operational policy 0p 4.12 involuntary resettlement radhika srinivasan, ecssd
TRANSCRIPT
OPERATIONAL POLICY 0P 4.12OPERATIONAL POLICY 0P 4.12
INVOLUNTARY INVOLUNTARY RESETTLEMENTRESETTLEMENT
Radhika Srinivasan, ECSSDRadhika Srinivasan, ECSSD
Outline of the PresentationOutline of the Presentation
Triggers of the PolicyTriggers of the Policy ObjectivesObjectives Scope and CoverageScope and Coverage Required Resettlement MeasuresRequired Resettlement Measures Eligibility CriteriaEligibility Criteria Resettlement Planning Resettlement Planning
InstrumentsInstruments Bank and Borrower RolesBank and Borrower Roles
IMPACTS THAT TRIGGER OP IMPACTS THAT TRIGGER OP 4.124.12
OP/BP 4.12 is triggered when a Bank OP/BP 4.12 is triggered when a Bank investment causes investment causes
Involuntary taking of land that results in Involuntary taking of land that results in direct social and economic impacts such as:direct social and economic impacts such as:
Loss of shelter leading to relocationLoss of shelter leading to relocation
Loss of assets or access to assetsLoss of assets or access to assets
Loss of income sources or means of livelihood (whether Loss of income sources or means of livelihood (whether
or not the affected persons must move to another or not the affected persons must move to another
location)location)
• Involuntary restriction of access to legally Involuntary restriction of access to legally designated parks and protected areas that designated parks and protected areas that result in adverse impacts on the livelihoods result in adverse impacts on the livelihoods of affected personsof affected persons
POLICY OBJECTIVESPOLICY OBJECTIVES
Avoid involuntary Avoid involuntary resettlement where feasible, resettlement where feasible, or minimize it, exploring all or minimize it, exploring all viable alternative project viable alternative project designs designs
Consult affected persons Consult affected persons meaningfully and provide meaningfully and provide opportunities to participate opportunities to participate in planning and in planning and implementing resettlement implementing resettlement programsprograms
Assist affected persons in Assist affected persons in their efforts to improve their their efforts to improve their livelihoods and standards of livelihoods and standards of living or at least to restore living or at least to restore them, in real terms, to pre-them, in real terms, to pre-displacement levelsdisplacement levels
SCOPE AND COVERAGE OF SCOPE AND COVERAGE OF OP.412OP.412
OP 4.12 applies to OP 4.12 applies to all all components of the projectcomponents of the project that that
require land take, regardless of the require land take, regardless of the source of financingsource of financing
other activitiesother activities requiring land take requiring land take that arethat are directly and significantly related to the directly and significantly related to the
Bank-assisted projectBank-assisted project necessary to achieve its objectives as set necessary to achieve its objectives as set
forth in the project documentsforth in the project documents carried out, or planned to be carried out, carried out, or planned to be carried out,
contemporaneously with the projectcontemporaneously with the project
IMPACTS COVERED BY OP4.12IMPACTS COVERED BY OP4.12yes or no?yes or no?
Business losses caused by rerouting Business losses caused by rerouting of road away from existing villageof road away from existing village
Loss of farmland inundated by a Loss of farmland inundated by a reservoirreservoir
Loss of jobs due to Bank-financed Loss of jobs due to Bank-financed privatization projectprivatization project
Loss of dwelling due to Loss of dwelling due to construction of a drainage canalconstruction of a drainage canal
Devaluation of property due to Devaluation of property due to Bank-financed solid waste dump Bank-financed solid waste dump nearbynearby
MITIGATION MEASURESMITIGATION MEASURES Inform affected Inform affected
persons about their persons about their rights/ options rights/ options pertaining to land pertaining to land acquisition/ acquisition/ resettlementresettlement
Provide prompt and Provide prompt and effective compensation effective compensation at full replacement at full replacement cost for losses of cost for losses of assets attributable assets attributable directly to the projectdirectly to the project
Provide resettlement Provide resettlement assistance for assistance for vulnerable affected vulnerable affected peoplepeople
MITIGATION MEASURESMITIGATION MEASURES Options can be “land Options can be “land
for land” if for land” if livelihoods land-livelihoods land-based; Cash possible based; Cash possible if land taken is a if land taken is a small fraction of the small fraction of the affected asset and affected asset and residual is viableresidual is viable
Link Compensation/ Link Compensation/ Resettlement Resettlement implementation to implementation to project timetableproject timetable
WHO IS ELIGIBLE?WHO IS ELIGIBLE?
The borrower carries out a census to identify The borrower carries out a census to identify those affected and eligible for assistance:those affected and eligible for assistance:
1. Those who have formal legal rights to land [compensation]
2. Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets [compensation]
3. Those who have no recognizable legal right or claim to the land that they are occupying [resettlement assistance]
RESETTLEMENT RESETTLEMENT INSTRUMENTSINSTRUMENTS
Resettlement (Action) Plan*Resettlement (Action) Plan*
When it is possible to determine scale of When it is possible to determine scale of adverse impacts and affected population adverse impacts and affected population during project preparation, prior to during project preparation, prior to appraisalappraisal
Abbreviated Resettlement Abbreviated Resettlement (Action) Plan(Action) Plan
When impacts are minor or if fewer than When impacts are minor or if fewer than
200 people are displaced200 people are displaced
* Or Land Acquisition (Action) Plan
RESETTLEMENT INSTRUMENTS RESETTLEMENT INSTRUMENTS cont.cont.
Resettlement Policy FrameworkResettlement Policy Framework
When not possible to identify precise siting ot possible to identify precise siting alignments or specific impacts/affected alignments or specific impacts/affected population during project preparation population during project preparation (financial intermediary operations, and (financial intermediary operations, and projects with multiple subprojects), projects with multiple subprojects),
A Resettlement Action Plan is prepared for A Resettlement Action Plan is prepared for each subproject that may involve land each subproject that may involve land acquisition, before the subproject is accepted acquisition, before the subproject is accepted for Bank financingfor Bank financing
Process FrameworkProcess Framework For projects involving restriction of access to For projects involving restriction of access to
resources in legally designated parks or resources in legally designated parks or protected areasprotected areas
No separate Resettlement Action Plan No separate Resettlement Action Plan requiredrequired
LEGAL AGREEMENTLEGAL AGREEMENT
The resettlement The resettlement instrument is included in instrument is included in the Legal Agreement the Legal Agreement between the Bank and the between the Bank and the BorrowerBorrower
RESPONSIBILITIESRESPONSIBILITIESBORROWER:BORROWER:
Prepare the Resettlement Prepare the Resettlement Instrument (Framework or Instrument (Framework or Plan)Plan)
Consult project affected Consult project affected personspersons
Disclose the draft Disclose the draft instrument as condition of instrument as condition of project appraisalproject appraisal
Disclose the instrument Disclose the instrument again after it is finalizedagain after it is finalized
Implement and monitor Implement and monitor the Resettlement Plan the Resettlement Plan
Final evaluation of the Final evaluation of the PlanPlan
BANK:BANK:
Provide advice during the Provide advice during the preparation of the preparation of the instrumentsinstruments
Review and approve the Plan Review and approve the Plan or Framework before or Framework before appraisalappraisal
Disclose draft instrument at Disclose draft instrument at the Infoshopthe Infoshop
Disclose final instrument Disclose final instrument again at the Infoshopagain at the Infoshop
Supervise regularly the Supervise regularly the implementation of the Planimplementation of the Plan
Include Resettlement Results Include Resettlement Results in the ICRin the ICR
RESETTLEMENT RESETTLEMENT POLICY FRAMEWORKPOLICY FRAMEWORK
What is a Land Acquisition/ What is a Land Acquisition/ Resettlement Policy Resettlement Policy
Framework ?Framework ?Specific impacts relating to land take not known in Specific impacts relating to land take not known in advanceadvance
Agreement between the Borrower and the WB: Agreement between the Borrower and the WB: involuntary land expropriation,involuntary land expropriation, will comply with will comply with national laws relating to land expropriation and World national laws relating to land expropriation and World Bank Operational Policy (OP) 4.12 on Involuntary Bank Operational Policy (OP) 4.12 on Involuntary Resettlement.Resettlement.
Underlying principle: avoid/ minimize Underlying principle: avoid/ minimize adverse adverse impactsimpacts
What is the purpose of the RPF?What is the purpose of the RPF?
Clarifies land acquisition principles and organizational arrangements
Ensures that where land acquisition is that where land acquisition is unavoidable, borrower willunavoidable, borrower will
consult project affected persons consult project affected persons
compensate for lost assets at replacement compensate for lost assets at replacement costscosts
provide assistance to improve/ restore provide assistance to improve/ restore livelihoods and standards of living to pre-livelihoods and standards of living to pre-displacement levels in the event of displacement levels in the event of displacementdisplacement
What are the contents of a RPF?
Description of project components which Description of project components which trigger land acquisitiontrigger land acquisition
Legal framework reviewing borrower laws Legal framework reviewing borrower laws and Bank policy requirements on and Bank policy requirements on expropriation expropriation
Methods of valuing assetsMethods of valuing assets Estimated land take/ population displacementEstimated land take/ population displacement Eligibility criteria and Entitlement MatrixEligibility criteria and Entitlement Matrix Organizational arrangements for the delivery Organizational arrangements for the delivery
of entitlementsof entitlements Description of consultation process, Description of consultation process,
grievance redress mechanisms, grievance redress mechanisms, arrangements for funding, timelinearrangements for funding, timeline
Monitoring arrangements by the PIUMonitoring arrangements by the PIU
What does a review of the Legal What does a review of the Legal Framework entail?Framework entail?
Borrower land acquisition laws and Borrower land acquisition laws and procedures and fit with OP 4.12 principlesprocedures and fit with OP 4.12 principles
Typical areas of differencesTypical areas of differences Assessment of land acquisition impacts Assessment of land acquisition impacts
through a census of those affected with socio-through a census of those affected with socio-economic data and an inventory of losses economic data and an inventory of losses
Compensation: Land-for-land or Cash?Compensation: Land-for-land or Cash? Scope for consultation?Scope for consultation? Methods for valuing assets?Methods for valuing assets? Approach to people without clear titles to land/ Approach to people without clear titles to land/
assets?assets? Income restoration measures?Income restoration measures?
Example: Entitlement Matrix
Impacts Entitlements< 50% of agricultural land lost
Cash compensation equivalent to market value
> 50% of land holding lost Cash compensation for the entire landholding + Relocation Assistance+ Income Support + +Job Training
Loss of houses and other structures (legal structures)
Undepreciated value of building in cash+ Right to salvage materials+ Moving Expenses
Trees and standing crops Cash compensation
Loss of structures for those without title to land or permits [Squatters]
No compensation for land. Undepreciated value of building in cash +Right to salvage materials+ costs of shifting + job placement, skills training
Example: Organizational Example: Organizational Arrangements Arrangements
Land Acquisition Activity
Responsible Institution
Assessment of Impacts & Inventory of Losses, Census of affected people
MoPW/ PIU
Valuation of Assets MPW assigns to Licensed Independent Valuation Experts
Consultations MoPW, PIU. Mayor of the LGU
Drafting the PF MoPW/ PIU
Compensation Payments MoF/ MoPW
Expropriation of Land Council of Ministers
Monitoring and Evaluation MoPW/PIU
Example: Grievance Redress Example: Grievance Redress MechanismsMechanisms
Grievances related to impacts Grievances related to impacts community community level, PIU, level, PIU, design consultants to find design consultants to find technical solutions. technical solutions.
Grievances related to compensation Grievances related to compensation amounts, delays in compensation payments amounts, delays in compensation payments PIU in liaison with the Municipalities. PIU in liaison with the Municipalities.
The Expropriation Law provides for an The Expropriation Law provides for an appeals process against the proposed award appeals process against the proposed award for compensation. for compensation.
Arbitration by NGOs.Arbitration by NGOs. Grievances through the court system.Grievances through the court system.
Example: Monitoring Arrangements (by PIU)Example: Monitoring Arrangements (by PIU)
Project Cycle Data for MonitoringSub- Project Application Land take for sub-projects; scale
of resettlement, if any.
Project Concept Development Technical & Social Review
Community consultations (date, # of participants, issues),
Abbreviated Resettlement Plan (ARP)
Data from census with inventory of assets lost by PAPs, entitlements, and socio-economic data,Dates of receipt, review, and approval by PIU of ARP,Dates of submission and approval by Bank of ARP Date of disclosure of ARP
Implementation Delivery of compensation Data on grievance redress
Post-Implementation Evaluation including assessment of economic rehabilitation/income restoration.