutputswillbemonitoredonthebasisofactualnumberofPAPscompensated.

OutputmonitoringwillbereportedthroughperiodicreportsproducedbythePITandbackedupby signed consent certificates by PAPs. These reportswill form the basis for routine externalmonitoringbybothGOKagenciesandtheFinancier.

10.1.5 EffectMonitoringThiswillbeusedtomeasuretheextenttowhichtheimmediateobjectiveshavebeenachievedandgiveanideaoftheresultsemanatingfromimplementingtheARAPe.g.,percentageofnewinvestmentsmadebyPAPsonaccountofbeingsuccessfullyresettled.EffectmonitoringespeciallythroughendoftermProjectEvaluationisalsousefulindocumentinglessonslearnedfromprojectimplementationwhichcanalsobereplicatedelsewhere.EffectmonitoringwillbebestachievedthroughroutineandEndTermProjectEvaluationconductedbytheDoNMED.

10.1.6 ImpactmonitoringThisistheprocessthroughwhich,assessmentoftheoverallachievementoftheprojectgoalwillbe made. Specifically, this is the system that will generate data to gauge success towards

61

implementationofthisARAPintermsofimpactoftheresettlementonthePAPs.Thebasisforimpactmonitoring is thebaseline social-economic surveydata againstwhich thewellbeingofPAPswillbecompared.InternalmonitoringwillemploycriteriaasoutlinedinTable10.1below.Monitoringwill take place based on four broad themes against which, 26 criteria have beenformulated.

Table10.1:CriteriaandIndicatorsforInternalMonitoring

Crite

riafo

rIn

tern

al

Mon

itorin

g

Indi

cato

rsfo

rM

onito

ring

Yes/

No

Prov

ide

data

Reco

mm

ende

dAc

tion

New

dea

dlin

e

Resp

onsi

bilit

y

BudgetandTimeFrame

HasthePITbeenconstituted? Havealllandacquisitionandresettlementstaffbeenappointedandmobilizedforthefieldandofficeworkonschedule?

Havecapacitybuildingandtrainingactivitiesbeencompletedonschedule?

Areresettlementimplementationactivitiesbeingachievedagainstagreedimplementationplan?

Arefundsforresettlementbeingallocatedontime? Haveresettlementofficesreceivedthescheduledfunds? HavefundsbeendisbursedaccordingtoARAP? Hasthesocialpreparationphasetakenplaceasscheduled?

Hasalllandbeenacquiredandoccupiedintimeforprojectimplementation?

DeliveryofPAPEntitlements

HaveallPAPsreceivedentitlementsaccordingtonumbersandcategoriesoflosssetoutintheEntitlementMatrix?

Areassistancemeasuresbeingimplementedasplannedforhostcommunities?

Isrestorationproceedingforsocialinfrastructureandservices?

ArePAPsabletoaccessschools,healthservices,publictransport,culturalsitesandactivities?

Areincomeandlivelihoodrestorationactivitiesbeingimplementedassetoutintheincomerestorationplan,forexampleutilizingreplacementland,commencementofproduction,numbersofPAPstrainedandprovidedwithjobs,micro-creditdisbursed,numberofincomegeneratingactivitiesassisted?

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Crite

riafo

rIn

tern

al

Mon

itorin

g

Indi

cato

rsfo

rM

onito

ring

Yes/

No

Prov

ide

data

Reco

mm

ende

dAc

tion

New

dea

dlin

e

Resp

onsi

bilit

y

Haveaffectedbusinessesreceivedentitlementsincludingtransferandpaymentsfornetlossesresultingfromlostbusinessandstoppageofproduction?

Consultation,GrievanceandSpecialIssues

Haveconsultationstakenplaceasscheduledincludingmeetings,groups,communityactivities?Havedisclosuremeetingstakenplace?

HowmanyPAPsknowtheirentitlements?Howmanyknowiftheyhavebeenreceived?

HowmanyLRCCandLECsbeenconstituted?

HasaGRCbeensetupwithinDoNMED?

HaveanyPAPsusedthegrievanceredressprocedures?Whatweretheoutcomes?

Haveconflictsbeenresolved?

Wasthesocialpreparationphaseimplemented?

BenefitMonitoring

Whatchangeshaveoccurredinpatternsofoccupation,productionandresourceusecomparedtothepre-projectsituation?

Whatchangeshaveoccurredinincomeandexpenditurepatternscomparedtopre-projectsituation?Whathavebeenthechangesincostoflivingcomparedtopre-projectsituation?HavePAPincomeskeptpacewiththesechanges?

Whatchangeshavetakenplaceinkeysocialandculturalparametersrelatingtolivingstandards?

Whatchangeshaveoccurredforvulnerablegroups?

10.2 ProcedureForInternalMonitoring

10.2.1 DevelopmentofCriteriaandIndicatorsforMonitoringCriteriaandindicatorsforthethreecategoriesofmonitoringwillbedetailedandelaboratedintheProjectImplementationManual.Aswell,themonitoringfrequencyandcontentofmonitoringreportswillallbedetailedinthePIM.ItishoweverexpectedthatmonitoringwillbereportedinquarterlyandannualreportsofthePMU.

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10.2.2 ResponsibilityforInternalMonitoringRoutinemonitoring and reportingwill be the responsibility of the PIT reporting to DoNMED:Indeed,forprojectmonitoringwillfitintheoverallmonitoringplanoftheentireprojectunderauspicesoftheDoNMED.Figure10.1outlinestheschematicprocedureforinternalmonitoringproposedfortheroadupgradingproject.

Figure10.1:ProcedureforInternalMonitoring

Withintheinternalmonitoringframework,subjectmatterspecialists(includingtheResettlementOfficer) of the PIT will file monitoring reports to the Project Coordinator who will review,collaborate and submit to the DoNMED Head office. The latter will review and synthesizemonitoringreportsto:-

• Providetimelyinformationaboutallresettlementarisingasaresultofdevelopmentoftheroadupgradingprojectproject;

• Identify any grievances that have not been resolved at local level and require resolutionthroughtheinvolvementofthePMU;

• Documentthetimelycompletionofprojectresettlementobligationsforallpermanentandtemporarylosses;

• EvaluatewhetherallPAPshavebeencompensatedinaccordancewiththerequirementsofthisARAPandthatPAPshavehigherlivingstandardsincomparisontotheirlivingstandardsbeforephysicaloreconomicdisplacement.

• EvaluatewhetherallPAPshavebeencompensatedinaccordancewiththerequirementsofthisARAPandthatPAPshavehigherlivingstandardsincomparisontotheirlivingstandardsbeforephysicaloreconomicdisplacement.

Upon internal verificationof all reports,DoNMED will submit the same tobothGoKand theFinancier for reviewandadvice througha feedbackmechanismFigure10.1providesa format

Report (Table 10.1) from Way leaves officer/ PIT specialists

Synthesis by Head of Technical Services

Review by DoNMED

MOI$T Financie

Review by GoK

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throughwhich,monitoringoutputwillbereportedbytheDoNMEDBoard.

10.3 EXTERNALMONITORINGExternalmonitoringoftheARAPwillbeundertakenalongsidethatofotherprojectcomponents.It is expected that DoNMEDwillmount routinemonitoring in response to PIT reports. OtherExternalMonitoringwilltakeplaceasfollows:-

• MonitoringbytheFinancierInthecapacityofStrategicPartnertotheproject,theFinancierwill routinely fieldmonitoring teamswhowill screen theproject for overall adherence toconditionsforeffectiveness.

• PostProjectMonitoring:Inordertodeterminefinalimpactsoftheresettlementactivity,afinalevaluationcumanimpactassessmentwillbeundertaken6-12monthsafterconclusionofresettlementtoevaluatewhethertheintendedobjectiveswererealized.Forthis,suitablebaseline indicators related to income, assets, land ownership, expenditure pattern of keyactivities, housing conditions, access to basic amenities, demogaphic characteristics,indebtedness,etcwillbeapplied.Table10.2outlinesthecriteriathatwillbeappliedtowardsgauginganddocumentingprojectimpacts.

SupportforExternalMonitoring: It isexpectedthatDoNMEDinthecapacityof ImplementingAgencywill identifyandprocuretheservicesofacompetentagencytoundertakePostProjectMonitoring. Independent external evaluation will preferably be undertaken by an outsideresearch or consulting agency, university department or development NGO. The tasks of theexternalagencyareto:

• Verifyresultsofinternalmonitoring;

• Assesswhetherresettlementobjectiveshavebeenmet;specifically,whether

• Livelihoodsandlivingstandardshavebeenrestoredorenhanced;

• Assessresettlementefficiency,effectiveness,impactandsustainability,drawing

• Lessonsasaguidetofutureresettlementpolicymakingandplanning;and

• Ascertainwhethertheresettlemententitlementswereappropriatetomeetingtheobjectives,andwhethertheobjectivesweresuitedtoPAPconditions.

• Undertakeanyotherassessmentrelevanttotheresettlementprocess.

ComprehensiveTORs toguide recruitmentandconductof theExternalMonitoringExpertareprovidedinAppendix10.1below.Essentially,theTORsoutlinethecorepillarsoftheevaluationstudiesnamely;-

• AimsandobjectivesofexternalM&EinrelationtoobjectivesofARAPandFinancierPolicy

• Informationneededtomeettheseobjectives,withreferencetotheRP

• Methodandapproachtoprovidetheinformation

• Detailed methodology, use of the existing baseline census and survey, periodic updates,samplingframe,arrangementsfordatacollection,collationandanalysis,qualitycontrol,anddevelopmentofarecordingandreportingsystem

• Participationofkeystakeholders,especiallyPAPs,inmonitoringandevaluation

• Resourcesrequired,includingexpertiseinsociology,socialanthropologyandresettlement

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• TimeframeforM&E

• Reportingrequirements

Table10.2:Criteria(Themes)inExternalMonitoring

Criteriaformonitoring

Indicatorsformonitoring

BasicInformationonPAPHouseholds

Location

Compositionandstructure,ages,educationalandskilllevelsandgenderofhouseholdhead

Accesstohealth,education,utilitiesandothersocialservices

Housingtype

Landandotherresourceowningandusingpatterns

Occupationsandemploymentpatterns,incomesourcesandlevels

Agriculturalproductiondata(forruralhouseholds)

Participationinneighbor-hoodorcommunitygroupsandaccesstoculturalsitesandevents

Valueofallassetsformingentitlementsandresettlemententitlements

LivelihoodRestorationprogramme

Werehousecompensationpaymentsmadefreeofdepreciation,feesortransfercoststothePAP?

Haveperceptionsof“community”beenrestored?

HavePAPsachievedreplacementofkeysocialandculturalelements?

Werecompensationpaymentsfreeofdeductionsfordepreciation,feesortransfercoststothePAP?

Wascompensationpaymentsufficienttoreplacelostassets?

Didincomesubstitutionallowforre-establishmentofenterprisesandproduction?

Haveenterprisesaffectedreceivedsufficientassistancetore-establishthemselves?

Havevulnerablegroupsbeenprovidedincomeearningopportunities?Aretheseeffectiveandsustainable?

Dojobsprovidedrestorepre-projectincomelevelsandlivingstandards?

Levelsofsatisfaction HowmuchdoPAPsknowaboutresettlementproceduresandentitlements?DoPAPsknowtheirentitlements?

Dotheyknowifthesehavebeenmet?

HowdoAPsassesstheextenttowhichtheirownlivingstandardsandlivelihoodshavebeenrestored?

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HowmuchdoPAPsknowaboutgrievanceproceduresandconflictresolutionprocedures?

Effectivenessofresettlementplanning

WerethePAPsandtheirassetscorrectlyenumerated?

Wasthetimeframeandbudgetsufficienttomeetobjectives?

Howdidresettlementimplementersdealwithunforeseenproblems?

Werethereunintendedenvironmentalimpacts?

OtherImpacts Werethereunintendedimpactsonemploymentorincomes?

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APPENDICES

Appendix5.1:MinutesofmeetingwiththePAPsandCountyLeadersAppendix6.1(a):CostedInventoryofLandedPAPswithphotographsAppendix6.1(b):InventoryofPAPswithstructureswithphotographsAppendix10.1:TORsforExternalMonitoring