kenya national highways authority and kenya civil …

Kenya Transport Sector Support Project: Resettlement Policy Framework

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KENYA NATIONAL HIGHWAYS AUTHORITY AND

KENYA CIVIL AVIATION AUTHORITY

KENYA TRANSPORT SECTOR SUPPORT PROJECT

UPDATED RESETTLEMENT POLICY FRAMEWORK FOR THE

KENYA TRANSPORT SECTOR SUPPORT PROJECT

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Office Block for Kenya Civil Aviation Authority Office complexes for Road Sector Institutions

A Cafeteria and Meeting Room Car Park and External Works

FEBRUARY2011

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RP1087 v4


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TABLE OF CONTENTS 1. Project background .................................................................................... 4

Basic terms of preparation of the RPF Update .................................................... 6 2. Objectives .................................................................................................. 6 3. Scope of work ............................................................................................ 8

3.1 Update resettlement policy framework Error! Bookmark not defined. 3.2 Resettlement action plan ......................................................................... 9 4. Impacts, land acquisition, and land resettlement ........................................ 9 5. Principles and objectives governing resettlement preparation and

implementation. ........................................................................................ 10 6. Methods of valuing and compensating affected assets ............................. 11 6.4 the process involves: ................................................................................ 12

6.5 compensation for loss of property ......................................................... 13 7. Rap preparation, review and approval ...................................................... 15 8. Legal framework for ressetlement ............................................................ 16

8.1 Legislation governing Acquisition in Kenya ............................................ 8.2 Land related legal issues ...................................................................... 16 8.3 World Bank Safeguard Policies relating to relocaton ................................

9. Eligibility criteria for various categories of affected people ........................ 21 10. Generic aspects of the implementation schedule, including how resettlement

will be linked to civil works ........................................................................ 23 11. Grievance redress mechanisms ............................................................... 24 12. Methods for consultation with, and participation of affected people .......... 25 13 institutional framework .............................................................................. 27 14 Mainstreaming gender issues in the northern corridor road improvement

project ...................................................................................................... 28 15. Resettlement planning .............................................................................. 29 16. Roadside amenities .................................................................................. 30


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18. Project launching ...................................................................................... 32 19 Monitoring and evaluation ........................................................................ 34 19.1 Key performance indicators ...................................................................... 34 19.2 External monitoring and evaluation ........................................................... 36


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1. PROJECT BACKGROUND

The road sector developed a Resettlement Policy Framework which was approved by the World Bank for the Northern Corridor Transport Improvement program (NCTIP). This framework was adopted for the Kenya Transport Sector Support program. The framework provided the key principles underlying the mitigation and compensation to local communities and others who will be adversely affected by relocation or loss of property due to the road works and in general for the affected persons. This update of the Resettlement Policy Framework (RPF Update) for the Northern Corridor Road Improvement Project (NTCIP) expands coverage to include the aviation components added under the KTSSP. Although no resettlement issues are anticipated with regard to the aviation component, should any arise before or during implementation -- this RPF Update will apply. The update includes the following (i)Construction of camps /office complexes for airport, Aviation and Roads and (ii) Update of legal framework The World Bank has sponsored the construction of office complexes for the Road Sector Institutions and Civil Aviation Authority. Specifically, the project includes constructions of:

i. A four floors office complex with a floor space of 750m² each and basement storage for Kenya Urban Roads Authority (KURA);

ii. A four floors office complex with a floor space of 750m² each and basement storage for Kenya Rural Roads Authority (KERRA);

iii. A four floors office complex with a floor space of 750m² each and basement storage for Kenya National Highways Authority (KeNHA);

iv. A four floors office complex with a floor space of 750m² each and basement storage for Kenya Roads Board/National Construction Authority (KRB/NCA);

v. (v). A three floors office complex with a floor space of 750m² each and basement storage Office Complex with a Basement Storage for Engineers Registration Board (ERB);

vi. (vi). An office complex for Kenya Civil Aviation Authority (KCAA) vii. (vii). A two floors building with a floor space of 500m² each for

Cafeteria meeting room. viii. (viii). A Parking for 180 cars and external works (access roads,

landscaping, storm water drainage, fencing, security lighting and access gates)


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The goal of the project is to improve social welfare and enhance living standards of the Kenyan people through provision of support in the implementation of policy and institutional reforms in the transport sector for an efficient road transport network; enhanced civil aviation safety; and promotion of private sector participation in the management, financing and maintenance of road assets. The Kenya Transport Sector Support Project has a widespread positive impact on overall socio-economic status. The improvement of this Transport Sector Support will involve funding of works namely construction of camps/buildings which will include putting up office spaces for roads and civil aviation authorities to support the needs of staff of the various organizations. Unmitigated involuntary resettlement in development projects often gives rise to severe economic, social and environmental risks which include: displaced and dismantled production systems, loss of income sources, weakened community institutions and social networks, dispersed kin groups and diminished or lost cultural identity and traditional authority. Therefore, the main objective of this RPF Update is to address and mitigate impoverishment risks that may arise thereof. The World Bank Operational Objectives (OD 4.30) (paragraph 26) states…. ‘Where the specific resettlement needs of each subproject are not known in advance, the borrower would need to agree to resettlement polices, planning principles, institutional arrangements and design criteria that meet the Bank policy and requirement conditions for funding. An estimate of the total population to be displaced and overall resettlement costs should be provided, as well as and evaluation of proposed resettlement sites. Subprojects in sector investment loans should be screened by the implementing agency to ensure consistency with this directive, and approved individually by the Bank. This RPF Update sets out the framework for policies, principles, institutional arrangements schedules, and other indicative budgets to facilitate the project resettlement process should the need arise. The RPF Update is developed based on the standards of the Government of Kenya’s Resettlement policy as stated in various legal and constitutional documents and the policy of the World Bank (as provided in OP 4.12). The RPF Update appreciates and provides mechanisms in which inputs from the Ministry of Lands and Settlement, Local Authorities and the Ministry of Public Works and Housing are incorporated as critical ingredients. Community participation and involvement will be highly promoted through focussed group discussions with project affected people (PAPs),


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discussions with key informants and participatory rural appraisal among other tools. All in all stakeholders shall be fully involved. Project affected people (PAPs) will be identified together with the host community in the area earmarked for displacement and the surrounding areas. PAPs will also be categorized.

Basic terms of preparation of the RPF Update The purpose of the policy framework is to clarify the principle for social impact mitigation vis a vis compensation for loss of properties, livelihood and relocation or resettlement. The framework also gives insight on the modalities of providing Road Side Amenities along the corridor. It is paramount that the income earning capacity of the project-affected persons (PAPs) is restored. This is in relation to supporting the Kenya Government to design and implement a transport project that benefits all Kenyans. In addition to this, there is need to:

a) Provide better understanding of the poverty and social issues as well as help enhance the socio-economic impact of the proposed projects on local communities and road users through provision or modification of infrastructure and transport services.

b) Identify and quantify different categories of project-affected people

(PAPs) who would require some form of assistance, compensation, rehabilitation, or relocation etc.

2. OBJECTIVES The operational objective of the framework is to provide guidelines to stakeholders participating in the mitigation of adverse social impacts of the project, including rehabilitation/resettlement operations in order to ensure that project affected persons (PAPs) will not be impoverished by the adverse social impacts of the project. It implies that PAPs should be compensated for loss of wages, loss of assets at replacement costs; given opportunities to share project benefits; and assisted in case of relocation or resettlement. The aim is to improve or at least sustain the living conditions of the PAPs prior to project operations or to resettlement.


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For this reason, it will be necessary to prepare the Resettlement Policy Framework and a Resettlement Action Plan.

a) Resettlement policy framework update As mentioned above, the objective of the RPF Update is to set out policies, principles, institutional arrangements, schedules and indicative budgets for any resettlement should it take place in the KTTSP project with regard to the aviation components.

b) Resettlement Action Plan (RAP) This is applied to any project, which displaces people from land or productive resources which result in relocation, loss of shelter, assets or access to assets important to production, loss of income sources or means of livelihood etc.


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3. SCOPE OF WORK

3.1 Resettlement policy framework Update Given the nature of the project, the RPF Update is prepared to guide and govern the project in case of resettlement. Thus the RPF Update:

Describes why resettlement is necessary and why there needs to be an RPF Update.

Describes any particular conditions in the project that may

present special problems or opportunities, and show how the resettlement should be done in principle so as to overcome risks or take advantage of such opportunities.

Reviews the national laws governing the taking of land or other

assets.

Discusses the discrepancies among the various legal instruments if found.

Categorizes the Project Affected Persons (PAPs) and show the

type of loses such people may suffer.

Summarizes what laws and regulations may apply for different categories of PAPs

Determines the method of setting a cut- off date for eligibility for

compensation.

Defines the criteria that are to be used to identify the eligibility for compensatory measures for each category of PAPs.

Explains the methods of inventorying assets, assigning values to

each type of asset and coming to agreement with PAPs.

Presents an ‘Entitlement matrix’ which shows the possible types of PAPs, losses and the forms that will be taken for each type of compensation

Describes the mechanisms available to the PAPs for complaints

about aspects of their treatment under this policy framework.


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3.2 Resettlement Action Plan Though there is no resettlement envisaged, specific resettlement plans will be done for each subproject where displacement of some sort is envisaged. In this regard, the consultant will be expected to:

Describe the relationship of the RPF Update to the individual RAP that will be done later for each subproject where there is resettlement.

Describe the process by which each individual RAP will be

submitted to the project authorities considered and approved and how entitlements will be delivered.

State the overall project organizer, who will be responsible for

resettlement; and what facilities the overall resettlement officials will have available.

Describe how implementation will be carried out and how the

delivery of compensatory activities will take place. For the individual RAP, show how the PAP will be consulted

throughout the process of formulation. Estimate the overall cost of resettlement and show the source of

the funds.

Provide appropriate mechanism for monitoring the effective implementation of resettlement and show how the results of monitoring will be reflected in project implementation.

4. IMPACTS, LAND ACQUISITION, AND LAND RESETTLEMENT The long-term objective of the project is to enhance the livelihood of the citizens of Kenya. However, project operations are expected to have no adverse impacts, which will need to be mitigated parallel with project implementation. The area is mainly located within the industrial part of Nairobi. The Land belongs to the Government of Kenya and had been earlier acquired by the transport sector. It is not currently occupied.

After a reconnaissance survey, it has been observed that actual displacement of businesses and housing will not take place in the area as the land is currently bare and has no housing or any structure on it. In this case the


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project does not need to acquire land and will not need to carry out land resettlement prior to the development of the office complexes in this area. 5. PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT

PREPARATION AND IMPLEMENTATION. Resettlement plans will ideally be centered round a development strategy package aimed at improving or at least restoring the economic base of those displaced/relocated. To obtain cooperation, participation and feedback, the affected hosts and resetlers will be systematically informed and consulted during preparation of the resettlement plan about their options and rights. These steps will be taken directly or through formal and informal leaders and representatives. Experience has shown that local authorities can provide valuable assistance and ensure viable community participation by explaining the rights and options the PAPs are entitled to, as well as clarifying matters that may arise. Institutionalized arrangements, such as regular meetings between project officials and communities will be provided for resetlers and host communities to express their concerns about the resettlement program throughout planning and implementation stages. To this effect, workshops and consultative focussed group discussions will be held in cooperation with Local authorities and District Development Offices. These workshops will also ensure coordination of the tasks to be undertaken as well as planning for all the stakeholders involved at the start of each subproject. The first commitment of concerned district offices and the discussion with community groups is to help give first preference for jobs to those who will lose their lands and other employment based enterprises to the project. Because jobs will materialize after some lag, construction contractors for the project will be required to show preference for employing displaced persons. During implementation the following will be stressed upon a) Land-based resettlement: The new site’s productive potential and location advantages should at least be comparatively equivalent to those of the old site. The Bank encourages “land for land” approaches, providing replacement land at least equivalent to the lost land. For rural settlers, irrigation, land reclamation, tree crop development, intensification of production and other innovations can provide adequate production potential on limited amounts of land to resettle agriculturalists. b) In selecting sites, attention must be paid to the availability of sources of off-farm income (fishing, gathering, forest products, and seasonal wage employment) to compliment farm income. For urban resetlers, the new site


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should ensure comparable access to employment, infrastructure, services and production opportunities. If relocation of business becomes necessary, access to customers and suppliers will be taken into account. In addition workers losing employment in the process of relocating should be entitled to transitional income support. For both rural and urban resettlement, the consultant firm will:

Develop institutional and technical arrangements for identifying and preparing relocation sites e.g., pooling together small plots, wasteland reclamation, land leveling, and terracing.

Draw up timetables and budgets for site preparation and transfer

Make legal arrangements for transferring titles to resetlers. This

will include legal arrangements for regularizing tenure.

Consider, when necessary, a temporary freeze on land transactions within the relocation area to prevent land speculation or influx of ineligible persons.

Though the Bank does not normally disburse against land acquisition, it can finance land improvement and accommodate resetlers. c) The Consultant, CBOs and Government agencies (including representatives from County/Town Councils) will visit the sub-projects; report the progress of resettlement in progress reports. Follow-up Workshops’ purpose will be to solve pending issues and suggest corrective measures to be fed back into the project as the implementation goes on. 6. METHODS OF VALUING AND COMPENSATING AFFECTED ASSETS 6.1 The methods to be used to conduct the valuation of property for

resetlers are replacement and compensation. The consultant will adopt legally acceptable valuation procedures accepted by both the Government of Kenya and World Bank for purposes of fairness and consistency. This will consider replacement costs, types and levels of compensation under the Kenya law. Valuation of lost assets will be made at their replacement cost. The replacement cost approach is based on the premise that the costs of replacing productive assets is based on damages caused by project operations. These costs are taken as a minimum estimate of the value of measures that will reduce the damage or improve on on-site management practices and thereby prevent damage. The approach involves


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direct replacement of expropriated assets and covers an amount that is sufficient for asset replacement net depreciation, moving expenses and other transaction costs. This minimum value is then compared to the cost of new measures. This is arrived at, by analyzing current construction costs relative to design, materials employed, workmanship and final finish. In line with the principles of “equivalent reinstatement” if the premises to be reinstated require repair, a deduction to reflect this will be made. The deduction for repairs is made in accordance with the principle, that the reinstated property should as far as possible be equal to the property being reinstated. 6.2 The basis of the valuation is Gross Current Replacement Cost (GCRC). Gross Current Replacement Cost is defined as the estimated cost of erecting a new building having the same gross external areas as that of the existing one, with the site works and services on a similar piece of land. The valuation process will also consider the use of “compensation value” for the affected properties. 6.3 Other methods of valuation are: Rates quoted by contractors for similar structures in other construction

projects/programs When rate schedules do not exist or are out of date, recent quotations by contractors for similar types of construction in the vicinity of the project can be used for calculating replacement costs. In projects offering the options of cash compensation or alternative accommodation, the construction cost estimates for alternative accommodation could be used for calculating cash compensation payable. Schedule of rates obtained from the Chief Valuer, Commissioner of Lands

Office, Ministry of Lands and Settlement The Materials departments have a schedule of rates for preparing estimates for construction projects, which the consultant can use to assess costs for construction materials and labor. When applied to calculation of replacement cost, rates current for the period of actual replacement must be used. 6.4 The process involves: A Team including Consultants, Ministry of Lands Officials, County/Town Council representatives, elders, and villagers will visit the affected area. Each asset will be enumerated and inscribed on a questionnaire register. Values of each asset will be pre-printed, shown to the affected person, and set against


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the type and number of such losses that the individual will be shown, and the total of all losses as well. The inventory and evaluation will be signed and a copy given on the spot to the affected person. The form will say, and the affected person will be notified, that the inventory will not be official until a second signed copy, verified by project supervisory staff, is returned to the affected person. At this time, a copy of the grievance procedure will also be given to the affected person. 6.5 Compensation for loss of property Compensation will be facilitated by (a) paying special attention to the adequacy of the legal arrangements, concerning land title, registration, site occupation (b) publicizing among people to be displaced the laws and regulations on valuation and compensation (c) establishing criteria for determining the resettlement eligibility of affected households, e.g., households that have only partially lost their assets but are no longer economically viable. Compensation for land, structures, business, fixed improvements and other temporary assets will be based upon market valuation, disposition for salvage materials and other fees paid. Lack of title, license or permit will not bar compensation because even squatters have construction costs relative to design, materials employed, workmanship and final finish. The assessment will be undertaken in consultation with affected communities (by use of interviews, representatives) and relevant (central and local) government agencies. The Kenyan law recognizes compensation for loss of property due to implementation of development projects. The law includes houses, crops and trees. It also recommends a fair compensation for loss of property. The government has established a compensation principle, and that is, compensation for loss of property is paid at market value. Property loss falls under four categories namely:

Property owners Business tenants Residential tenant Encroachers (using land) Squatters

a) Property owners The property owner is to be compensated by land replacement at new site and paid for the crops and trees at market price. Where he has lost


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structures (business or residential), compensation is at full value and not depreciated. For loss of rental income, a lump some cash payment of 6 months rent per tenant is to be paid, as well a disturbance fee of $ 100. Fences made of wood or wire is to be compensated at $ 3 per meter and for hand-dug wells the property owner is to be compensated at $ 200. b) Business tenants. Payment of half of turnover for 6 months is to be paid and replacement cost for assets that cannot be moved c) Residential tenant He/she is to be paid 6 months rent equivalent for disturbance. He is also to be compensated for the assets that cannot be moved. d) Encroachers These are compensated by relocating to site of choice with payment of rental fee for land. For crops, fences and wells they are to be paid as mentioned above. e) Squatters For compensation the squatters are to be compensated at full replacement value for structures, relocation to resettlement site with payment for site rent. There will also be payment of lieu wages while rebuilding and a disturbance cost of $ 100.

The “Land for land” compensation will be applied to PAPs who might lose their land, the compensation taking into account:

i) The legal status of the land to be compensated; ii) The quality of land as regards its utilization and iii) The quantity and the number of people using the land

as the main source of income. The Kenya community law states that all land belongs to the Government and in case of expropriation the land is to be compensated at market price. Private professional agencies such as Private and independent real estate agencies, banks or mortgage firms are engaged in determining market values for land, or to evaluate the adequacy of administratively set compensation. The local governments through purchase will acquire the land required. The Collector of Compensation or valuation expert in consultation with field Valuation Officers at the Ministry of Lands will establish the value of the land. PAPs, who will lose their titles, will be provided new land with titles. Those without titles will also be provided land in accordance to the legal status of the land previously cultivated or exploited. Economically marginalized PAPs with


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reduced access to land will be given particular attention by providing them with more land in order to enhance the sources of livelihood 6.6 Replacement cost for other assets: For public infrastructure: - In-kind replacement under the force account

within an agreed time schedule, or full compensation to the agency replacing the service is required e.g., public phone booths.

For cultural property and community-owned facilities: In-kind

replacement or compensation at replacement cost for land and structures (e.g., religious churches, mosques, private of community-operated schools, village meeting houses, local libraries)

For cash crops: Arrangements should be made to allow for harvest or

market value should be paid for lost cash crops. The annual market value of crops for the previous 3 years is deemed appropriate as crop compensation.

Other assets: Tube wells, graves, fishponds, poultry houses, fences and

other tangible assets should be replaced in kind (or with functional equivalents), relocated or be compensated at replacement cost

The consultants together with the Ministry of Roads, Public Works and Housing, Ministry of Finance and local government agencies will conduct the execution of the expropriation/compensation operations. PAPs will be consulted about compensation arrangements prepared. Cash compensation amount and size of land offered for compensation will be presented to each eligible PAP for consideration and endorsement before cash payment for land can be affected. It should be noted that costs of construction vary from one locality to another. 7. RAP PREPARATION, REVIEW AND APPROVAL The RPF Update and the individual RAPs are fully complementary to one another however, this project has no RAP as there is no impact on people and no PAPs currently envisaged due to the fact that the project does not require acquisition of land or any form of land resettlement. . In this RPF Update therefore there is none that needs to be discussed in each case (subproject) for compensation currently.


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8. LEGAL FRAMEWORK FOR RESSETLEMENT

i. 8.1 Legislation Governing Land Acquisition

The Land acquisition process shall be governed by the Land Acquisition Act Cap 295 which governs land valuation for compulsory acquisition, the Valuers Act Cap 532, which provides for a Valuers Registration Board that regulates the activities and conduct of registered valuers. The Government lands Act Cap 280, that regulates the valuation of land rent and valuation for renting shall be governed by the rating Act Cap 267. Land acquisition through the application of state powers as highlighted in the above governing legislation the acquisition is involuntary and World Bank OP 4.12 is triggered. The Land Acquisition Act (Cap 295) empowers the Minister in charge of Lands, whenever he is satisfied that there is need for the acquisition of some particular land in the interests of defense, public safety, public order, public morality, public health, town and country planning or the development or utilization of any property in such manner as to promote the public benefit, to direct the Commissioner of Lands, in writing, to acquire the land compulsorily and the Commissioner may cause notice thereof to be published in the Gazette, and deliver a copy of the notice to every person who appears to him to be interested in the land. The Commissioner of Lands may in writing authorize any person, together with servants and workmen, to enter upon the land specified in a notice, survey it and do all things which may be reasonably necessary to ascertain whether the land is suitable for the purpose for which it may be required but only after obtaining the consent of the occupier; or failing consent, serving on the occupier not less than seven days' notice in writing of his intention so to enter. The Commissioner must make good or pay full compensation for any damage resulting from the entry. The Commissioner may cause the land which is to be acquired to be marked out and measured (if this has not already been done), and shall cause a plan of the land to be prepared. The Commissioner then appoints a date for the holding of an inquiry for the hearing of claims to compensation by persons interested in the land after publishing a notice to that effect in the Gazette at least fifteen days before the inquiry; and serving a copy of the notice on every person who appears to him to be interested or who claims to be interested in the land calling upon him/her to deliver a written claim to compensation not later than the date of the inquiry. When inquiry is completed, the Commissioner is required to prepare a written award showing the area of land, the value, and the amount of compensation payable to the persons interested in the land based on:


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market value of the land taken; any damage sustained or likely to be sustained by reason of severing such

land from his other land; any damage from loss of profits over the land; and, additional 15 per cent of market value of land for disturbance.

Generally the principle on which compensation is based is that the value to the owner of land taken would be greater than its market value. There are questions of severance, injurious affection, and disturbance. The only reasonable compensation to a dispossessed owner would be to put him into a position to reinstate himself on somewhere else so as to be able to carry on his activities substantially unaltered and undiminished.

Where compensation is not paid because there is no competent person to receive the award, or the award is rejected, the Commissioner may pay compensation in court. Otherwise the Commissioner will pay an interest at the rate of 6% from date of taking possession of land. Appeals against compensation of determination of interests in the land may be made to the Land Acquisition Compensation Tribunal. Thereafter the appeals will be with the High Court. The Commissioner may also agree with the person whom he has determined to be the proprietor of the land that, instead of receiving an award, to receive a grant of land, not exceeding in value the amount of compensation which the Commissioner considers would have been awarded, and upon the conclusion of the agreement that person will be deemed to have been awarded conclusively and to have received all the compensation to which he is entitled in respect of his interest After the award has been made, the Commissioner takes possession of the land by serving on every person interested in the land a notice that on a specified day possession of the land and the title to the land will vest in the Government and require, in writing,, the person having possession of the documents of title to deliver them to the Registrar, who will cancel the documents where the whole of the land comprised in the documents has been acquired, or where only part of the land comprised in the documents has been acquired, record upon the documents that so much of the land has been acquired under the Land Acquisition Act and thereafter return the documents to the person by whom they were delivered. Where there are gaps between Kenyan law and World Bank policy, the Bank policy will prevail.


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8.2 Land Related Legal Issues

Broadly, interests in land can be grouped into two. The rights that are held through traditional African systems and Rights that derive from the English system introduced and maintained

through laws enacted first by colonialists and later by the Independent Kenya governments.

The former is loosely known as customary tenure bound through traditional rules (customary law). The latter body of law is referred to as statutory tenure, secured and expressed through national law, in various Acts of Parliament.

a) Customary Land Tenure: This refers to unwritten land ownership practices by certain communities under customary law. Such tenure still exists in large parts of the country where land has not been adjudicated and registered. Its management falls within Trust Land Act, Cap 291. b) Statutory Tenures: categorized in two forms: i. Freehold tenure: This tenure confers the greatest interest in land called absolute right of ownership or possession of land for an indefinite period of time, or in perpetuity. The Registered Land Act (RLA) Cap 300 of the Laws of Kenya governs freehold land. ii. Leasehold Tenure: Leasehold is an interest in land for a definite term of years and may be granted by a freeholder, usually subject to the payment of a fee or rent and is subject to certain conditions, which must be observed. e.g. relating to developments and usage. c) Public Tenure: This is land owned by the Government for own purpose and which includes unutilised or delineated government land reserved for future use by the Government itself or may be available to the general public for various uses. The land is administered under the Government Lands Act Cap 280. d) Other Interests include: Reservations of other government or trust land to government ministries,

departments or Parastatals for their use. Non-formalised defacto tenure by which people, individually or in groups

invade and occupy other peoples government land particularly in the major urban centres.

Minor interest such as easements, way-leaves and temporary occupation licences.


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8.3 Valuation and Related legal Issues

The valuation practice in Kenya is governed by the Valuers Act Cap 532, which provides for a Valuers Registration Board that regulates the activities and conduct of registered valuers. Valuers in Kenya are registered upon application to the Board and are required to be full members of the Institution of Surveyors of Kenya (ISK). The Act governs the formation and composition of valuation practices including the qualification of partners and directors in charge of valuation. The Board also deals with discipline and complaints in respect to valuation practice. Other statutes that govern valuation are the Government Lands Act Cap 280 that regulates the valuation for land rent while valuation for rating is governed by the Rating Act Cap 267. Land Acquisition Act Cap 295 governs valuations for compulsory acquisition purposes.

8.4 World Bank Safeguard Policies relating to Relocation and Resettlement

i Involuntary Resettlement: OP/BP 4.12

The Bank's Operational Policy 4.12: Involuntary Resettlement is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts.

It promotes participation of displaced people in resettlement planning and implementation, and its key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects.

Bank experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, social, and environmental risks: production systems are dismantled; people face impoverishment when their productive assets or income sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished


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or lost. This policy includes safeguards to address and mitigate these impoverishment risks.

Currently there is no existing PAP and equally no displacement anticipated hence no involuntary resettlement.

ii. Indigenous People: OP/BP 4.10-

The World Bank policy on indigenous peoples, OP/BP 4.10, Indigenous Peoples, underscores the need for Borrowers and Bank staff to identify indigenous peoples, consult with them, ensure that they participate in, and benefit from Bank-funded operations in a culturally appropriate way - and that adverse impacts on them are avoided, or where not feasible, minimized or mitigated.

This policy contributes to the Bank's mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples. For all projects that are proposed for Bank financing and affect Indigenous Peoples, the Bank requires the borrower to engage in a process of free, prior, and informed consultation. The Bank provides project financing only where free, prior, and informed consultation results in broad community support to the project by the affected Indigenous Peoples.

There are no PAPs in the project area hence this policy (Indigenous People: OP/BP 4.10) will not be triggered.

iii. Comparison of GoK Constitution to World Bank OP 4.12

As shown in the description of the Kenyan Constitution and in the legislation and laws, generally there has been a focus on the provision of privately defined land titles. In Kenya, only 15 percent of the national lands are titled. There are many other forms of land ownership, lease, or use. The consistency of provisions in the draft Guidelines on Resettlement and Evictions (May 2010) with those of the World Bank’s Operational Policy 4.12 on Involuntary Resettlement (OP4.12) shows that land and assets are defined in Kenya differently in terms of occupancy rights, anti-eviction rights, adverse possession, unregistered leases and rentals. OP 4.12 requires that affected communities be consulted regarding project implementation and resettlement. Affected communities should also receive the opportunity to participate, implement, and monitor resettlement. In Kenya, conventional land registration (or titling) systems tend to be highly centralized and rely heavily on professionals, who are mostly based in the country’s


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capital city. Poorer and illegal occupants of lands do not have access to these professionals and are often left without title. The differences in approach vary largely in the application of the land tax and land registration (cadastral). Since majority of land occupants are non-titled within a county or municipality, the land tax system does not work in terms of tax parcels, tax records, and tax procedures which often make the census-taking of project affected persons (PAPs) as defined in the Bank’s OP4.12 more orderly. This becomes problematic in squatter settlements or in protected forests where some evictions of vulnerable (indigenous) groups have allegedly taken place. Finally, there is also no provision in the laws of Kenya that the state should attempt to minimize involuntary resettlement however in this circumstance the World Bank guidelines on involuntary resettlement will supersede and hence apply in its entirety. (See annex 1 for the equivalency matrix). 9. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF

AFFECTED PEOPLE There is need to carry out a census to identify the persons who will be affected by the project to determine who is eligible for assistance and benefits, and to discourage inflow of ineligible people. The consultant will assess the level of asset loss as either temporary or permanent and assign economic values to them. To effectively do this the survey will undertake asset inventory survey for PAPs. This will be done through interviews, group discussions and review of existing documentary evidence (such as permits and licenses) for assets to be lost in road improvement project. There will be a review of whether the asset is individually owned or belongs to a group. The involuntary taking of land results in: Relocation or loss of shelter, loss of assets or access to assets or loss of income sources or means of livelihood, whether or not the PAPs must move to another location or not. Therefore meaningful consultations with the affected persons (directly and through representatives), local authorities and appropriate NGOs allows for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. Eligibility criteria will also be determined by the status of development up to when the study starts and will further be determined by other development approval as issued by both central and local government offices. The key local authorities to be interviewed by the consultants will include District, Divisional and location government officials such as the District/ divisional agricultural


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officer, the District officers, chiefs and sub-chiefs. Other persons include: identified large and small-scale farmers, businessmen and businesswomen, women leaders and other leaders of social groups. Displaced persons may be classified in one of the following three groups:

a. Those who have formal legal rights to land (including customary ad traditional rights recognized under the laws of Kenya).

b. Those who do not have formal legal rights to land at the time the

census begins but have a claims to such land or assets- provided that such claims are recognized under the laws of the country or become recognized through an identified process.

c. Those who have no recognizable legal right or claim to the land

they are occupying. The process will involve review of tenure documents owned by occupants, interviews with households and groups in the affected area. Local authorities and central government’s ministry of Land concerned with land ownership and management will also hold the consultant. Persons covered in a) and b) are provided compensation for the land they lose, and other assistance ensuring that they are

i. Informed about their options and rights pertaining to resettlement.

ii. Consulted on, or offered choices among, and provided with technically and economically feasible resettlement.

iii. Provided prompt and effective compensation at full replacement

cost for losses of assets attributable directly to the project. Land for land compensation will be applied to PAPs who might lose their land Persons covered under c) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the policy objectives, if they occupy the project area prior to the cut off date. Persons who encroach on the area after the cut off date are not entitled to compensation or any other form of resettlement assistance. All persons affected by the project are provided compensation for loss of assets other than land.


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There will therefore be a package of compensation and other resettlement measures to assist each category of eligible displaced persons to achieve the objectives of the policy. Eligibility criteria will also be determined by: 1) Loss of property: This includes loss of: houses, crops and trees,

structures, fixed improvements, businesses which should be compensated at market valuation, negotiated settlements, productivity valuation, material and labor valuation. In cases where the loss is partial then disposition of salvage material will be exercised. Cash payments may also be made if a small fraction of property is lost instead of replacing the whole property, but if the partial loss results in the PAPs not being economical viable then the property is replaced. Those who loose houses will also be assisted with temporary residence (if necessary).

2) Loss of wages and income: These are persons who will loose their

income due to the project. Workers losing employment in the process of relocation should be entitled to transitional income support. Compensation equivalent to lost income required for the duration of impact should be paid to the latter.

In addition, PAPs will be entitled to transitional assistance, which include moving expenses, temporary residence (if necessary), and employment in the project while waiting employment. In difficult cases, local authorities such as chiefs may be used to judge eligibility as well as village committees. Cut off dates are essential in the process of drawing up lists to ensure that ineligible persons do not take the opportunity to claim eligibility. The cut off date for this project has been determined as September 15, 2003, making anyone who makes a claim for loss of land or any assets after this date ineligible for expropriation/compensation. It is also important to note that the eligibility may be claimed collectively e.g., as a community or religious group and does not necessarily have to be individuals or families. 10. GENERIC ASPECTS OF THE IMPLEMENTATION SCHEDULE,

INCLUDING HOW RESETTLEMENT WILL BE LINKED TO CIVIL WORKS

The social impact assessment will be conducted parallel with the design of the master plan for the road so as to determine the number of PAPs and to


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assess demand of needs of the displaced persons. The needs are such as, housing, water, health facilities and sanitation. Target dates for achievements of expected benefits to resetlers and hosts are to be set. Disseminating various forms of assistance to them will be done. Planning and coordination of the tasks of the various actors is key to successful implementation. To achieve this goal, workshops will be organized with the stakeholders and other relevant government agencies, at project launching and at the commencement of every subproject identified to have adverse social impacts. The stakeholders will be requested to participate in the decision making process and provide inputs in the area of their expertise in order to establish a coherent work plan or schedule. PAPs will also be consulted with the aim of obtaining their positions on issues at stake. The requirements of their work/programs/business activities will be incorporated in the expropriation/compensatory plans. The workshops will focus on:

Taking stock of the legal framework for compensation. Settling institutional arrangements and mechanisms for payment of

compensation. Defining tasks and responsibilities of each stakeholder and Establishing a work plan.

A month-wise implementation schedule of activities is to be undertaken and will be a topic of discussion at the next workshop. This way, they will be able to feed back on the implementation process, any curative measures or improvements. The project staff /local authorities/consultants will conduct this under the leadership of a resettlement expert. 11. GRIEVANCE REDRESS MECHANISMS Grievances may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation. Compensation committees including representatives of PAPs will establish the compensation rates. During the initial stages of the valuation process, the affected persons are given copies of grievance procedures as a guide on how to handle the grievances. The process of grievance redress will start with registration of the grievances to be addressed for reference, and to enable progress updates of the cases.


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The project will use a local mechanism, which includes peers and local leaders of the affected people. These will ensure equity across cases; they eliminate nuisance claims and satisfy legitimate claimants at low cost. The response time will depend on the issue to be addressed but it should be addressed with efficiency. Compensation will be paid to individual PAPs only after a written consent of the PAPs, including both husband and wife. Should a PAP refuse the compensation suggested, he/she could appeal to the County Councils. A technical committee of regional development at the district level will first revise his/her case. Then the committee will draft its inclusions and submit them to the District board for deliberation in the aim of settling the differences. And when these have failed the individual PAP has the right to take his case to the civil courts for litigation. . 12. METHODS FOR CONSULTATION WITH, AND PARTICIPATION OF

AFFECTED PEOPLE The involvement of involuntary resetlers and hosts in planning prior to the move is critical. Initial resistance to the idea of involuntary resettlement is to be expected. To obtain cooperation, participation, and feedback, the affected hosts and resetlers need to be systematically informed and consulted during preparation of the resettlement plan about their options and rights. They will also be able to choose from a number of acceptable resettlement alternatives. Particular attention must be given to vulnerable groups such as indigenous people, ethnic minorities, the landless, and women to ensure that they are represented adequately in such arrangements.

The plan should address and mitigate the resettlement’s impact on host populations. Host communities and local governments should be informed and consulted. Any payments due the hosts for land or other assets provided to resetlers should be promptly rendered. Conflicts between hosts and resetlers may develop as increased demands are placed on land, water, forests, services etc., or if the resetlers are provided services and housing superior to that of the hosts. Conditions and services in host communities should improve, or at least not deteriorate. Providing improved education, water, health and production services to both groups fosters a better social climate for their integration. In the long run, the extra investment will help prevent conflicts and secure the project’s aim. Successful resettlement requires a timely transfer of responsibility from settlement agencies to the resetlers themselves. Otherwise, a dependency relationship may arise, and agency resources may become tied up in a limited number of continually supervised schemes. Local leadership must be


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encouraged to assume responsibility for environmental management and infrastructure maintenance. Relocating or compensating people implies communication or dialogue with the stakeholders. The consultation and participation process will include

i. Data collecting ii. Preparation and collecting operation iii. Implementation of operation iv. Monitoring and evaluation. The project will coordinate all four operations.

Data collecting phase After familiarizing themselves with the project area through reading and consultations with the Ministry of Roads, Public Works and Housing officials, the consultants will design appropriate questionnaires intended for data collection at corridor section levels. The levels will vary from households to community groups, based on the TOR. The consultant will design questionnaires for data collection from various households, organizations and institutions such as women groups, farmers’ associations, individual farm units, primary and/or secondary schools, health centers and agricultural cooperative unions or individual farm units, depending on the nature of information source. All the actors will constitute the main taskforce in the collecting phase. PAPs will be consulted to participate in the data-collecting phase by providing socio-economic information about their livelihoods. This could be done through use of forms, questionnaires and interviews. Persons or groups of persons at the corridor sections, location, village levels, or household levels to be interviewed will also be identified and selected through stratified random sampling. Those to be interviewed include:

Those directly affected by physical works 30 households for each road section

The PAPs will be consulted through “town hall” meetings at municipalities and other local government facilities to share information about the project, discuss social impacts of project operations and the mitigation measures suggested. The contribution of the PAPs will be integrated into the subproject implementation process, from planning to evaluation. Furthermore, data


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about socio-impacts of the subprojects and the mitigation measures suggested will be provided to local newspapers and radio stations. The data – collecting phase includes three major processes:

a) Preparation of resettlement/ rehabilitation policy framework, which sets many parameters which resettlement, will be carried out.

b) Execution of the small impact assessment (to be initiated/completed at

project launching)

c) Establishment of the presumed RAP (to be completed before civil works)

The data collected will serve as instruments for the monitoring if the social mitigation measures.

Implementation operation

During implementation, the PAPs will need to be informed about their rights and options, at which point they will have their say and discuss matters that need clarification. Cash compensation amount and size of land offered for compensation will be presented to each eligible PAP (husband and wife) for consideration and endorsement before cash payment or land compensation can be effected. A committee of peers will be set up for grievance redress.

Monitoring and evaluation phase The PAPs representatives will participate in the project completion workshops, to give their evaluation of the impacts of the effects of the project. They are also to suggest corrective measures, which may be used to improve implementation of other subprojects. After completion of all expropriation/compensation operations, the PAPs will be consulted in a household survey

13 INSTITUTIONAL FRAMEWORK The project is under the administrative authority of the Ministry of Finance. Policy and strategic decisions about the subprojects are however made by a consultative body, constituted of:

Ministry of Finance Ministry of Lands and Settlement (Physical Planning Department) Ministry of Roads,


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Ministry of Public Works Ministry of Housing Ministry of Local Governments Ministry of Transport Kenya Civil Aviation Authority Kenya National Highways Authority Kenya Urban Roads Authority Kenya Rural Roads Authority Kenya Roads Board National Construction Authority Engineers Registration Board. The Local Authorities involved are City Council of Nairobi

These make decisions about the policy direction of the project and subprojects. The execution of the project is delegated to the project coordination office constituting of sector specialties such as the Department of Physical Planning and supported by a technical advisory body made up of the experts such as chief roads engineer, chief construction engineer, director of surveying and the chief valuer. The members of the advisory body are composed of directors of relevant ministries. Project operations regarding resettlement/ rehabilitation will be coordinated and monitored by the coordination office. The local authorities will also assist them. These will be provided with the adequate resources for capacity building inclusive of training and funding. The office of studies and planning at the Ministry of Agriculture will effect the valuation of crops and trees. The Ministry of Public Works and Ministry of Housing, will conduct the valuation of houses. City council will effect payment of compensation. 14 MAINSTREAMING GENDER ISSUES IN THE TRANSPORT SECTOR

SUPPORT PROJECT Consultants special focus groups discussions with women groups, will address these issues. Community Based Organizations that address women issues in the transport sector support area, central and local government officials. Some issues will be addressed through the household questionnaire. These will include:

Access to health centers for those who are pregnant and in need of antenatal care and those who require postnatal care as well as for their young children.

The relocation considers water supply and fuel for various domestic

purposes. Environmental management will also provide benefits in


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the long term (compensatory a forestation) as it replaces and replenishes forests that are essential for water and firewood.

Accessibility of schools. This especially affects the primary school

enrolment with the girl-child being most affected. Accessibility to schools will ensure that enrolment is made easy as well as reduce the school dropout rate (the girl-child will be able to finish her chores and be able to make it to school on time ensuring that she doesn’t drop out of school).

Economic activities at the roadside that include small businesses e.g. selling of fish, vegetables and fruits, charcoal, and salons are run mostly by women. Many women will therefore suffer from loss of income and will be relocated considering the closeness to suppliers and customers. Sanitation facilities need to be looked into during relocation so as to avoid the spread of diseases. This is likely to happen if the area of relocation already has a vast population. Proper sanitation measures have been set up to cater for the population. These diseases would greatly impact negatively on the children. 15. RESETTLEMENT PLANNING Though there is no population being displaced, where large-scale population displacement is unavoidable, a detailed resettlement plan, timetable and budget will be developed. Resettlement plans should be built around development strategy and packages aimed at improving or at least restoring the economic base for those relocated. Experience indicates that cash compensation alone is normally inadequate. Preference should be given to land-based resettlement strategies for people dislocated from agricultural settings. If suitable land is unavailable, non-land-based strategies built around opportunities for employment or self-employment may be used. Socioeconomic survey Resettlement plans should be based on recent information about the scale and impact of resettlement on the displaced population, In addition to describing standard household characteristics, socio-economic surveys should describe (a) The magnitude of displacement; (b) information on the full resource base of the affected community; (c) the extent to which the groups will experience total or partial loss of assets; (d) Public infrastructure and social services that will be affected;(e) formal and informal institutions (such as community organizations, ritual groups etc.) that can assist with designing


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and implementing the resettlement programs; and (f) Attitudes on resettlement options. Socio-economic surveys, recording the names of affected families, should be conducted as early as possible to curtail inflows of populations ineligible for compensation.

Alternative Sites and Selection The identification of several possible relocation sites and the demarcation of selected sites is a critical step for both rural and urban resettlement. For land-based resettlement, the new site’s productive potential and location advantages should be at least equivalent to those of the old site. The World Bank encourages “land for land” as long as the replacement land is of equal quality to the lost land. In selecting the new relocation site, it is also important that the sources of other income generating to complement farm income are made accessible. The new site should provide comparable access to employment opportunities, infrastructure, services and production opportunities. Access to training, employment, and credit Normally, general economic growth cannot be relied upon to protect the welfare of the project-affected population. Thus, alternative employment strategies are needed for non-agricultural displaced farmers. Where feasible, new economic activities made possible by main investment requiring the displacement, vocational training, employment counseling, transportation to jobs, employment in the main investment project or in resettlement activities, establishment of industries, incentives for firms to locate in the area, credit and extension for small businesses or reservoir aquaculture, and preference in public sector employment are all considered in the areas where applicable. 16. ROADSIDE AMENITIES Roadside amenities are established primarily to meet the needs of the long distance traveler and are aimed at reducing fatigue related accidents whilst enhancing the total travel experience. Similarly, the roadside amenities are designed to act as centers for socio-economic activities that will benefit not only the road users but also local communities. It is therefore important to set in place and promote roadside amenities within the Northern Corridor Road Improvement Project so as to not only increase community awareness of the adverse effects of driver fatigue and encourage motorists to stop and rest between driving spells, but also spur social economic activities that benefit road users and local communities. In principal, the amenities include rest


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areas for motorists, heavy vehicles, service centers, truck stop, point of interest, pull-up areas, pedestrian walk paths, cyclist path, incident management centers, etc. Demand for such amenities will be established through conducting household surveys and focus group discussions with various community groups within the corridor. Motorists plying the corridor will also be interviewed so as to tap road user interests in the design for amenities. Roadside facilities will be improved to conform to the required standards. Promotional information, advertisement and educational programs within these areas will also be set up after assessing opinion of users and community groups. Such information centers will include peer counseling services and information dissemination on HIV/AIDS considering that corridor transportation activities have been empirically associated with the spread of HIV/AIDS to local community by travelers and vice versa. Sections of the road that need pedestrian and cyclist’s paths as well as safety and security measures along the market areas (iron barriers, safe parking lots, protective cement brick etc) will be designed and developed. This development of road signage will be done through the use of participatory methods such as focused group discussions with community groups, user groups, and community leaders among others. In all cases above the consultant will use participatory methods that are appropriate for collection of the above information and development of requested strategies as per the TOR. In which case, focussed group discussions with local community PAPs, public hearings, key informants, use of mapping and ranking are invaluable.

Shelter, infrastructure and social services To ensure the economic and social viability of the relocated communities, the need for adequate resources will be evaluated especially to provide shelter, infrastructure (e.g. Water supply, feeder roads) and social services (e.g. Schools, healthcare centers). Site development, engineering, and architectural designs should be prepared for shelter, infrastructure, and social services. Community or self- built housing, provision of a building site with suitable infrastructure, model plans, building materials, technical assistance, and “construction allowances” (for income foregone while resetlers built their houses) is an option communities should be offered. Planning for shelter, infrastructure, and services will take into account population growth.


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17 ENVIRONMENT PROTECTION AND MANAGEMENT The screening process for an environment assessment (EA) normally classifies projects involving involuntary resettlement as category A.13 The EA of the main invesment requiring the rresettlement should thus cover the potential environmental impacts of the resettlement. The resettlement plan is developed in coordination with the EA and defines the boundaries of the relocation area, and calculates the incremental population density per land unit. If the incoming resettled population is large in relation to the host population such environmental issues as deforestation, overgrazing, soil erosion, poor sanitation and overgrazing are likely to become serious.

Thus plans should either include appropriate mitigating measures, including training of resetlers, or allow for alternative sites to be selected. Urban resettlement raises other density–related issues (e.g. transportation capacity, access to portable water, sanitation systems, health facilities etc) Constructive environmental management provided through the EA mitigation plan, may provide good opportunities and benefits to resetlers and host populations alike (e.g., Project-financed compensatory a forestation not only replaces the forest submerged by reservoirs but also offers gainful employment). If the likely consequences on the environment are unacceptable, alternative and /or additional relocation sites must be found.

18. PROJECT LAUNCHING At project launching, an assessment of the social impacts of each subproject will be conducted. Particularly for subprojects presumed to induce extensive adverse social impacts. The assessment will help to: (1) determine which mitigation measures to be taken; (ii) establish whether or not detailed resettlement action plans with timetables and budgets should be prepared. Terms of reference (TOR) for the assessments will be drafted by the consultants. Issues to be addressed by the Social Impact Assessment (SIA) will include: demography; land tenure; socioeconomic structures, consultations with local authorities and with the PAPs. A key task to be conducted under this process is a household survey describing the extent of the social impacts. The social survey should contain general house hold data such as: family size, gender and age information; education; occupation; land ownership, tenure arrangements and so forth. The survey would estimate the extent to which the affected families will experience loss of assets, including control over resources, as well as infrastructure and social services available and disturbed. The survey should further describe local organizations and institutions, village councils, religious


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groups etc., which could later participate in planning and implementing and resettlement options. Expected changes in demography and health impacts should also be addressed. At this stage, all PAPs will be listed in order to avoid an influx of people trying t take advantage of the compensation and rehabilitation. A cut off date is proclaimed. That means, a date from which eligibility for compensation will be terminated. New inhabitants coming to the project affected areas will not be considered for compensation. Closely linked to land acquisition is involuntary resettlement. The loss of land often implies that those who lived on the land need to be relocated or resettled. A critical task of the SIA will be to identify new land for those PAPs who will loose their land. The principles of compensation/rehabilitation will be triggered wherever there will be land acquisition and adverse social impacts. Should however the SIA findings reveal that more than 200 people are affected by a subproject, a RAP will have to be prepared. 18.1 Implementation schedule

The timing of the resettlement should be coordinated with the implementation of the main investment component of the project requiring resettlement. All resettlement plans should include an implementation schedule for each activity covering initial baseline and preparation, actual relocation, and post relocation economic and social activities. The plan should include a target date when the expected benefits for resetlers and hosts would be achieved.

Arrangements for monitoring implementation of resettlement and evaluating its impact will be developed during project preparation and used during supervision. Monitoring provides both a warning system for project managers and a channel for the resetlers to make known their needs and their reactions to resettlement execution.


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19 MONITORING AND EVALUATION Monitoring and evaluation will be continuous processes. The Project staff and Consultants will continuously take stock of all expropriation/compensation reports and discuss the outcomes in technical meetings. The financial unit under the Ministry of Finance will directly monitor compensation and loss of wages. The technical advisory body will review project activities, including social mitigation measures and providing guidance. For each subproject with adverse social impacts, a monitoring and evaluation plan of the mitigation measures will be established.

The physical works unit of the project will organize project completion workshops with government agencies and NGOs after completion of the compensatory/expropriation operations, but prior to the closure of the mitigation measures. The NGOs and government agencies are to visit the subprojects and report on the progress of resettlement. Representatives of the PAPs will also be involved in these workshops. The aim of the exercise is to assess progress in the operations executed, suggest corrective measures where needed and solve issues. This will then be fed back into project implementation. After the completion of all expropriation/compensation operations, a household survey will be conducted. The aim of the survey is to assess the impacts of the social mitigation and measures implemented Likewise the local governments with PAPs will be consulted to provide their assessments of the impacts of social mitigation measures applied. The findings of the survey and the workshops will be presented in the project completion report, which will be established by the infrastructure unit of the project and summarized in a report to the project managers and the World Bank.

19.1 Key Performance Indicators Monitoring and evaluation will be done focusing on the following key performance indicators:

Travel time:

The implementation of the project will go a long way in reducing the time spent traveling on the road. Vehicle operating costs Road conditions contribute substantially to higher transport costs, due to higher vehicle operating costs. After the project implementation, mobility efficiency is expected to increase with reduced travel time as well as the fuel consumption for the cars using the corridor. The rate


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of replacement for vehicle spare parts will also reduce, as the vehicles will not be subject to poor road conditions currently being experienced in the corridor. Fares The improved road will allow for more trips for the public transport vehicles but with lower vehicle operating costs resulting to considerably lowering fares. Greater accessibility will also open up other routes which were previously not served by passenger transport operators. Prices of goods A market survey will be carried out to find out the effect of improved road conditions and provision of road side amenities along the corridor. Access to other production areas will increase availability of goods and the effect of this will be reduction in prices of goods. This accessibility will also strengthen competitive trading as there will be greater trade opportunities, locally and outside the corridor. AADT (Annual Average Daily Traffic) The number of cars using the route will increase as drivers choose to use the corridor because of improved road conditions and development of road side amenities which are also expected to enhance faster and safer mobility along the corridor. Markets emerging along the road New businesses will start along the roads, due to increased accessibility. The project proposes the development of roadside amenities (including markets) to enhance mobility efficiency and safety for all road users. Land use developments It will be expected that more land use development will occur near the road. New schools, hospitals and recreational areas will need other supporting infrastructure (such as telephones, electricity, water etc) and will therefore increase the already existing infrastructure and service base along the corridor. Interviews with developers and Local authorities approving land use will assist in evaluating this. Land values Improvement of road conditions indeed increases accessibility to trade areas such as the port and other activity areas (schools and recreation areas). This will in turn increase the land development potential along the corridor hence increased land values. To


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determine the effect on land value, interviews will be conducted with land agents and landowners to establish changes in land values. Types of goods in the market It’s expected that a greater variety of goods will be found in markets along the improved corridor sections as a result of improved access to more production areas as well as more markets. Greater variety and quantity of goods found in markets could play a major role in lowering overall cost of produce. This evaluation will be done by use of market survey tools. Earning levels Developments in the form of industries and businesses along the project sections of the corridor are expected to reduce the rate of unemployment in these areas. Secondly, roadside are expected to record higher incomes due to higher profit margins brought about by lower transport costs. Development will also provide an alternative to employment due to business opportunities brought about by availability of other infrastructure such as telephones, electricity, warehouses and depots. Generally, the standards of living of the people along the corridor are expected to improve. Road Safety Road accidents in Kenya are a major source of deaths and disability. The accident statistics in Kenya are very high. With the development of roadside amenities primarily developed to reduce driver fatigue related accidents in long distance traveling, accidents are expected to reduce. Such amenities include rest areas for motorists, heavy vehicles parking zones, service centers (fuel stations where they can stop for fuel or repairs) and pull up areas. Drivers are encouraged to stop after long driving spells. Road signage, pedestrian paths and cyclist paths are proposed also as other ways of reducing road accidents. The effect of the project on road accidents will be evaluated by looking at the local police records on the number of accidents occurring since project implementation. Attitudes and practices of the road users especially drivers and locals will also be monitored.

Quarterly project progress reports will include a section on progress made regarding mitigation of adverse social impacts. The reports will be quarterly.

19.2 External monitoring and evaluation

External monitoring will be conducted through the World Bank supervision missions. Classic supervision mission (twice a year) will, however not be


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sufficient to monitor progress in the mitigation of adverse social impacts. Supervision missions should be coupled with capacity building inputs from resettlement experts. This would ensure documentation of: progress made; local analytical capacity building and proper documentation of operations executed and the progress made. Before closure of the mitigation of adverse social impacts, the project will engage Consultants to conduct an evaluation of the mitigation measures executed. The evaluation report will be used as a planning instrument to correct pending issues and suggest a post monitoring period with the aim of ensuring that PAPs are not impoverished by project operations.


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Annex 1 Kenya Equivalency Table I. Table I: Comparison of Kenyan and World Bank Policies on Resettlement and Compensation1

Types of Affected Persons/ Lost Assets

Kenyan Law World Bank OP4.12

Comparison/Gaps

Section I: Property and land rights Land Owners There are two systems of

substantive land law, three systems of conveyances, and five systems of registration. The two systems of substantive law are under: (i) the Indian Transfer of Property Act 1882 as amended by 1959 Amendment Act; and (ii) the Registered Land Act. The three systems of conveyances are those applicable to land registered under: (i) Government Lands Act Chapter 280, part X Laws of Kenya and Land Titles Act Chapter 282,

Through census and socio-economic surveys of the affected population, identify, assess, and address the potential economic and social impacts of the project that are caused by involuntary taking of land (e.g., relocation or loss of shelter, loss of assets or access to assets, loss of income sources or means of livelihood, whether or not the affected person must move to another location) or involuntary restriction of access to legally designated parks and protected areas

Kenya has no specific legislation that explicitly addresses the issues of involuntary resettlement or forced evictions. There are laws and legislations that have provisions referring to resettlement but they vary in substance and process.

1 Source: Safeguards Diagnostic Review for Piloting the Use of Kenyan Systems to Address Environmental Safeguard Issues in the Proposed World Bank-Assisted Kenya Energy Development and Access Project (GEDAP), December 2006


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I. Table I: Comparison of Kenyan and World Bank Policies on Resettlement and Compensation1



Comparison/Gaps

Part III Laws of Kenya; (ii) Registration of Titles Act; and (iii) Registered Land Act. The five registration systems are those under the: (i) Government Lands Act ; (ii) Registration of Titles Act; (iii) Land Titles Act; (iv) Registration of Documents Act Chapter 285 Laws of Kenya; and (v) Registered Land Act.

Land-for-land exchange is the preferred option; compensation is to be based on replacement cost.

Land Tenants/Squatters Rentals and leases are valued separately. Landlord and Tenant (shops, hotels, catering, small businesses) Cap 301 Section 4 of the Act provides that: (i) notwithstanding the provisions of any other written law or anything contained in the terms and conditions of a controlled tenancy, no such tenancy shall terminate or be terminated, and no term or condition in, or right or service enjoyed by the tenant

For those without formal legal rights to lands or claims to such land that could be recognized under the laws of the country, the government should provide resettlement assistance in lieu of compensation for land, to help improve or at least restore those affected persons’ livelihoods

Those without formal legal rights or claims to such lands are not entitled to be resettled or compensated.


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Comparison/Gaps

of, any such tenancy shall be altered, otherwise than in accordance with the following provisions of this Act; (ii) a landlord who wishes to terminate a controlled tenancy, or to alter, to the detriment of the tenant, any term or condition in, or right or service enjoyed by the tenant under, such a tenancy, shall give notice in that behalf to the tenant in the prescribed form;

Land Users Sections 117 and 118 cover expropriation of unregistered trust lands. Parliament may empower a county council to set apart trust land for: (i) the use and occupation of any public body or authority for public purposes; (ii) prospecting or mining purposes; or (iii) the use and occupation of any person or persons for a purpose which is likely to benefit the residents of the area. Trust lands refer to that land that is still under African

Identify and address impacts also if they result from other activities that are: (a) directly and significantly related to the proposed project, (b) necessary to achieve its objectives, and (c) carried out or planned to be carried out contemporaneously with the project.

No equivalence between Bank and Kenyan systems for identifying and addressing impacts resulting from project related activities.


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Comparison/Gaps

customary tenure. The title of this land is said to vest in the Country Council in trust for its inhabitants, hence the term “Trusts” (Land Acquisition Act Chapter 288).

Owners of non-permanent buildings

There are no specific provisions in Kenyan law and regulation dealing separately with non-permanent buildings.

For those without formal legal rights to lands or claims to such land or assets that could be recognized under the laws of the country, Bank policy provides for resettlement assistance in lieu of compensation for land, to help improve or at least restore their livelihoods.

Owners of permanent buildings There are no specific provisions in Kenyan law and regulation dealing separately with permanent buildings.

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

Section II: Resettlement and Compensation Process Timing of compensation payments

“Provision is made by a law applicable to taking of possession or acquisition for the prompt payment of full

Implement all relevant resettlement plans before project completion and provide resettlement entitlements before

There is no equivalence on implementing all relevant resettlement plans before project completion or on providing


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compensation” (Government Lands Bill, 2001)

displacement or restriction of access. For projects involving restrictions of access, impose the restrictions in accordance with the timetable in the plan of actions.

resettlement entitlements before displacement or restriction of access.

Calculation of compensation and valuation

According to the Land Acquisition Act Chapter 295 Section 10, the Collector of Compensation inspects the affected land and values it for compensation. After the inquiry, the Collector will issue an award depending on his own assessment. The award is issued in a prescribed form, together with a statement form. The prescribed form indicates the amount of compensation awarded, while the statement gives the landowners the option of acceptance or rejection of the award. If the land owner accepts the award, the collector will issue a cheque in settlement together with a formal “Notice of Taking Possession and Vesting” (Section

Bank policy requires: (a) prompt compensation at full replacement cost for loss of assets attributable to the project; (b) if there is relocation, assistance during relocation, and residential housing, or housing sites, or agricultural sites of equivalent productive potential, as required; (c) transitional support and development assistance, such as land preparation, credit facilities, training or job opportunities as required, in addition to compensation measures; (d) cash compensation for land when the impact of land acquisition on livelihoods is minor; and (e) provision of civic infrastructure and community services as required.

There are no equivalent provisions on relocation assistance, transitional support, or the provision of civic infrastructure.


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19). Compensation is based on the market value for private land (Section 19).

Relocation and resettlement The Registered Land Act Chapter 300 provides for the absolution proprietorship over (exclusive rights) by the state, and such land can be acquired by the land under the Land Acquisition Act in the project area. Furthermore, the Land Adjudication Act Chapter 95 provides for ascertainment of interests prior to land registrations under the Registered Lands Act.

To avoid or minimize involuntary resettlement and, where this is not feasible, to assist displaced persons in improving or at least restoring their livelihoods and standards of living in real terms relative to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher

Kenyan laws do not appear to make provisions for avoidance or minimizing of involuntary resettlement

Completion of resettlement and compensation

According to the new Constitution, “every person having an interest or right in or over property which is compulsorily taken possession of or whose interest in or right over

Implement all relevant resettlement plans before project completion and provide resettlement entitlements before displacement or restriction of access. For projects involving

There is no equivalence between Kenyan law and World Bank policies on implementing relevant resettlement plans before project completion or on providing resettlement


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Comparison/Gaps

any property is compulsorily acquired shall have a right of direct access to the High Court for the determination of his interest or right, the legality of the taking of possession or acquisition of the property, interest or right, and the amount of any compensation to which he is entitled;

restrictions of access, impose the restrictions in accordance with the timetable in the plan of actions.

entitlements before displacement or restriction of access.

Livelihood restoration and assistance

There are no specific provisions for livelihood restoration, but references are made to some for of assistance.

Livelihoods and living standards are to be restored in real terms to pre-displacement levels or better

Kenyan policy and legislation would need to be aligned with Bank policy to effectively guarantee rights of all affected persons of involuntary resettlement

Consultation and disclosure Land Acquisition Act Cap 295, Section 3 also provides that: “Whenever the Minister is satisfied that the need is likely to arise for the acquisition of some particular land under section 6, the Commissioner may cause notice thereof to be published in the Gazette, and shall deliver a copy of the notice to every

Consult project-affected persons, host communities and local NGOs, as appropriate. Provide them opportunities to participate in the planning, implementation, and monitoring of the resettlement program, especially in the process of developing and implementing the procedures for determining eligibility for compensation

Even though notices are made in the Gazette, the practice has been that where a mitigation plan affects local communities, proceedings are conducted in the local language. This is significant considering the composition of those most likely to be affected (e.g. squatters).


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person who appears to him to be interested in the land.”

benefits and development assistance (as documented in a resettlement plan), and for establishing appropriate and accessible grievance mechanisms.

Section III: Dispute Resolution Grievance mechanism and dispute resolution

Grievance procedures may be invoked at any time, depending on the complaint. No person or community from whom land or other productive assets are to be taken will be required to surrender those assets until any complaints s/he has about the method or value of the assets or proposed measures are satisfactorily resolved.

Establish appropriate and accessible grievance mechanisms