RP1 91

INVOLUNTARY RESETTLEMENT FRAMEWORK - ROADS SECTOR

(Final Draft)

November 2003

ENVIRONMENTAL MANAGEMENT UNITROADS DEPARTMENT

MINISTRY OF WORKS AND SUPPLYLUSAKA-ZAMBIA

I

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Table of Contents

1.0 INTRODUCTION AND BACKGROUND .............................................................................. 2

1 .1 BACKGROUND TO THE ROADS SECTOR. 2

1.2 ROADSIP II - THE PROGRAM. 3

1.3 RESETTLEMENT ACTIVITIES IN THE ROADS SECTOR - A BRIEF OVERVIEW .................. ........................ 6

1.4 OBJECTIVE OF THE GUIDELINES .............................................................................. 7

2.0 INSTITUTIONAL FRAMEWORK- CURRENT SET-UP ........................................... ..................... 8

2.1 GOVERNMENTDEPARTMENTS - POTENTIAL ROLES AND RESPONSIBILITIES ......... ....... 8

2.1.6 Private Sector Organisations ........................................ 1...................................... 1

2.2 ORGANISATIONAL FRAMEWORK-PROPOSED SET-UP ........................................................................... 11

3.0 LEGAL FRAMEWORK FOR RESETTLEMENT ISSUES IN ZAMBIA ..................................... 15

3.1 LEGAL FRAMEWORK FOR COMPULSORY ACQUISITION OF PROPERTY IN ZAMBIA ................................. 16

3.2 LEGAL FRAMEWORK FOR IMPACT ASSESSMENT IN ZAMBIA ........................................... ..................... 17

4.0 WORLD BANK SAFEGUARD POLICIES .............................................................................. 18

4.1 WORLD BANK OPERATIONAL POLICY ON INVOLUNTARY RESETTLEMENT ................. ........................ 18

4.3 A COMPARISON BETWEEN ZAMBIAN LEGISLATION AND WORLD BANK SOCIAL SAFE-GUARDS POLICY

O N R ESETT LEM EN T ......................................................................................................... 1 9

5.1 SOCIO-ECONOMIC SURVEY, ASSET INVENTORY AND VALUATION ......................... ............................ 20

5.2 PROJECT PREPARATION .............................................................................. 20

5.3 ASSESSING PROJECT IMPLICATIONS .............................................................................. 22

5.3.1 .SOCIO-ECONOMIC SUR VEY .............................................................................. 23

5.4 PROJECT IMPLEMENTATION .............................................................................. 25

6.0 CONSULTATION AND GRIEVANCE REDRESS MECHANISMS ............................................. 26

7.0 VALUATION PROCEDURE .............................................................................. 26

7.1 REPLACEMENT COST .............................................................................. 27

7.2 VALUATION INFORMATION/DATA ............................... ............................................... 27

7.3 COMPENSATION .............................................................................. 28

8.0 MONITORING AND EVALUATION ........................................ ...................................... 31

8.1 POST EVALUATION .............................................................................. 32

ANNEX I -THE RESETTLEMENT COORDINATOR ........................................................................ 34

ANNEX 11 (A) NATIONAL STEERING COMMITTEE ....................................................................... 35

ANNEX III: - SCREENING GUIDELINES FOR DEVELOPMENT PROJECTS IN THE ROADS

SECTOR ............................................................................... 37

ANNEX IV OUTLINE FOR RESETTLEMENT ACTION PLAN ..................... .......................... 48

ANNEX V: - PROJECT CYCLE FOR ROAD PROJECTS - CONTRACT PREPARATION AND

SUPERVISION ............................................................................................................. 52

ANNEX VI: - DEVELOPMENT APPROACH - ISSUES REQUIRED FOR CONSIDERATION.... 59

ANNEX VII: - SUMMARY BUDGET FOR RESETTLEMENT ............................... ........................... 62

1.0 INTRODUCTION AND BACKGROUND

1.1 Background to the Roads Sector

Zambia has an area of 753, 000 sq. km. with a total population in 1995 estimated at about

9.3 million inhabitants. The present state and future development of its economy is

supported by a multi-modal transportation system operated through various

infrastructures including roads, railways, airways, inland waterways, pipelines etc.

Zambia has 37,000 km of gazetted roads and 30,671 km of ungazetted roads classified as

feeder, national parks and estate roads. Approximately 21,000km of gazetted roads are

under the jurisdiction of the Roads Department in the Ministry of Works and Supply

(MWS) and the balance shared amongst City, Municipal and District Councils in the

Ministry of Local Government and Housing (MLGH) and the Zambia Wildlife Authority

in the Ministry of Tourism, Environment and Natural Resources.

The first three National Development Plans have focused on the construction of road

links to neighbouring countries and from provinces to the capital. The Fourth National

Development Plan (1989-1993) recognised the deterioration of the existing road network

as a major constraint to economic recovery.

Within the framework of the Fifth National Development Plan (1994-1998), the present

Government has embarked on an action plan for policy reform in the road sector based on

recommendations made by stakeholders at a seminar held in February 1993 within the

framework of Phase II of the Road Maintenance Initiative (RMI) under the sub-Saharan

Africa Transport Project (SSATP) supported by the World Bank.

Out of an analysis of various modes of transport in Zambia, a conclusion was made that

Zambia's road transport industry was the most viable transport mode. The total length of

designated roads is approximately 36 761 km with a breakdown by type as shown in table

1. There is an additional estimate of 30 000 km of un-designated roads.

Table 1: - Road Network by Road Types and total estimated length

Total Distance KM

Paved 6,476

Gravel 2, 260

Earth 28, 025

Total 36, 761

A large part of the main road network was constructed between 1965 and 1975. For a

long time, routine and periodic road maintenance had been neglected mainly due to a lack

of funding. For the paved network, in 1984 the proportion in good, fair, and poor

2

conditions was 40%, 30%, and 30% respectively. However, by 1995 these proportions

had worsened to 20%, 40% and 40% respectively. In addition, little or no maintenance

had been carried out on feeder roads and the condition of these roads is even worse.

The Roads and Road Traffic Act 464 of the Laws of Zambia has been the principal Act

relating to roads and motor traffic administration. Under the Act, MWS through the

Roads Department is responsible for the construction and maintenance of the primary

core road network comprising trunk, main and district roads. MLGH through City,

Municipal and District Councils is responsible for maintenance of other public roads such

as feeder, urban and rural roads. This Act has recently been updated as part of the

revision of institutional structures complementing the three new Parliamentary Bills

which have now created the National Road Fund Agency, the Road Development Agency

and the Road Transport & Safety Agency although details of the entities still have to be

established by an up-coming Institutional Study.

Since Independence in 1964, emphasis of both Government and donor funded road

projects was on opening new areas for communication and economic development

through construction of new roads. Little attention was paid to putting up a mechanism to

ensure sustainable maintenance of the newly constructed roads or indeed of the earlier

network . So much so that by the end of the seventies, although the road network was

valued at US $ 2.3 billion, only about 40-50% was in good condition. Funding of roads

during the eighties and early nineties averaged only 10-20 % of budgeted amounts and

this had an adverse effect on the condition of all roads. Owing to neglect of maintenance,

the value of Zambia's road network had shrunk to about US $ 1.5 billion by the start of

the nineties, with only about 20% of the road network in good condition. Road Agency

expenditures concentrated on capital projects, aimed at rehabilitating failed sections of

roads. Little or no maintenance was performed.

1.2 ROADSIP II- The Program

GeneralFrom an overall perspective, ROADSIP I, whilst providing some very significant

preliminary support to road infra-structural operations, can be viewed as being primarily

concemed with the "softer" aspects of donor support, with the creation of a more

effective managerial environment through the establishment of effective and accountable

road sector institutions.

The Road Sector Investment Programme is a ten-year programme aimed at rehabilitating

and maintaining the road network on a sustainable basis through Policy, Institutional,

Financial and Legal Reforms to provide the enabling environment for wealth creation.

Objectives of ROADSIP IThe overall goals and objectives of the ten-year Road Sector Investment Programme are

to:

(a) bring a core road network of 33,500km into a maintainable condition;

3

(b) bring the condition of the road network to at least 50% good and 10%

poor for all types of road;

(c) strengthen the technical and managerial capacity of road authorities;

(d) create employment opportunities in the road sector and alleviate poverty

through the creation of 30,000 new jobs in road maintenance;

(e) improve road safety and reduce road accidents by at least 20%;

(f) improve environmental management in the road sector through the

establishment of procedures and guidelines;

(g) provide an enabling environment for improved rural transport services

and increase the truck and bus fleet by at least 29% in rural areas; and

(h) develop a framework for the management of community roads and

promotion of community participation in road management.

The expected cost at the time of programme preparation was $860 million with slightly

under half of this total expended in the first five years.

In December 2000, a Mid Term Review Report was prepared by Consultants

commissioned by the Ministries responsible for the execution of ROADSIP. The major

findings of that report (with updated data where available and appropriate) are

summarised in this Chapter.

ROADSIP II is aimed at poverty reduction through improved accessibility and mobility.

ROADSIP II seeks to liberate the rural people from the tyranny of distance through improved

accessibility and free them from the shackles of imposed isolation through appropriate and

affordable means of transport at their disposal.

This will be achieved through improved rural accessibility and mobility at minimal cost to link

people to opportunities, resources and markets to create and facilitate self-development. The

expected outcome of the programme will be poverty reduction through food security and wealth

creation through self-reliance for sustainable economic growth.

ROADSIP I did not address feeder, tourist, and rural roads as well as mobility in rural areas and

pontoons and bridges adequately. The thrust of ROADSIP H will be development and

maintenance of a core road network from the village to the cities in order to ensure total

development of the road network as compared to isolated development of roads. It is for this

purpose that the entire road network is now being brought under one Road Development Agency

to ensure integrated management of the road network linking the farms to the markets. This

would mean the maintenance of footpaths, tracks and trails linking the villages by providing the

inter connectivity to the feeder, district, main, trunk, and urban roads. Under ROADSIP I there

was no such linkage which resulted in fragmented development of the road network thus failed to

facilitate balanced development in the country.

Food security is the driving force of wealth creation for poverty reduction. This demands

agricultural development. There can be no agricultural development without a good road network

particularly the rural road network, which should link to the main and trunk road network. This

ROADSIP Phase I: 1998-2002 Mid Term Review Report, December 2000

4

will be the main focus under ROADSIP II. ROADSIP II envisages that a good road network

create, facilitate and promote food security through agricultural development as the best approach

to poverty reduction in the country. This concept is consonant with the PRSP document where

the road sector is given the highest priority as the engine of economic development.

Besides improving accessibility and mobility in rural areas to create development, ROADSIP II

will improve the mobility of rural people through a revolutionary approach of empowering the

rural people to secure IMTs by each household based on their affordability and requirement.

ROADSIP II is based on the foundation that the ultimate and sustainable development of a

country is dependent on the empowerment of peasant farmers and rural people at the village level.

It is a document founded on bottom-up development for sustainability of each village and

household. This will be achieved under ROADSIP by creating the enabling environment at the

village level through improved accessibility and mobility to enable each household to become

self-sustaining by linking them to opportunity resources and markets.

With the establishment of the National Road Fund Agency, the Road Development Agency and

the Road Transport & Safety Agency, those "setting-the-scene" activities can be regarded as

being largely complete. The focus of ROADSIP II will therefore shift, to largely concentrate on

the "harder" infrastructure aspects of the Program, albeit still with some necessary capacity-

building components and with on-going support to the new Agencies to ensure they are fully

mission-capable.

Whilst the overall objective of ROADSIP remains as the provision to road users of a road

network that minimises road transport costs (VOC/accident/ environmental costs), and allows

maximum poverty alleviation and social development impact within available funding and

minimum agency costs, the emphasis has changed somewhat.

This re-prioritisation of project objectives has resulted in a redefinition and enlargement of the

Core Road Network (CRN) so as to better reflect the increased need for a far broader level of

access to an improved and maintainable road network that is more sensitive and responsive to the

needs of the rural population.

Main roads and roads with traffic levels that allows them to be justified on an economic basis

alone, will be rehabilitated/maintained to the most economic standard (alignment/cross-

section/pavement/drainage, etc) as can be identified using the best available planning tools. Roads

that cannot be justified on an economic basis alone shall be justified on basis of an alternative

realistic economic evaluation (e.g. for tourist roads) or be rehabilitated/maintained to a least cost

standard based more on the basic access demands of the social environment than on strict

adherence to engineering standards i.e. a program of accessibility improvements using labour-

based mechanisms thus providing a very direct linkage to the PRSP-inspired Core Value

ROADSIP II is envisaged to start by March, 2004 and will end five (5) years later. The main

objectives of ROADSIP which were not achieved in the first phase have been retained in the

second phase but with emphasis on economic empowerment of local inhabitants through

appropriate road interventions. There is need to preserve road assets through prioritisation of

maintenance regimes. The first priority will be routine maintenance through innovative

approaches. Periodic maintenance will be second priority followed by rehabilitation/Upgrading.

The estimated expenditure of about US$900 million could be disbursed within 5 years due to

various reforms that have taken place. Lessons leamt from ROADSIP I would help to accelerate

the pace of planning, managing, monitoring and evaluating the second phase. The number of

5

contractors and consultants has increased and are eager to deliver quality services. Furthermore, a

five-year local construction capacity building programme has been proposed under the National

Council for Construction at a cost of US$18.10 million. Therefore, there is capacity to undertake

ROADSIP II. Political will is also very high as food security cannot be addressed without

improving the road network.

The Transport Policy has been approved and this has led to the creation of three Agencies to

manage public roads and road transport on a commercial basis. The Parliamentary Bills were

passed and Presidential Assent was given by the end of December 2002. Other frameworks like

Institutional, legal, financial, etc are being addressed through the Bills. Under this new approach,

all funding will be channelled through the National Road Fund Agency and all roads will fall

under the Road Development Agency.

Financial and Institutional studies are expected to start in March 2003. Due to the wide scope of

these studies, inevitably there will be technical and policy issues identified which will need to be

resolved in 2003.

It is imperative that all the issues relating to the creation of the Agencies aresolved and

implemented as early as possible after their legal creation so as to ensure that they are as ready as

soon as possible to meet the demands of the new institutional framework.

The objectives of ROADSIP II

ROADSIP II has the following objectives,

a) Rehabilitation/Periodic and Routine maintenance of the Core Road Network (40,113

Km) through various funding agencies,

b) Improve road conditions for Trunk, Main, District, Primary feeder roads, tourist

roads and selected urban roads through full and accessibility improvements as per

"need" and priorities.c) Institutional strengthening of the construction industry through appropriate

approachesd) Create employment opportunities through appropriate road interventions

e) Improve Road Safety as per Road Safety Action plan

f) Improve Environmental Management by building capacity

g) Improve Rural Transport Mobility through road improvements

h) Improve management of Community Roads through the Road Development Agency

i) Address poverty and HIV/AIDS countrywide through PRSP and National Policy on

HIV/AIDS.

1.3 Resettlement Activities in the Roads Sector - A BriefOverview

There has been limited experience regarding displacement of people in the road

construction industry. This is a result of diverse but convergent factors. Firstly, the

density of population in Zambia is extremely low and space is always available for those

that are displaced by road projects. Secondly, the nature of the project that emphasises

rehabilitation as opposed to construction means that very few settlements can be affected,

6

as these roads exist already. Thirdly, the absence of guidelines/requirements for

ELA/environmental management means that a number of isolated issues related to

relocation of households would not be considered.

While massive resettlement may not have been experienced in the past, increase in

population coupled with the commitment by the Zambian government to ensure that the

road infrastructure is improved could in the near future lead to levels of displacement that

will require a systematic and carefully worked out design for resettlers and host

community. Road projects being implemented in areas that are usually settled means that

even where households may not be affected, certain activities get affected due to the

implementation of such projects.

1.4 OBJECTIVE OF THE GUIDELINES

The basic objectives for addressing the socio-economic and environmental implications

in development projects causing resettlement are to ensure that displaced and resettled

persons should always be compensated for their losses at replacement costs, given

opportunities to share in project created benefits, and assisted with the move and during

the transition period at the resettlement site. Focus should be on restoring the income

earning capacity of resettlers and those displaced beneficiaries of the project. The aim of

the resettlement policy is not only to improve or at least sustain living conditions but also

to facilitate project implementation by helping ensure that project activities are

compatible with local interests and concerns.

Whereas there has not been any significant resettlement owing to the implementation of

road projects in Zambia, the possibility of this to happen is quite high and the framework

is a measure intended to guide such a process once it happens. It is also an addendum to

the progress that has been made in the sector in terms of addressing environmental

concems. There is generally, a realization that using conventional procedures and

practices of environmental assessment in the absence of the framework, issues related to

resettlement may not be addressed adequately.

Specifically, the guidelines seek to address

* All resettlement issues within the roads sector

* a frame work to ensure resettlement issues are addressed effectively, and

* outlines roles and responsibilities by various stakeholders in the planning,

implementation, monitoring and evaluation of resettlement activities.

It further seeks to

* to allow redress among communities affected by road works, and

* to reduce stress on project affected communities/households.

7

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.

| The target groups for the guidelines are, in the first instance, government departments

that are responsible for the implementation of road projects in the country. Departments

such as Roads, Infrastructure and Support Services in the Ministry of Local Government

and Housing and organizations such as the Zambia Wildlife Authority in the Ministry of

Tourism, Environment and Natural Resources are expected to use the guidelines

whenever the opportunity arises. Other institutions include Local Authorities and relevant

non-governmental organizations (NGOs). It is expected that public discussion of the

guidelines will not only result in better planning and implementation but also, reduce

litigation and poverty where resettlement cannot be avoided. .

2.0 Institutional Framework- Current Set-up

There are many actors in the process of implementing resettlement planning action plans.

Institutions that have a role to play in the implementation process include a wide range of

government institutions and organisations, both at central and local level, private

enterprises, non-governmental organisations (NGOs) and local institutions of the project

affected people.

With respect to the roads sector, the Ministries of Local Government and Housing,

Works and Supply, Tourism, Environment and Natural Resources and Agriculture, Food

and Fisheries with their respective departments are the key actors within government.

With respect to the participation of NGOs, this is dependent on locality and the type and

scale of the resettlement activity. Both the resettlers and the host community must

participate in this development process, and not only be informed or consulted, with the

goal to strengthen their social and cultural institutions.

2.1 GOVERNMENT DEPARTMENTS - POTENTIAL ROLES AND

RESPONSIBILITIES

l 2.1.1 Roads Department

3 2.1.1.1 Current responsibilities

Previously, the Roads Department was responsible for the execution of road construction

and maintenance by direct labour. However, due to changing roles and responsibilities

with respect to the management of roads in the country, Roads Department

responsibilities are mainly supervision of projects during design and implementation. A

small core of construction and maintenance teams have been retained to carry out

assignments in rural areas and in emergency cases, and in order to maintain competence

and a price check and balance mechanism to the private market.

8

l 2.1.1.2 Potential roles and responsibilities with respect to resettlement

It is expected that the Roads Department will play a leading role in the resettlement

process. With respect to Trunk, Main and District roads, the Department will be the lead

agency and will play the role of carrying out social surveys and related assessments and

ensuring the participation of other stakeholders such as the project affected community

and non-governnental organisations. The Department will also be responsible for

overseeing the implementation process and ensuring that compensation and rehabilitation

mechanisms are implemented adequately. Together with other stakeholders, the

department will also be responsible for monitoring and evaluation of affected projects.

2.1.2 Department of Infrastructure and Support Services

l 2.1.2.1 Current responsibilities

Department of Infrastructure and Support Services is responsible for infrastructure

development and is supposed to improve co-ordination between the Ministry of Local

Government and Housing, Local Authorities, Donors, NGO's and other Agencies. The

Department is responsible for: -

* Co-ordination and supervision of donor funded projects,

* Formulation of guidelines for the creation of efficient information systems

management and application strategy for local authorities,* Implementation and maintenance of a decentralised planning system in Local

Government,* Formulation of Local Authority Service Provision policy.

And providing

* Technical support on the development and management of roads which fall under

the jurisdiction of Local Authorities,

* Technical support in capacity and institutional building for infrastructure

development and management in districts,

* Institutional support to local authorities, in project planning, implementation and

evaluation in infrastructure development and management in districts,

* Technical advice to Provincial Local Government Officers on the maintenance of

a decentralised system, and* Advice and guidelines to the Ministry and Local Authorities on financial planning

and capital budgetary systems.

l 2.1.2.2 Potential roles and responsibilities with respect to resettlement

* Co-ordinating and organising the resettlement programme within and outside the

organisation,* Supervising and/or carrying out studies that will form the resettlement plan

leading to the design of the Resettlement Action Plan,

9

* Co-ordinate and carry out routine monitoring activities during the implementation

of the resettlement plan, and* Carry out or cause others to carry out an evaluation of the plan once implemented.

| 2.1.3 The Environmental Council of Zambia (ECZ)

The Environmental Council of Zambia is a lead agency on all matters of environment in

Zambia. It is empowered by the Environmental Protection and Pollution Control Act of

1990 (Cap 204) to do all such things as are necessary to protect the environment and

control pollution so as to provide for the health and welfare of persons, animals, plants

and the environment. It is further empowered to identify projects, plans and policies for

which environmental assessment are necessary and ensure that the same is done in line

with the provisions of EIA regulations. Its responsibilities include managing the EIA

process, making decisions and ensuring that management occurs in accordance with the

decision made. In this regard the ECZ establishes the terms of reference for project

assessments, reviews reports including the project brief, EIA and follow-up ,monitoring

reports. The Council also helps the project proponent to establish a public consultation

process.

The ECZ has a Unit responsible for the management of environmental impact assessment

in the country. This Unit is staffed by both ecologists and sociologists. The ECZ already

has experience in monitoring the implementation of resettlement activities. This

experience was achieved during the resettlement of squatters from former Zambia

Consolidated Copper Mines (ZCCM) land on the Copper belt.

I 2.1.4 Department of Resettlement

The Department performs the following functions

* Identification and acquisition of land for resettlement;

* Planning of resettlement schemes;* Demarcation of farm plots;* Processing applications for resettlement;

* Allocation of settlement farm plots to suitable applicants;

* Recommending deserving settlers to acquire certificates of title to their farm plots

from, the Ministry of Lands;* Co-ordinating provision of infrastructure in resettlement schemes and managing

the resettlement programme and resettlement schemes.

2.1.4.1 Potential roles and responsibilities with respect to resettlement

* Livelihoods assessment and enumeration of PAPs;

* In consultation with the Resettlement coordinator, land identification for

resettlement;* Land acquisition negotiations and documentation;

* Lay out planning of site(s) particularly for agricultural related land use;

10

* Work closely with local authorities and Department of Infrastructure and Support

Services;* Sit on the steering committee.

2.1.5 Local Authorities

Given the current state of most Local Authorities such as inadequate financial resources,

limited and inadequately qualified human resources, the role of the councils will be

limited to complimenting the efforts of the Department of Infrastructure and Support

Services. Local Authorities shall be cardinal in the planning and Implementation of such

projects.

Local Authorities being closer to project affected persons will be critical in ensuring

participation of such affected groups as they understand the cultural dimensions of such

groups.

2.1.6 Private Sector Organisations

l 2.1.6.1 Non-governmental organisations

There are various roles that non-governmental organisations could play in the

resettlement process. They could act as facilitators enabling the participation of the local

community whether resettlers or host community. They could also play an advocacy role

to ensure that community concerns are taken into account at every stage of the planning

and implementation process. In essence, non-governmental organisations could

participate in terms of

* Providing information on behalf of the community about key aspects that require

consideration in the assessment process, and* Organising the community's participation in the planning and execution of the

resettlement plan.

2.2 Organisational Framework-Proposed set-up

The Environmental Management Unit currently under the Roads Department shall be the

focal point for co-ordinating all the activities such as preparatory works, planning,

implementation and monitoring of resettlement related activities. Whenever a project is

identified requiring resettlement activities it will be necessary as a first step to

select/appoint a Resettlement Co-ordinator (Check Annex 1 for details) from within the

Environmental Management Unit. It will also be necessary to form a Project Steering

Committee (Check Annex II for details) that will be responsible for approving most of

the activities at every assessment stage.

The Steering Committee shall be composed of the main stakeholders, currently the Roads

Department, the Department of Infrastructure and Support Services, ZAWA,

Environmental Council of Zambia at the national level and Affected Local Authorities,

11

staff from the Environmental Management Unit, local non-governmental organisations

and project affected persons at the local level. Environmental Management Unit staff

(Resettlement Co-ordinator) shall form the link between the local level and national level.

The Resettlement Co-ordinator shall report progress to the two committees and have

issues resolved through them.

As stated, project operations regarding resettlement/rehabilitation will be co-ordinated

and monitored by the Environmental Management Unit reporting through the Steering

Committees. Institutions such as the ECZ shall play a facilitatory role in line with their

mandate, such as approval of the terms of reference for the social survey, providing

comments on the social assessment statement/report and assisting in monitoring the

implementation of report recommendations.

Other institutions such as Valuation Department shall be responsible for carrying out

valuation of land, houses and any other services or resources (natural/social) that are

likely to be lost by the community/households. Housed in the Ministry of Local

Government and Housing, it is established to deal with assessment of values of assets on

behalf of the Government of the Republic of Zambia and to make the same regarding

policy formulation. To realize this mission and give the Ministry specific accountabilities

against which the overall performance will be measured, the following objectives among

others but fundamental to Government Valuation Department was set: -

* "To provide Valuation and Property Consultancy Services to Local Authorities

and Government Departments in order to enhance the revenue base and ensure

value for money."

The services of this Department shall be critical in the valuation of lost assets be they

properties or crops of various types. Presently the Environmental Management Unit

under the Roads Department is working closely with the Valuation Department in

determining compensation where people lose property or crops due to the siting of

material extraction areas on farm land. It therefore follows that the services of the

department will be critical during the conduct of social inventories. The department shall

also be represented on the committee (national) at senior level.

I

I ~~~~~~~~~~~~~12

|nstitutions/Organisation their Table 2.

Institutions/Organisation their Roles and Responsibilities under the RPF

Institutions/ Mandate/Roles Potential Roles and

Organisations Responsibilities underRPF

Environmental i) Facilitating the preparation and * Overall Project

Management integration of environmental and implementation and

Unit (EMU) social matters and other relevant coordination

issues (e.g., health/safety) in policyplanning and implementation ofprojects in the transport sector;

ii) Assisting key stakeholders/agenciesin carrying out EAs and monitoringimplementation of EnvironmentalManagement Plans (EMPs);

iii) Promoting the involvement of and

cooperation of all relevant institutions;

iv) Preparing and revising technicalstandards/guidelines and regulations;

v) Conducting training in

environmental management and

preparing sensitization material; and

vi) Ensuring health and safety issuesare integrated in the design and

implementation of road works.

Roads * Coordination and Supervision * Coordinating project

Department/ implementation by the

(Road designated implementing

Development agencies

Agency) * Supervision, quality

assurance, monitoringand reporting

* Provide the secretariat(ResettlementCoordinator) for theproject SteeringCommittee chaired by theRoads Department

13

* Disbursement of projectfunds

Roads * Previously responsible for the * Ensuring the carrying outDepartment execution of road construction and of social surveys and

maintenance by direct labour. related assessments* Currently mainly responsible for * Ensuring the participationplanning, designing and supervision of of other stakeholders suchroad works during design and as the project affectedimplementation. community and non-* Execution of emergency road works governmentaland repairs organisations.

* Overseeing theimplementation processand ensuringcompensation andrehabilitationmechanisms areimplemented adequately.

* Monitoring andevaluation of affectedproj ects.

Ministry of * Co-ordination and supervision of * Co-ordinating andLocal donor funded projects, organising activitiesGovernment and * Formulation of guidelines for the within and outside theHousing creation of efficient information organisation,(MLGH) systems management and application * Supervising and/or

strategy for Local Authorities, carrying out* Implementation and maintenance of environmental and sociala decentralised planning system in studies that will lead toLocal Government, the design of the* Formulation of Local Authority EMPs/RAP for theService Provision policy. project,

* Co-ordinate and carry outAnd providing routine monitoring

activities during the* Technical support on the implementation ofdevelopment and management of roads activities, andwhich fall under the jurisdiction of * Carry out or cause othersLocal Authorities, to carry out an evaluation* Technical support in capacity and of the EMP/RAP onceinstitutional building for infrastructure implemented.development and management indistricts,* Institutional support to localauthorities, in project planning,

14

I~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~implementation and evaluation ininfrastructure development andmanagement in districts,* Technical advice to ProvincialLocal Government Officers on themaintenance of a decentralised system,and* Advice and guidelines to theMinistry and Local Authorities onfinancial planning and capitalbudgetary systems.

Local Authorities e- Implementation of the Local eProject identification,Government Act supervision, monitoring and

evaluation.

NGOs & Private * Advocacy and facilitation * Ensuring that communitySector Agencies concerns are taken into

account at every stage ofthe planning andimplementation process.Providing information onbehalf of the communityabout key aspects thatrequire consideration inthe assessment process,and

* Organising thecommunity'sparticipation in theplanning and execution ofI the resettlement planningactivities.

* Participating in thesupervision, Monitoringand evaluation of projectactivities

3.0 Legal framework for resettlement issues in Zambia

There is currently no specific law pertaining to involuntary resettlement in Zambia.

15

3.1 Legal framework for compulsory acquisition of property inZambia

There are various pieces of legislation that provide guidance regarding legal provisionsfor resettlement. Tabulated below are legal statutes that have provisions pertaining toresettlement: -

1. Constitution of Zambia, Chapter 1 of the Laws of Zambia, Article 16 of theConstitution provides for the fundamental right to property and protects personsfrom the deprivation of property. It states that a person cannot be deprived ofproperty compulsorily except under the Authority of an Act of Parliament, whichprovides for adequate payment of compensation. The Article further provides thatthe Act of Parliament under reference shall provide that in default of agreementon the amount of compensation payable, a court of competent jurisdiction shalldetermine the amount of compensation.

2. Lands Acquisition Act Chapter 189 of the Laws of Zambia Section three of theLands Acquisition Act empowers the President of the Republic to compulsorilyacquire property. Sections 5 to 7 of the Act provides for the issuing of notices toshow the intention to acquire, notice to yield up property and to take uppossession. Section 10 of the Act provides for compensation as consisting of suchmoneys as may be agreed from moneys appropriated for the purpose byParliament. Furthermore, this section provides that where the property to becompulsorily acquired is land, the President, with the consent of the personentitled to compensation shall make in lieu or in addition to any compensationpayable under the section, grant other land not exceeding in value of the landacquired. Section 11 of the Lands Acquisition Act provides for the resettlement ofthe disputes relating to the amount of compensation to the High Court.

In conclusion, under the Lands Acquisition Act, the principles of compensationare pivoted on the basis that the value of the property for the purposes ofcompensation shall be the value of the amount which the property might beexpected to realise if sold on the open market by a willing seller at the time of thepublication of the notice to yield up possession of the property.

Under Part VI of the Lands Acquisition Act (Cap. 189), a Compensation Advisory Boardhas been established to advise and assist the Minister in the assessment of anycompensation payable under the ACT.

The functions, operations and constitution of the Board have been spelt out under Part VIof the Act.

(3) The Public Roads Act, 2002 section 18 (3) gives authority to the envisaged RoadDevelopment Agency to enter upon any land for purposes of extraction of materials

16

for road formation. The Act under the same section provides for the notification to theproperty/land owner before preparation for commencement of extraction of materialsstarts. Under section 18 (4) of the Act, compensation should be paid to the affectedland owner/occupier if such land is on title. Under Section 18 (5) of the said Act,allows the land/owner occupier to submit some written request to the Agency for anyexpense or loss that may be incurred if such land is appropriated.

Section 18 (6), the Act states that in the event of failure to agree upon the amount ofcompensation the matter shall be decided by arbitration in accordance with theArbitration Act.

The Act under section 18 (7) provides a number of conditions which shall form thebasis for assessment of properties or envisaged losses that are the subject ofdisagreements.

(4) Act No. 19 of 2000 (Arbitration Act) provides for arbitration in cases where theland owner/occupier does not agree with the amount of compensation being offered.Under section 12 (2) of the Act, the parties to arbitration are free to determine theprocedure for appointing the arbitrator or arbitrators. Under section 12 (3) (b), if theparties are unable to agree on the arbitration, the arbitrator shall be appointed, uponrequest of a party, by an arbitral institution.

3.2 Legal framework for impact assessment in Zambia

1. Environmental Protection and Pollution Control (Environmental ImpactAssessment) Regulations 1997 (No. 28 of 1997, promulgated under theEnvironmental Protection and Pollution Control Act Chapter 204 of the Laws ofZambia)

Regulation 3 of the Regulations specifies which type of developments require aproject brief in the First Schedule. Paragraph 2 of the First Schedule specifies thatall major roads outside the urban areas, the construction of new roads and majorimprovements over lOkm in length or over lkm in length if the road passesthrough a National Park or Game Management Area requires a project briefand/or an environmental impact statement.

Regulation 10 provides for public consultation by the developer before submittingthe environmental impact statement to the Council by seeking the views of thepeople in the communities, which will be affected by the project shall: -

* Publicise the intended project, its effects and benefits in the mass media in alanguage understood by the community for a period of not less than fifteen daysand thereafter at regular intervals throughout the project implementation schedule;

17

* After the expiration of fifteen days referred to above, hold meetings with affectedcommunities in order to present information on the project and obtain views ofthose concerned.

Regulation 11 provides for the contents of environmental impact statements toinclude:

* The social economic impact of the project, such as resettlement of affectedpeople;

* Socio-economic and cultural considerations such as effects on generation orreduction of employment in the area, social cohesion or resettlement, localeconomic impacts;

* Effect on land uses and land potential in the project area and surrounding areas

2 The Zambia Wildlife Act No. 12 of 1998.

Section 32 of the Zambia Wildlife Act provides that any activity or plan which islikely to have an adverse effect on any wildlife species or community in aNational Park, Game Management Area or Open Area shall be subjected to awildlife impact assessment as required by the Zambia Wildlife Authority(ZAWA) where resettlement would have or is likely to have an impact onwildlife, a wildlife impact assessment would be required under this Act.

4.0 World Bank Safeguard Policies

4.1 World Bank Operational Policy on Involuntary Resettlement

The policy is triggered not only by physical relocation caused by the project but by anyloss of land or other assets resulting in

1. relocation or loss of shelter;2. loss of assets or access to assets; or3. loss of income sources or means of livelihood, whether or not the affected people

must move to another location.

The policy applies to all components of a project that result in involuntary resettlement,regardless of the source of financing. It also applies to other activities resulting ininvoluntary resettlement that in the judgement of the Bank, are

(a) directly and significantly related to the Bank-assisted project,(b) necessary to achieve its objectives as set forth in the project documents; and(c) carried out, or planned to be carried out, contemporaneously with the project.

4.2 Objectives

18

The objectives of the resettlement policy are to

* avoid or minimise involuntary resettlement where feasible, exploring all viablealternative project designs

* assist displaced in improving their former living standards, income earningcapacity, and production levels, or at least in restoring them;

* encourage community participation in planning and implementing resettlement;and

* provide assistance to affected people regardless of the legality of land tenure.

The policy safeguards against impoverishment risks of involuntary resettlement that maybe associated with a development project. It addresses risks that the production systemsmay be dismantled; people may face impoverishment when their productive assets orincome sources are lost; people may be relocated to environments where their productiveskills may be less applicable and the competition for resources greater; communityinstitutions and social networks may be weakened; kin groups may be dispersed; andcultural identity, traditional authority, and the potential for mutual help may bediminished or lost.

4.3 A Comparison Between Zambian Legislation and World BankSocial Safe-Guards Policy on Resettlement.

While there are similarities between Zambian legislation and the World Bank Safe-guards policy on resettlement, there are also differences. Similarities are mainly in theform of objectives. Zambian legislation recognises the imperative need to offercompensation to those whose land is affected by government activities, such ascompulsory acquisition where such land is envisaged to be used for particular activitiesfor the public good.

Current legislation regarding compensation emphasizes compensation more thanresettlement. If there are standing crops or other improvements such as structures, thegovernment is mandated to pay compensation at the current value of either property orstanding crops as the case may be. Compensation issues are, therefore, adequatelycovered in national legislation. However, most national legislation is silent onresettlement.

Bank covers both resettlement and compensation issues. In addition to covering lossessuffered through relocation, Bank policy ensures that the PAP is assisted withresettlement at the new site. In determining the cost of compensation, the Banks costestimate is given as the new replacement value of the property being lost, whereas in thecase of national legislation it is the value of the property at the time it is being sold. TheBank's emphasis is on restoration or maintenance of previous livelihood levels, whereas

19

the Zambian government responsibility ends at replacing the depreciated value of the lostasset.

Another difference is inclusiveness or coverage. Both Zambian law and Bank policyrecognize customary tenure as equivalent to legal title. Bank policy, however, alsorecognizes informal occupancy as a form of customary tenure. Squatters, as they arecommonly referred to, with no title to land or do not own the land under customaryarrangement are entitled to compensation if they can establish informal occupancy beforethe project cut-off date.

In conclusion, compensation needs to be fair and of a standard practice. Therefore,whenever the two standards -- the international guidelines such as those provided by theWorld Bank and Zambian national legislation -- are at variance, the higher of the twostandards will apply because, ipso facto, the lesser standard is consequently already met.5.0 Operational Procedures

5.1 Socio-Economic Survey, Asset Inventory and Valuation

Prior to the application of the environmental assessment process, a classification ofproposed projects must be conducted to determine whether a socio-economic survey isrequired or not and whether any households are going to be affected.

Using instruments that have already been developed, such as screening guidelines for theprocess of classifying proposed projects to determine their environmental requirements(Annex III), the Environmental Management Unit will determine, after classifyingproposed projects, specific roads where resettlement activities will be required.

5.2 PROJECT PREPARATION

If a project is anticipated to have significant environmental impacts such as resettlement,the environmental specialist/consultant (Resettlement Coordinator) will in collaborationwith the project staff, prepare the Terms of Reference (TOR) for the socio-economicsurvey.

If households are likely to be affected, a resettlement action plan is required.Consequently, a resettlement impact study has to be conducted. However, before aresettlement impact study is undertaken, it is required that preliminary engineering designand land acquisition assessment be conducted. The engineering design will establish sitespecification or alignment with tentative linear alignments thus establishing the corridorof impacts while the land acquisition assessment will help identify project boundaries,land owners or claimants and data on existing land or resource use. The design of theterms of reference shall be conducted by personnel from the Environmental ManagementUnit under the leadership of the Resettlement Coordinator.

20

The Terms of Reference shall reflect the complexity of the resettlement operation.Limited resettlement within the existing community will require:

* Enumeration of the affected households,* Identification of any vulnerable PAPs,* Inventorying of all assets to be taken,* Valuation of those assets at full replacement value and determination of any

supplementary payments (e.g., disturbance allowance),* Public information (e.g., unit price lists and itemized breakdowns of

compensation offers) and participation,* Valuation negotiation and grievance procedures,* Institutional arrangements not covered in this Resettlement Policy Framework,* Monitoring arrangements (if different from the RPF),* Timeline and* Budget.

More complex resettlement operations that involve a large number of persons (e,g., 200)or relocation to another community require fuller RAPs. In these instances, the RAP willcover the above topics and will comprise additionally but not be limited to thefollowing: -

* Technical design alternatives to resettlement;* Alternative sites, and selection of resettlement area, identifying fragile areas with

respect to environmental stress caused by resettlement as well as identification ofsacred, archaeological and historical sites;

* Community participation of both resettlers and hosts, including also communityinstitutions or organisations of both groups and NGOs;

* Plan and design of development assistance to be given before resettlementcovering both the population to be resettled and the host community;

* Land ownership, inheritance systems, tenure agreements, customary use andtraditional rights, acquisition and transfer of land as well as water use rights;

* Impact on marginal groups, ethnic minorities and pastoralists;* Gender issues;* Cultural identity and preservation;* Access to training, employment and credit;* Housing, including criteria for house plot allocation, infrastructure and social

services;* State of natural resources, land suitability and carrying capacity at resettlement

site estimated at least two generations ahead taking into account population andlivestock growth, as well as water availability and water quality;

* Immediate as well as foreseen health implications at resettlement site in relationto water-borne diseases, nutrition, environmental hygiene, availability of clinicsor other health extension services, hazardous chemicals, toxic wastes, foodcontamination and the work environment;

21

* Possibilities and constraints regarding assimilation or integration of resettlers intohost communities;

* Staff requirements, staff training needs, necessary equipment,* Cost estimation; and* Monitoring and evaluation procedures. And* Detailed budget.

For projects or programmes involving involuntary displacement of people, socialpreparation of the project affected people through campaigns, household visits, meetings,and open discussions on both positive and negative aspects of resettlement is the best wayto obtain their cooperation to proceed with the project and should be initiated already atthis stage. The final output of a resettlement impact assessment is a resettlement actionplan. Annex IV shows the contents of a resettlement action plan.

Once a project has been identified, the environmental team under the leadership of theResettlement Coordinator shall draw up a work program indicating the differentorgans/institutions to be involved and their responsibilities vis-a-vis the implementationof the resettlement activity. The program should specify clearly who should be consulted,when they should be consulted and in the case of information to be collected, indicatingwhy the information is being sought and the relevance either during the planning stage orimplementation of the resettlement plan. The work program shall also highlight importantactivities and when they are likely to be implemented as well as indicating the persons orinstitutions responsible for implementation. The work program shall be submitted to thevarious parties involved and their comments sought. Once everyone has agreed on thesubstantive activities to be conducted and their particular responsibilities, implementationof the activities could then be activated.

5.3 Assessing Project Implications

It is essential that the main road project and associated resettlement project be assessedsimultaneously. Information on socio-economic as well as environmental issues collectedin the previous project stages shall be presented and evaluated in the project appraisal.This information shall be presented by the environmental team to both the nationalsteering committee and the local steering committee.

The assessment shall suggest mitigating measures and alternative designs for limitingnegative environmental and socio-economic impacts. A socio-economic analysis ofenvironmental and social impacts of the various alternative courses of action shall beundertaken at this stage. If necessary an analysis of alternative approaches to projectobjectives to resolve problems of valuation and quantification of environmental andsocio-economic services or objectives having no traditional market value shall be carriedout.

It is important to determine whether land for resettlement has been identified and madeavailable, whether the number of people to be resettled is known and registered, and

22

whether valuation of lost assets has been noted down. The complexity of the resettlementproject should bedetermined at this time. If it is necessary to design a full-scale resettlement project,arrangements for staff time, funds, multi-sectoral expertise, and monitoring will need tobe put in place. Identification of all agencies involved in the resettlement project as wellas organisational responsibility (and inter-agency collaboration) with adequate funds andstaff allocation shall be clearly identified. In smaller operations, resettlement planningmay be done either in-house or contracted out to a qualified agency with the requisiteexperience.

Main issues to address during assessment of the project are therefore: -

* Assessment of resettlement plan, resettlement policy and legal framework,* Simultaneous assessment of main project and resettlement project,* Assessment of social and environmental impacts of presented alternatives,* Inclusion of all previous gained data, assessments and recommendations,* Status of resettlement project.

Once the work program (Gantt chart) has been prepared and agreed to during theprevious stage, implementation of activities shall then be activated. Those issuesindicated above will constitute the backbone of activities during this stage as well asconducting socio-economic surveys.

5.3.1.SOCIO-ECONOMIC SURVEY

One of the key activities to be conducted at this stage is the social survey. As backgroundfor the resettlement plan, a household based social survey shall be made, describing theextent of the displacement based on up-to-date maps, thus identifying villages andhouseholds affected by the project, as well as preliminary identification of resettlementsites. The boundaries of land owned by various groups will also be described.

The survey will determine to which extent the affected families will experience loss ofassets based on their total resource base, including control over resources, as well asinfrastructure and social services available and disturbed. The survey shall furtherdescribe local organisations and institutions, traditional village councils, religious groups,etc. who could later participate in planning and implementing the resettlement options.Expected changes in population structure and health impacts shall also be addressed, ifthe resettlement operation is complex. Whatever the size of the operation, it is veryimportant at this stage to list all who will be affected by resettlement.. The date of thephysical asset inventory and population census will constitute the cut-off date fordefining eligibility of project-affected persons. In other words, the population census andasset inventory determine the eligibility for compensation (see Table 3, below).

The socio-economic survey is therefore critical in planning for a resettlement programmeas it establishes categories and extent of impacts, provides the basis for determiningeligibility and for estimating resettlement costs as well as establishing baseline for

23

monitoring and evaluation. The social survey shall be conducted at the same time asgeneral engineering and economic surveys, before detailed design is carried out. This isto ensure that the cost implications both for the main project and for the resettlementaction plan (RAP) are clearly specified and agreed to in advance of implementation.Additionally, it is also to ensure that if there are any design elements that will make theRAP successful, these shall be reflected in the final design document and their costimplications estimated.

Table 3: Asset Inventory and Valuation

No. of Type of Tenure Nature of Compensation TotalProperties Impact

(Detail other (No.)infrastructure)

Residences Titled: Removal and Land: Replacement(including land) Customary: relocation Structure: Full

replacement valueOther: Fullreplacement value

Rental Land: Replacementvalue to ownerStructures:Replacement value toownerOccupant: Movingassistance

Shops Titled Removal andCustomary relocation Land: Replacement

Structure: Fullreplacement valueOther: Fullreplacement value

Rental Moving Assistance

All Reimburse lost profitsReimburse employeewages, if any

Kiosks Titled Removal and Land: Replacement sitecustomary relocation Structure: Moving

assistanceRental

Cropped Fields Titled: Land Replace land and/or(permanent Customary: acquisition compensate (if any) atacquisition) ................. market value

24

Leased: Land (to owner).................

Crops (to farmer)Sharecropped

Cropped Fields Not relevant Lost production Value of lost(temporary production, at midpointacquisition and between trees come intoconstruction full productiondamage)Community Removal and Land: Replacmentproperty (by relocation valuetype, e.g., Structures: Fullreligious replacement valuestructures,communityhalls, schoolsOtherTOTAL

5.4 Project Implementation

After the social survey is completed and the major findings agreed to by the principalstakeholders, and also cleared by the two steering committees regarding socialimplications of project operations, implementation of the expropriation/compensation andresettlement/relocation operations shall be completed within a specified period of timeagreed to by principal parties. In all instances, the resettlement operation must besuccessfully completed before rehabilitation or construction of the road segment maycommence.

The findings of the social survey/inventory and valuation of potentially lost assets shallas a first step be presented to the Local Steering Committee, which shall deliberate on thefindings. The resolution of the Local Steering Committee shall then be presented to theNational Steering Committee by the Resettlement Coordinator. The National SteeringCommittee shall be the second and final level in approving the Resettlement Action Plan.

The Resettlement Coordinator shall note all the major resolutions at the Local SteeringCommittee level as well as at the National Steering Committee level. If there are PAPswho do not agree with the findings of the inventory and valuation conducted, these shallthen be allowed to have redress through the Arbitration Act No. 19 of 2000. This shallonly be done after the National Steering Committee has sat and finalised resolution ofissues concerning approval of the RAP.

25

The Environmental Management Unit through the Resettlement Coordinator, will beresponsible for implementation of study findings. The Resettlement Co-ordinator will beexpected to co-ordinate the implementation process. The implementation could beassisted by staff from the affected Local Authority.

Resolution of issues by the two steering committees shall be by consensus. In the eventthat consensus is not established through normal deliberations of the steering committees,agreement on major issues shall be established through a voting process. TheResettlement Coordinator as an ex-officio member of the committees shall not be eligibleto vote. The voting shall be conducted by a show of hands and shall be seen as a bindingdecision on the issue at hand.

6.0 Consultation and Grievance Redress Mechanisms

ROADSIP will work closely with all communities in the determination of roadalignments, and will consider all locally preferred alternatives from a technical, economicand social perspective.

In those instances where some land is required to improve the alignment of a rural road,ROADSIP will fully inform the affected parties, and negotiate fair compensation at fullreplacement value. Limited acquisition of additional land should result in limitedcomplaints being raised. Nonetheless, as mentioned above, ROADSIP has instituted amulti-level process for resolving any disputes over asset inventories and valuations.First, on the premise that disputes are most amicably resolved informally at the locallevel, ROADSIP will first work through its Resettlement Coordinator to resolve disputes,which may be referred for resolution to the Local Steering Committee, and finally to theNational Steering Committee. In the event that there is dissatisfaction from affectedgroups, the provisions of the Arbitration Act No. 19 of 2000 shall apply.

7.0 VALUATION PROCEDURE

Method of valuation

There are generally two methods used to value property. These are the replacement costmethod and the full compensation method. Regardless of method, valuation surveyorsshall provide values for community property such as churches, social/recreation facilities,health and education facilities. The methodologies also provide asset values such asreplacement cost and current market value. Value shall also be given to trading andinvestment concerns. Sacred sites like shrines, cemeteries and other divine sites shall beencouraged to be preserved, so that compensation shall be limited, in most cases, to thecost of the requisite propitiatory rites.

26

7.1 Replacement cost

The replacement-cost approach is based on the premise that the costs of replacingproductive assets that have been damaged because of project activities or improper on-site management can be measured. These costs are taken as a minimum estimate of thevalue of measures that will reduce the damage or improve on-site management practisesand thereby prevent damage. It involves direct replacement of expropriated assets andcovers amount sufficient for asset replacement, net depreciation, moving expenses andother transaction costs. This minimum value is then compared to the cost of the newmeasures.

Within the road sector, this is arrived at by analysing current construction costs relative todesign, materials employed, workmanship and final finish of the subject properties. Inline with the principles of "equivalent reinstatement" if the premises to be reinstatedrequire repair, a deduction to reflect this shall be made. The deduction for repairs is madein accordance with the principle that the reinstated property shall as far as possible beequal to the property being reinstated.

(a) Basis of valuation

The basis of valuation is Gross Current Replacement Cost (GCRC). Gross CurrentReplacement Cost is defined as 'the estimated cost of erecting a building as new havingthe same gross external area as that existing with the site works and services on a similarpiece of land'.

The valuation process should also consider the use of "full compensation value" foraffected properties. "Full compensation value" is defined as ' the amount to be paid tothe leaseholder which is calculated as an amount which is above the gross currentreplacement cost, including the costs for the inconvenience caused to the leaseholders byrelocation, and to enable the same leaseholders to build slightly better houses than whatthey currently occupy'.

7.2 Valuation Information/Data

The Valuation Department keeps records of transactions and other data prevailing in thevarious asset markets. The experience, exposure and skill enable the valuation surveyorto conduct the analysis of market values at a particular date and thereafter make valuationassessments for other assets taking note of those that are not done at arms length i. e.where there is special interest to sale or purchase or otherwise so that the valuationanalysis and assessment is not distorted.

27

Each valuation is done as per the terms of reference given as per date given on which theassessment should be done. Sources of information/data for asset valuations includeZambia Revenue Authority, Estate Agents, GVD in-house assessments, retailers,manufactures etc,. The appropriate valuation of subject assets are determined from therange of values of similar assets prevailing on the market in different areas at a particulartime. Landed property valuation is localized - each town and locations therein havedifferent ranges of values which the valuation surveyor analyses and uses for valuationassessments of other assets.

7.3 Compensation

l 7.3.1 Basis of Valuation: - The compensation principle of of this RPF holds thatproject affected people (PAP) at least as well off and, ideally, better off afterdisplacement and compensation. This principle implies use of basis of valuation called"current market value," which is equivalent to full (undepreciated) replacement cost. Invaluation surveying, this basis means that PAPs will receive the worth of their assets ininvoluntary displacement given what they could get if they themselves at their own timeand will, were to move voluntarily from one place to another.

7.3.2 Compensation for Land and Improvements: - A distinction will need to bemade between displacing legal owners of land (either statutory ownership or customaryownership) and displacing squatters. Legal owners are statutorily entitled tocompensation under the Land Acquisition Act CAP 189 including land andimprovements thereon, whereas squatters may not be compensated for land, butimprovements and other assets. This does not bar the compensating authority fromallocating similar sizes of alternative land to squatters.

Further, a distinction needs to be made between what people are actually entitled to forcompensation due to loss and otherwise, and what they may be provided in alternativesettlements for mitigation and not that they are necessarily legally entitled to such landbecause in the first place they have no claim to the initial land they were squatting on.Squatters may claim easement rights for long stay. Generally, compensation valuationshall be assessed for the following claims: Injurious - affecting (i.e., loss of assetsconstructed); severance and disturbance. Loss of income in investments can also beassessed.

7.3.3 Compensation for Buildings and Structures

Compensation will be paid by replacing structures such as huts, houses, farm buildings,latrines, and fences on alternative land provided as in in-kind compensation. Cashcompensation would be available as a preferred option for structures (i. e. extrabuildings) lost, that are not the main house or house in which someone is living. Thegoing market price for construction materials will be determined.

28

Compensation will be made for structures that are

* Abandoned because of relocation or resettlement of an individual or household, or* Directly damaged by construction activities.

I 7.3.3.1 Replacement Values will be based on: -

* Related structures and support services,* Average replacement costs of different types of homestead buildings and

structures based on collection of information on the numbers and types ofmaterials used to construct different types of structures (e. g. bricks, rafters,bundles of straw, doors, etc) without depreciation

* Prices of these items collected in different local markets,* Costs for transportation and delivery of these items to acquired/replacement land

or building site, and* Estimates of construction of new buildings including labour required.

7.3.4 Compensation for Sacred Sites

The use of sacred sites, ritual sites, tombs and cemeteries shall not be allowed at anytime.

I 7.3.5 Compensation for vegetable gardens and beehives

These are planted primarily for use within the household. Until a replacement gardenstarts to bear, the family losing gardens or beehives will have to purchase vegetables andhoney in the market. The replacement costs therefore, will be calculated based on thelocal market rates for these products at the time.

l 7.3.6 Compensation for Large fruit and crop trees

Large fruit trees such as mangoes are

* Subsistence food for families,* Petty market income in some areas, and* Shade

Given their significance to the local economy, mango trees and other fruit trees will becompensated on a combined replacement/market value. Mango and other fruit trees usedfor commercial purposes will be compensated at market value based on historicalproduction records. If households chose to resettle, they will be compensated for thelabour invested in the trees they leave behind. Compensation rate can be based oninformation obtained from the socio-economic study and shall incorporate the followinggoals: -

* Replace subsistence mango production yields as quickly as possible,

29

* Provide subsistence farmers with trees to extend the number of months of the yearduring which fruit is produced and can be harvested as a supplemental source offood for their families during their "hungry season", and

* Provide cash payments to resettlees to replace income derived from the sale ofexcess production until replacement trees produce the equivalent (or more) inproject cash income.

No compensation shall be paid for minor pruning of trees. Compensation for removal oflimbs will be pro-rated on the basis of the number of square metres of surface arearemoved.

For other domestic fruit and shade trees, compensation shall be dependant upon thespecies and age; individual compensation for wild trees "owned" by individuals, locatedin affected areas shall be paid. Note that wild, productive trees belong to the communitywhen they occur in the tree bush as opposed to a fallow land. These trees will becompensated under the umbrella of the village or community compensation.

Table 5Compensation Packages (Illustrative)

Asset Land Immovable Otherassets

Residences Allocate new plot Reimburse un- Reimburse otheracceptable to resident; or depreciated infrastructure (e. g.,compensate at market value of house fence, well animal pens)value

Moving assistanceResidential Allocate new plot to Reimburse Provide renter a sumRenter landlord; or compensate landlord the un- (equivalent to 6 months

at market value depreciated rent) to find and securevalue of house new housingand structures. Moving assistance

Industrial or Either replace with Reimburse un- Compensate costs of movecommercial equivalent plot or pay depreciatedenterprise market value, determined value of Reimburse for lost

by valuer and verified as structure business profitscurrent market rate

Reimburse employeewages

Commercial Assistance to Moving assistancerenter find new locale

Reimburse for lostbusiness profit

30

Reimburse employeewages (if any)

Kiosk trader None None (kiosk to Assistance to relocatebe relocated kioskoutside of area)

Agricultural Market rate for soil type Un-depreciated market(rural ) Land and infrastructure rate for infrastructure (e.

g. borehole, fences)Productive Replacement land Based on valuetrees (e. g., provided of lostBananas, production untilCoffee new treesbushes, mature to samemangoes, level as lost treecitrus) (minus value of

timber treessalvaged)

Timber Trees Replacement land Based on value(e. g. provided of lostEucalyptus) production until

new treematures to samelevel as lost tree(minus value oftimber treessalvaged)

Crop loss Average market value of(temporary crop lost at prices halfwayloss during between harvestsconstruction)Other

8.0 MONITORING AND EVALUATION

The Environmental Management Unit shall organize a meeting or meetings withprincipal stakeholders once the expropriation/compensation has been completed but justbefore implementation of remedial measures comes to a close. The significance of themeetings is to assess what progress has been made in implementing measures agreed withstakeholders, determine what other measures need to be implemented and resolve anyoutstanding issues.

In limited operations, monitoring will continue until all people have been compensatedand all vulnerable affected persons have replaced their assets (e.g., homes, fields). Incomplex operations, the process of monitoring is recommended to continue two years

31

after completion of all expropriation/compensation operations. The monitoring isdesigned to determine whether the PAPs have sufficiently adjusted to changedcircumstances and provide remediation where difficulties are encountered.

During the monitoring period, the Environmental Management Unit shall conductquarterly reviews to ensure that adjustment of PAPs is taking place according to plan.Such reviews shall be planned from the beginning to allow the EMU to make necessaryadjustments in project implementation.

It is important to define key monitoring indicators and provision shall be made for a listof monitoring indicators, which shall be used for internal monitoring. A description ofinstitutional arrangements detailing responsibilities/activities and when they are to beimplemented will be made.

It is important to describe the frequency of reporting and content for internal monitoringincluding defining institutions where such reporting should be targeted. A descriptionshall be made regarding the integration of feedback from internal monitoring into projectimplementation. It is also important to describe not only the methodology for externalmonitoring but also key indicators focusing on outputs and impact. As in internalreporting, the frequency and content for external monitoring shall be described. Issuesarising from internal monitoring shall be presented to both the Local and NationalSteering Committees. The Committees shall then provide the necessary authority to allowthe Resettlement Coordinator to integrate such findings into project implementation.

Supervision should ensure that the executing agencies and/or contractors implement therecommended environmental and socio-economic safeguards. Project staff shall thereforeundertake regular supervision missions to monitor the effective implementation of themeasures recommended in the impact study. External monitoring shall be engaged as partof the implementation mechanism only where this is necessary and controversies arise.

It is expected that the EMU through the Resettlement Co-ordinator shall be the focalpoint for monitoring. It shall be assisted in its activities by the Environmental Council ofZambia who shall provide supervision monitoring. Reporting monitoring progress shallbe made to the Steering Committee on a quarterly basis or as may be agreed with steeringcommittee members. If requested, monitoring reports will be forwarded by the projectauthority to the project sponsors.

8.1 POST EVALUATION

External monitoring shall be conducted where this is necessary. In terms of projectssponsored by the World Bank, it is expected that specialists within the Bank shall beresponsible for external monitoring. The frequency with which such monitoring shall beconducted shall be agreed with the Bank during the development of the resettlementaction plan.

32

Where this may not be possible, an independent consultant may be engaged to conduct anevaluation of the implementation process and monitoring of the progress. A summary ofthe internal monitoring reports and the report by the independent consultant shall formthe basis of the project completion report and shall be presented to principal stakeholders.

The independent consultant shall determine the effectiveness of mitigation measuresrecommended and implemented, and the lessons learned which shall be utilized for theformulation of similar types of projects in future. The information to be reviewed in thepost evaluation will cover anticipated as well as unanticipated impacts. The evaluationshall compare the actual situation with the planned or predicted, and review theassumptions; the resettlement induced and associated risks, as well as uncertaintiesencountered.

Ex-post evaluation shall be provided for in the budget of the project and shall come fromcontributions by the host government or a willing donor during the development of theproject.

9. TIMELINE AND BUDGET

Each Resettlement Action Plan will provide a timeline of project activities, withinstitutional responsibility specified for each activity.

Further, Each Resettlement Action Plan will provide a detailed budget for all resettlementoperation activities, e.g., surveys, inventories, land and asset acquisition, supplementarycompensation, other assistance, monitoring activities,

33

Annex I -The Resettlement Coordinator

Qualifications

* The Resettlement Coordinator shall be a holder of a degree in any social sciencediscipline with five years experience in conducting social impact assessmentstudies or two years with a Masters degree.

* Shall be self motivated person requiring minimal supervision in the conduct ofduties

* Shall have excellent speaking and writing skills and able to coordinate projects.

Responsibilities

* The Resettlement Coordinator shall be the focal point for the appraisal, planningand implementation of resettlement activities.

* Shall serve as an ex-officio on the two committees and shall be the secretarytasked with the responsibility of following up issues that require implementationor have to be resolved outside the committees.

* Shall be responsible for reporting progress on agreed activities to the twocommittees.

* Shall conduct any other activities as directed by the committees.

34

Annex 11 (a) National Steering Committee

Composition

The National Steering Committee shall be composed of

* Two members from the Roads Department/Road Development Agency at theAssistant/Deputy Director level

* A representative from Department of Resettlement* A representative from the Valuation Department* A representative from the Ministry of Local Government and Housing* A representative of a known Non-governmental organization* An additional member from the Environmental Management Unit at senior level* A representative of the PAP such as Area Member of Parliament and or Council

Secretary* As indicated the Resettlement Coordinator shall be the ex-officio member of the

committee.

The chair for the committee shall be provided by one of the Assistant/Deputy Directorsfrom the Roads Department. The vice-chair shall come from either the Department ofResettlement or Department of Valuation.

The Committee shall decide on the number of times to sit but shall not be less than threesittings per year during the planning and implementation life of the resettlement project.

Annex II (b) Local Steering Committee

Composition

The Local steering Committee shall be composed as follows

* The Council Secretary, District Planner and Director of Works from the LocalAuthority,

* A leader of an NGO/CBO in the affected area or adjacent area if the area does nothave an active NGO/CBO,

* A representative of traditional leadership in the area.* Four (4) members from the affected community chosen by the general

membership affected by the project,* Representatives from particular government that may need to sit on the committee

because of the mandate they hold,* The Area Member of Parliament, and* Resettlement Coordinator who shall be an ex-officio member of the committee

and its secretary.

35

II

The Council Secretary shall chair the comnmittee at this level.

IIIIIIIIIIIIII

II 36

I

ANNEX III: - SCREENING GUIDELINES FORDEVELOPMENT PROJECTS IN THE ROADS SECTOR

GUIDELINES TO SCREENING OF PROJECTS IN THE ROADS SECTOR

Background and context

Environmental Impact Assessment is quite often viewed as a process embodying variousstages. Given that environmental studies require both time and financial resources asinputs and that some projects may generate impacts that are of little consequence, it hasbecome established practice to determine in advance whether a particular project willgenerate environmental impacts of major consequence and whether such a project shouldbe subjected to an environmental assessment study. The process of determining whetheror not a project requires some environmental analysis to be conducted beforeimplementation is called screening.

Within the roads sector, some of the projects generate impacts of consequence as studiescarried out indicate. A series of studies (1995-1996) initiated by the National RoadsBoard through the Road Maintenance Initiative, supported by the World Bank, haveshown that road rehabilitation and maintenance can generate environmental impacts suchas

i) Destruction of wildlife habitats and loss of bio-diversity along road environments;ii) Increased soil erosion during road works leading to siltation of rivers and streamsalong roads,iii) Contamination of soils and water resources by chemical, oil and fuel spillage bothduring road works and road use,iv) Disruption of traditional lifestyles and increased sexually transmitted diseases such asAIDS among both local communities and project workers.

However, it should be noted that not all types of road works will generate significantenvironmental impacts and hence the need for screening.

SCREENING

Screening determines whether or not a proposal requires detailed environmental impactassessment and, if so, at what level. Screening involves judging whether or not theexpected impacts of a proposal on the environment are likely to be of significance. Whileit is true that there are different approaches to screening, the approach suggested here is asequential one involving several levels of consideration in determining the potentialsignificance of impacts from a proposed road rehabilitation/construction project.

37

Screening tools

1. Provisions made under national policies and legislation.2. Use of a matrix checklist to identify impacts.3. Use of a questionnaire checklist to determine significance of impacts.4. Use of transects along and across the road

Provisions made under national policies and legislation.

Provisions made under various national policies and legislation could be used to addressspecific environmental concerns that may be affected by the construction andrehabilitation of roads as provided for under relevant policies and pieces of legislation.Notable policies and pieces of legislation with specific provisions on environmentinclude: - The National Environmental Action Plan (NEAP), Environmental Guidelinesfor Road Rehabilitation and Maintenance Work, Environmental Pollution and ProtectionControl Act, Forest Act, National Parks and Wildlife Act (Zambia Wildlife AuthorityAct), Water Act, National Heritage Conservation Commission Act, The Lands Act,Mines and Minerals Development Act, Roads and Traffic Control Act, Town andCountry Planning Act, Local Government Act, Public Health Act, Factories Act,Petroleum Act and Energy Regulation Act,

Specifically Statutory Instrument No 28 of 1997-The Environmental Protection andPollution Control (Environmental Impact Assessment) Regulations 1997, Regulation3(2)(a) provides that all major roads outside urban areas, the construction of new roadsand major improvements over 10 Km in length or over 1 Km in length if the road passesthrough a national park or Game Management Area requires an environmental impactassessment (EIAs) to be conducted. This provision means effectively that roadconstruction and rehabilitation will require an EIA during the planning periood.

Use of a matrix checklist to identify potential relationships andinfluences.

In order to understand the anticipated relationship between road construction/rehabilitation activities and potential receiving environments, a matrix checklist is used toidentify such relationships. Table 1 shows potential relationships between environmentalcomponents and variables on the horizontal axis and project activities on the vertical axis.

Where there is an interaction between the various environmental components and projectactivities, whether adverse or beneficial, placing an x or a tick against that activity canindicate such an interaction and environmental parameter to be affected (Table 1). Notethat one activity can generate a variety of impacts on different environmentalcomponents. For example, quarrying can affect ambient air quality, deform thelandscape, affect plants and animals and also affect human health and safety. It followsthat once potential relationships/influences have been identified, the next stage is todetermine the level of significance of such influences.

38

Use of a questionnaire checklist to determine signiflcance of impacts.

Determination of the significance of anticipated impacts of proposed projects is a keycomponent in the overall environmental impact assessment (EIA) process. It is importantthat actions that have the potential for significantly affecting the quality of the humanenvironment be assessed. The key issue is to determine a "significant impact".

Significance in this respect is defined as a substantial or potentially substantial adversechange in the physical, biological and socio-economic environment.

A series of questions are used to determine whether or not a particular road rehabilitation/construction project will substantially affect the environment thereby requiring a detailedstudy or not (Table 2). To determine significance each question can be assigned a scoreof 1-5, with 1 carrying the lowest significance and 5 the highest significance. A projectwith average scores ranging from 3-5 would require an environmental assessment.

Use of transects along and across the road alignment

Transects portray the interactions between the physical environment and human activitiesover space and time. They are useful for identifying natural characteristics both currentand historical. Information about the existing environment is gathered by walking/drivingin a line through a cross-section of the landscape. The line may extend along anydirection e.g. along and across the road as long as all major ecological and productionzones are covered. This ensures that representation of maximum topographical, landresource and socio-economic variations in a given environmental setting. Key featureabout transects is that they are exploratory and through careful observations can reveal alot of information on general landscape, soil stability, vegetation/land use zones,agricultural productivity, soil productivity, areas of erosion hazard, slope and drainagepatterns, landmarks (physical features), contracts and changes, socio - economicindicators such as population density, forest reserves and other areas of high biodiversityof the area. The information gathered may be used to construct a landscape/land useprofile and for predicting impacts emanating from roads works.

39

Table 1. A generic matrix used to determine the relationships between project activities and environmental parameters/variables

Will the proposed project adversely affect the following environmental parametersTick as Socio-economic Aesthetic/Cultural Biological Physicalal nriate

Inc E Set ** Healt Land De Loc G Cult P1 A Biolo Indi La S W H *Ecol A NEnvironmenta l\ om mp tie So h use! mo al en ural an ni gical cator nd oi ate y ogical i oiProject e loy me cial (epid encroa gra val de reso ts m diver spec sc I r dr ly r sconcern me nt val emics chmen ph ues r urce als sity ies ap st qu ol sensit eStages and nt ues HIV) t y s e ab alit o iveRelated activities ili y/s g areas

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ~~~ty u p y _ _ _

1. Materialmobilization andhandling

Transportation ofaggregatematerialsTransportation ofpetroleumproducts _ _ _ _ _ _ _

Storage ofMaterials andchemicals2. Heavymachinery &vehiclemovementTransportation ofequipment

40

-- ------ n - - - -- - - - -

Equipmentoperations onro ad _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

Storage ofequipment3. SiteInstallationVegetationclearing ____!_Construction ofcamp structuresConstructionmaterialsConstructionmethodsWater abstraction(domestic use) . _ _

Will the proposed project adversely affect the following environmental parametersTick as Socio-economic Aesthetic/Cultural Biological Physicalap nQpriate

Inc E Set **S Healt Land De Loc G Cult P A Biol Indi La Soi Wat Hy *Ecol A NEnvironment om mp tle ocia h - use/e mo al en ural I ni ogic cato nd I er dro ogical i oProject e loy me 1 epide ncroa gra val de reso a m al r sca sta qual log ly r iconcern me nts valu mics chme ph ues r urce n al diver spe pe bili ity/s y sensiti sStages and nt es nt y s ts s sity cies ty u ve eRelated activities _ areas4. Stockpile areapreparationVegetation

clearing

41

Top soilinterruiptions__ _ _ _ __ _ __ _ _ _ _ _ _ _ __ _ _ _ __ __ ___ __ _ _ _ _ _ _ _ __ __ _ _

5. QuarryingVegetation X X Xclearing __

top soil removal X X Xto expose the rockBlasting of the X X X XrockSorting crushedrock___ _

Loading of stonesonto trucks6. Constructionof detours, accessroads and plantpark sitesVegetationclearin g_ _ _ _ __ _ __ _ _ _ _ _ _ ___ _ _ _ _ __ _ _ _ _ _ _ _

Landscaping _ _ _ _ I ISoil compaction I _ = = = = = =7. Preparationand formation ofcarriageway

Piling of tarmaterials on roads _ _ _ _ _ _ ______

Spreading of tarDisposal of old tarfrom patches

Will the proposed project adversely affect the following environmental parameters

42

Tick as Socio-economic Aesthetic/Cultural Biological Physicalappropriate

Inc E Set **S Hea Lan De Lo G Cult P A Bio Indi L So wate Hyd *Ecolo A NEnviro ntal om mp tle ocia Ith - dus mo cal e ural 1 ni logi cato an il r rolo gically ir oProject e loy me 1 epi e/ gra val n reso a m cal r ds sta qual gy sensiti iconcern me nts val de encr ph ue d urce n al div spec ca bil ity ve sStages and nt ues mic oac y s er s t s ersi ies pe ity /sup areas eRelated activities s ime s ty ply

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ~~~n t

8. DrainageexcavationsVegetationc le a rin g _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ j _ _ _ _ __ _ _ j _ _ _ _ _ _ I _ _ _ _ _ _ I _ _ _ _

Land reshapingSoil compaction = = = = = = = I =9. Asphalt plantoperationsVegetationclearingSoil compaction _ ____

Asphalttransportation ____

Storage ofasphalt materialsWaste generation(effluent &gaseous) _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _

10. Energyrequirementsand other social

43

inter-actions/servicesExploitation ofplant materials __

WaterabstractionConstruction ofsewage disposalfacilities** Social values include family/household stability, marriage stability, casual sex relations, prostitution etc.

44

Table 2. Checklist for determining the significance of impacts in Road Development andImprovement Projects

Questions related to environmentalresources

Yes No Significance Level1. Will the project substantially

Degrade water quality? D L LI2. Will the project substantially

interfere with ground water LIII LI LIRecharge/flows?

3. Will the project cause substantialFlooding, erosion or siltation? L L L

4. Will the project substantially diminishHabitat for fish, wildlife or plants? L I L

5. Will the project convert primeagricultural land to non-agricultural muse or impair productivity of prime LI I lI l IAgricultural land?

6. Will the project substantially interfere LI LIwith the movement of residents orMigratory fish or wildlife?

7. Will the project have a substantialdemonstrable negative aestheticEffect?

8. Will the project expose sensitivereceptors to substantial pollutant I IConcentrations?

9. Will the project affect an Cenvironmental component thatis legally, politically and/or publiclyRecognized as Important?

10. Will the project rely on any localraw material (e.g. wood, fiber,

Water etc.) Used by the local population?

45

I~~~~~~11. Will the project decrease use of

products from these areas(ecosystems) by producing or EProviding substitute materials?

12. Will the project cause significant r mmdemographical changes (e.g.increased population growth inthe area), bringing about increased strOn local resources and ecosystems?

13. Will the project lead to significantdisruption of the socio-economicAspects of the local communities? _

14. Will the project bring about rl 7rl X7significant public outcry or n il n l

concern because of potentialEnvironmental changes?

15. Will the project traverse *sensitiveAreas? LLL

16. Will the project cause significantDamage to *sensitive and valued areas? 7 9

Questions related to the nature of impacts

17. Are the impacts beneficial? D D18. Are the impacts reversible? FL F C

19 . Are the impacts persistence in time D D DWith long term effects?

20. Are the impacts pervasive in space D] D DWith wider spatial extent?

21. Are the impact direct/primary? D D22. Are the impacts cumulative? FID D O

46

In the event that critical information is lacking and that a decision cannot be made on thebasis of available information, an initial environmental evaluation (IEE) is recommended.This initial environmental examination entails, a description of the proposal andexamines any alternatives that might improve environmental outcomes; identifies andaddresses the concerns of the local community; identifies and assesses the potentialenvironmental effects; mitigates adverse effects and enhances potential benefits; and maycontain environmental monitoring and management plans.

I * Ecologically sensitive areas include: National Parks, Wildlife reserves and Wildlifesanctuaries; Forest Estates and Nature Parks; Biodiversity protected areas; Swamps,wetlands and dambo areas; Productive agricultural lands; Upper watershed areas;River buffer zones and areas surrounding lakes and reservoirs; Springs and watersupply areas; Recreational parks; Cultural reserves and scientific research areas;Areas of archaeological, cultural and historical importance; Areas containing rare andendangered flora or fauna; Areas containing unique or outstanding scenery; Steepslopes and other fragile areas.

47

ANNEX IV OUTLINE FOR RESETTLEMENT ACTIONPLAN

* Introduction about the project

* Brief introduction about the project* List of project components* Description of project components causing land acquisition and resettlement.

Overall estimates of land acquisition and resettlement.

* Minimizing resettlement* Describe efforts made for minimizing resettlement* Describe the result of these efforts

* Census and socio-economic surveys

* Identify all the PAPs first and draw a list* Identify all categories of impacts (loss of property and assets; loss of

livelihood; impacts on groups and communities)* Give formats and tables for census surveys* Provide outlines for socio-economic survey* Summarize process for consultations on the results of the census surveys* Describe need and mechanism to conduct updates, if necessary

* Resettlement policies and legal framework

* Identify areas of conflict between local laws and World Bank policies, and project-specific mechanisms to address conflicts

* Provide a definition of project affected persons* Describe entitlement categories for each category of impact* Describe method of evaluation used for affected structures, land, trees and other

assets* Provide entitlement matnrx

* Resettlement sites

Does the project need community relocation? Have these been approved bythe PAPs?Give layouts and designs of residential sitesHave the PAPs agreed to the strategy for housing replacement? Have theselected sites been explicitly approved by the PAPs describe the specificprocess of showing the sites to the PAPs and obtaining their opinion on them.

48

* Describe the technical and feasibility studies conducted to determine thesuitability of the proposed sites.

* Is the land quality/area adequate for allocation to all of the PAPs eligible forallocation of agricultural land?

* Give calculations relating to site requirements and availability.* Describe mechanisms for (i) procuring, (ii) developing and (iii) allotting

resettlement sites* Provide detailed description of the arrangements for site development for

agriculture, including funding of development costs.* Carry out an assessment of possible impacts on the receiving environment.

* Institutional arrangements

* Identify and discuss the institutions responsible for delivery of eachitem/activity in the entitlement policy

* Describe the project resettlement unit - functions and organizational structureof the unit and coordination relationship

* State how coordination issues will be addressed in cases where resettlement isspread over a number of jurisdictions.

* Identify who will coordinate all agencies-with the necessary mandate* State when the project resettlement unit will be staffed.* Describe plans for training and development of staff in the resettlement t

unit/local agencies.* Discuss initiatives taken to improve the long term capacity or resettlement

institutions

* Income restoration

* Briefly spell out the main restoration strategies for each category of impacts,and describe the institutional, financial and technical aspects.

* Describe the process of consultation with project affected persons (PAPs) tofinalize strategies for income restoration

* How do these strategies vary with the area/locality of impact?* Are the compensation entitlements sufficient to restore income streams for

each category of impact? What additional economic rehabilitation measuresare necessary?

* Does income restoration require change in livelihoods, development ofalternative farmlands, etc., or involve some other activities, which require asubstantial amount of time for preparation and implementation?

* How does the action plan propose to address impoverishment risks?* Are choices and options built into the entitlements? If so, what is the

mechanism for risk and benefit analysis of each option? What is the process ofensuring that PAPs have knowledge about alternatives and can make informeddecisions? Is there a mechanism to encourage vulnerable groups among PAPsto choose lower risk options such as support in kind rather than cash?

49

* What are the main institutional and other risks for the smooth implementationof the resettlement programs?

Implementation schedule

* List and briefly describe the chronological steps in implementation of theresettlement, including identification of agencies responsible for each step ofthe program.

* Prepare a month-wise implementation schedule of activities to be undertakenas part of the resettlement implementation (Gantt chart)

* Describe the linkages between resettlement implementation and initiation ofcivil works for each of the project components.

* Costs and budgets

* Clear statement of financial responsibility and authority.* Ensure that the cost of resettlement is included in the overall project costs.* Identify components, if any, to be funded by donors such as World Bank,

JICA, NORAD, DANNIDA, etc.* Resettlement costs should be a part of annual involvement plans.* Prepare a cost-wise, item-wise budget estimate for the entire direction of

resettlement implementation, including administrative expense, monitoringand evaluation and contingencies.

* List the sources of funds and describe the flow of funds.* Describe the specific mechanisms to adjust cost estimates by the inflation

factor.* Describe provisions to account for physical and price contingencies.

* Participation and consultation

* Describe the process of consultation/participation in resettlement preparationand planning.

* Describe the various stakeholders.* Describe the plan for disseminating information to project affected persons

(PAPs), such as provisions for a booklet to informn PAPs and otherstakeholders.

* Describe examples of outcomes of participation and consultation, such as howlocal beneficiaries' views have influenced the design process, entitlements andsupport mechanisms, or other issues.

* Have workshops been conducted, or are they planned? Who are theparticipants, and what are the expected outcomes?

50

* Grievance redress

* Describe the step-by-step process for registering and addressing grievances

* Provide specific details regarding registering complaints, response time,

communication modes, etc.* Describe the mechanism for appeal

*Note the provisions of the Arbitration Act No. 129 of 2000 shall apply.

I Monitoring and evaluation

* Describe the internal monitoring process

* Define key monitoring indicators. Provide a list of monitoring indicators,

which would be used for internal monitoring.

* Describe institutional (including financial) arrangements.

* Describe frequency of reporting and content for internal monitoring.

* Describe process for integrating feedback from internal monitoring into

implementation.* Describe financial arrangements for external monitoring and evaluation,

including process for awarding and maintenance of contracts for the duration

of resettlement.* Describe methodology for external monitoring.

* Define key indicators for external monitoring, focussing on outputs and

impacts.* Describe frequency of reporting and content for external monitoring.

* Describe process for integrating feedback from external monitoring into

implementation.

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

* Approval of RAP (Process)

* Complete resettlement action plan document.

* Present RAP document before Local Steering Committee.

* Present RAP document before National Steering Committee Plus major

resolutions from Local Steering Committee.

* Implement approved provisions of RAP

51

Annex V: - Project cycle for road projects - contractpreparation and supervision

Proj ect phases

Proposed road projects follow a particular cycle and are presented here so as to guide theplanning process for those involved in undertaking the resettlement activity. Contractpreparation and supervision of road improvement works is organised around five mainphases and these are: -

* Preparatory works* Tendering process* Project implementation organization* Approval and awarding of contracts* Supervision of physical works

Preparatory works include selection of roads, field assessment (road inventories,surveys, collection of data, etc.) preparing improvement plans (preparation of technicalspecification, location maps and standard cross section for works to be carried out andcalculations of quantities) and preparation of tender documents.

In terms of the resettlement action plan, this would include screening such projects,designing the terms of reference, conducting social inventory and valuation of assets, andhaving the RAP cleared by the two committees.

Tendering process involves invitation to tender, making tender documents available topre-qualified or registered contractors, organizing pre-tender site visits, issuing tendernotices, receipt and opening of tenders, tender evaluation, and contract negotiations andawarding of tenders.

During the tendering period, major provisions of the RAP included in the tenderdocument.

Organising implementation of a project involves giving notice to contractor tocommence work, liaising and reporting to the employer/client and liaising withcontractor/representatives.

Compensation packages and other form of assistance assessed during the appraisal periodimplemented.

Approval and awarding of contracts entails obtaining performance bond, insurance ofwork and workers, giving notice to contractor to take possession of site, obtainingcontractors work programme and mobilization of staff, workers and equipment.

52

Supervision of physical work involves day-to-day monitoring of physical progress ofthe works, application of conditions of contract, enforcement of specifications, measuringof works with contractor's representatives, quality control in form of materials testing atlaboratory and on site, certification of work done, preparation of interim paymentcertificates, control of material and equipment on site, issuing of site instructions andvariation orders and settlement of disputes (arbitration, conciliation, etc.).

Linking environmental appraisal to particular phases of engineering feasibility studiesand contract preparation and supervision.

From a planning perspective, project development will be expected to follow a well-defined process, which includes pre-feasibility, and feasibility studies, preliminarydesign, detailed design and construction. This is followed by operation and maintenanceof the completed project. Depending on the nature of the project, consultation withvarious government agencies and the public, is a key activity during several of the earlystages. The environmental study team is expected to finalise the environmentalassessment process just when the feasibility stage of the engineering work is beingcompleted. This is to ensure that the final design plan has included measures that enhancethe protection of the environment. It is also meant to ensure that cost estimates are notrevised due to integration of environmental objectives long after the design has beenfinalised and the bill of quantities agreed to.

It is therefore recommended that the environmental procedures be carried out through outthe contract preparation and supervision cycle. The table below gives guidance on theactivities to be carried out at each successive stage of contract preparation andsupervision and how social impact assessment links into that

53

CONTRACT PREPARATION PHASE

Preparatory Works Environmental Procedure

1 Liaison with relevant RoadAuthorities

2 Selection of roads Consult EMU staff in relevantRoad Authority/screen proposed

projects/determine roadsrequiring resettlement

activities

3 Field assessments Conduct baseline studies(including social and

economic surveys)

4 Improvement Plan Impactanalysis/consultation/finalise

environmental assessmentdocument/Finalise RAP

document and have it clearedby the two steering

committees

Preparation of tender Prepare/include environmental5 documents clauses/TORs in tender

document/include majorprovisions of the RAP

document in the tenderdocument.

54

Supervision of Physical Works

6 Apply conditions of contract Apply environmental

7 Enforce specifications Enforce environmentall l l l ~~~~~~~~~~specificationsl

8 Measuring of works with Monitoring ofcontractor's representatives environmental works with

l ________________ contractor's representatives

9 Quality control in form of Environmental qualitymaterials testing at Labs and control of inputs and outputs

on site

10 Certification of work Certification ofcompleted environmental mitigation

measures done

11 Preparation of interimpayment certificates

12 Control of material andequipment on site

13 Issue site instructions andvariation orders

14 Settlement of disput Settlement of enviroMnentall _________________________ _ ldisputes (if any)

DETERMINING THE NATURE AND SCALE OF IMPACTS

In the preliminary planning of a road project, the approximate number of properties,houses, businesses, and roadside activities likely to be affected by land acquisition shouldbe identified for each option under consideration. In addition, it is necessary to identifythe number of squatters, and other informal activities affected by the proposed project.

55

This provides a first indication of the potential need to investigate land acquisition andresettlement issues more closely.

Where no land acquisition would be required, and where only very minor impacts arelikely to be experienced, simple measures to avoid or mitigate these effects should beexplored.

Where land acquisition or a change of land use is required, a table of project-affectedpersons should be developed (see table 1). This table may be somewhat inexact in theearly stages of project planning, but the details should become precise as options aredefined more clearly and as the land surveys (and ultimately the final design) arecompleted. At each stage, the table should identify the types of people affected (e. g. asowners, tenants, employees, squatters, indigenous people); the type of impact on land (e.g. farm size reduced, house or shop acquired, access limited); and the type of impact onpeople (e. g. reduced livelihood through loss of employment, crop or commodity lossesor loss of business income, lost house, etc.).

Assessing the scale of impacts requires more detailed analysis. For residences, impactassessment requires an inventory of houses affected and the extent of property acquisitionfrom each. It also requires a determination of the type of occupancy for each resident andan indication of length of residence. It is advisable to plan to compensate or assist allaffected persons.

Assessment of impacts on businesses requires a slightly different approach. An estimateof temporary financial loss and of temporary relocation costs, if any, will be required forbusiness that will be able to relocate within the immediate area. By contrast, for businessthat will have to move out of the area, or that will suffer a major loss of clientele, it willbe necessary to estimate the minimal costs of relocation and re-establishment. Allowanceshould also be made for technical and financial assistance to modify and adapt businessesto new circumstances. For farmers, economic losses can include the value of crops in theground and the loss of earnings due to unfamiliarity with the new land.

Land acquisition and resettlement actions also have impacts on the remaining residentsand businesses, who may be faced with diminished family and community structures andbusiness clientele, and reduced property values.

In addition to site inspection and land surveys, household and business interview surveyswill be required to establish the extent of impacts. Due to the absence of secondarysources of data, consultation with affected persons and communities should play animportant role in identifying potential impacts, possible alternatives, and mitigationmeasures.

56

Table 4 - PROJECT AFFECTED PEOPLE - SUMMARY TABLE OF IMPACTS

IMPACT MATRIXRoad

Extent of Area

Location

% of PeopleAffected

Total PopulationAffected

Social Unitaffected

No. Admin UnitsInvolved

Land -for -Land

RelocationDifficulties

LivelihoodAffected

THE AFFECTED COMMUNITY

The host population, i. e. the population already living on the land identified asresettlement area, is often hostile towards resettlers as they will have to compete withresettlers for existing jobs, land, grazing and firewood collection sites, or if resettlers areprovided with better facilities and options. The resettlers on their part are often stressedby the apparently inevitable conflicts with the host over land rights, political authority,and a wide range of unexpected events occurring during the transitional period copingwith a new physical environment and with the hosts.

While most resettlement planning concentrates on those people who need to be resettled,the community or communities that receive and absorb the resettlers must also be takeninto consideration. In regions where arable land is scarce, or where other basic resourcessuch as fuel wood and water are in short supply, the impacts on the host community fromthe influx of a new group of "users" could be severe.

57

EA planners should always investigate the host areas' ability to sustain a resettledpopulation without serious resource depletion. Important factors to consider include: -

* Availability of clean water (in all seasons);* Amount and productivity of agricultural land;

Utilities, such as

* Health services;* School system;* Sewage disposal and water delivery systems;* Road network

Planners should determine which resources would not be able to support resettlers in asustainable way. Other sources of required utilities should then be recommended.

Great care must be taken to avoid resettling people in areas where they will be viewed astrespassers taking up resources in short supply, or in areas which are totally foreign tothem.

Project affected people, including both the resettler and host populations, shouldtherefore as a principle always be participating in finding solutions to problemsencountered in the project planning, design, implementation and evaluation. Priorityshould be given to resettlers but the living conditions of the host population should alsoimprove or at least not deteriorate. Forced resettlement and forced expropriation of land,territories and resources often result in loss of cultural identification, and the affectedpopulation should therefore not only be consulted, but should also give approval of theproject and different project components. In addition, resettlements often result inworsening gender inequalities and affect ethnic balances.

In order to ensure participation, it will be of benefit to examine the traditional decision-making process and try to incorporate those mechanisms into the resettlement process.Grass root institutions like traditional village councils and other local institutions havewell-established traditional ways of communication and are usually respected bygovernments and may thus be the most sustainable base for community involvement. Tosupport the local social and cultural institutions, participation should ideally include localpolitical leaders, religious leaders, and representatives of local or traditional organisationsor institutions of all affected groups, who will be directly affected.

58

Annex VI: - DEVELOPMENT APPROACH - ISSUESREQUIRED FOR CONSIDERATION

Resettlement of involuntary displaced persons will usually involve several developmentactivities in order to minimise the effects of displacement, increase or at least sustain theliving standard and income earning capacities of the resettlers, and provide the necessarymeans for these people to keep as much of their social, economic, cultural and politicalinstitutions, and integrity as possible. Therefore, a welfare or relief approach is notfeasible, as it tends to keep people in dependency and the feeling of not being able toinfluence living conditions. Instead, a development approach with strong localparticipation and an understanding of socio-economic factors as well as detailedknowledge of the dominant land-use patterns is required.

A development approach means to offer one of several developmental package(s)consisting of a set of activities, aimed at reconstructing the production foundation of theresettled by assisting them in becoming self-sustained producers or wage earners. Thedevelopment activities should be gender sensitive and take into consideration specialrequirements needed for vulnerable groups, like marginalized farmers, indigenousgroups, ethnic minorities, pastoralists, etc. Development activities may also be offerednot only to resettlers, but also to the affected host population.

The following incentives could be offered: -

Agricultural incentives'

* Extensive services in improved seeds, seed distribution, information and trainingin improved technology, diversification and crop rotation throughout theagricultural activities, provision of fertiliser and pesticides, storage facilities andmarketing;

* Horticulture information and training, livestock vaccination, improved fodder,improved stable or shelter conditions, and marketing;

* Fisheries information and training in improved technologies regarding bothcommercial fish cultivation and farming, and sea, lake and river fishing, andmarketing;

* Community based forestry;* Credit provision; and* Provision of delivery systems, storage and marketing facilities.

Special attention should be given to people resettled in a different ecological zone, wherelocal conditions are unfamiliar and special information; training and extension servicesmay be needed. Special activities may also be directed towards women according to therole they perform in the agricultural cycle and in regard to livestock breeding. A special

59

women-oriented focus could provide training and extension on post harvest activities,like storage, seed selection, and rodent control, composting and food preservation.

WATER AND SANITATION SCHEMES

Water schemes may prove important, as limited access to clean drinking water has raisedincidences of schistosomiasis, guinea worm, and amoebic dysentery in many resettlementprojects. Clean drinking water may be provided through wells or gravity schemes, eachrequiring maintenance training. Sanitation facilities should focus on latrines, sewage andgarbage facilities may also be provided.

HEALTH ACTIVITIES

Health issues are crucial in resettlement projects. Therefore, health information andtraining should always be provided on: -

* Protection and maintenance of water source and sanitary facilities;* Environmental and personal hygiene;* Infectious diseases, their cause, symptoms, prevention, treatment, andIimmunization;* Nutrition; and* Maternal and child health care.

Health services, like clinic, extension post, mobile clinic, mother and child centres, birthattendance, and family planning posts may also be provided. Participation of local healthpractitioners is essential.

CREDIT

Credit schemes supporting income generation in on-farm and off-farm activities, rangingfrom small credit extension activities to larger schemes aiming at small entrepreneurialbusiness enterprises and with focus on job creation, can sometimes be an incentive forpeople to invest locally, and may be an asset in some resettlement projects.

ENERGY

In larger resettlement schemes, it may be considered to support provision of the energyneeded for future development by introducing new technologies in renewable energieslike wind and solar energy where applicable and feasible. Or to give support to thetransition from traditional forms of energy to the utilisation of modem forms that couldbe offered through a credit scheme.

Decision on which activities or packages to provide in a given resettlement project shouldbe made with the project affected people or their representatives. The future users'(resettlers and host population) could be asked to give some project inputs in terms oflabour and/or materials. However, care should be taken not to put too much stress on the

60

resettlers, especially in the first phases of the resettlement process. The resettlement planmust further ensure that all local obligations are finalised at the time of projectcompletion.

ENVIRONMENTAL PROTECTION AND MANAGEMENT

The EIA should also include environmental impacts of rural and urban resettlementprojects, like deforestation, soil erosion, overgrazing, transportation capacity, access topotable water, sanitation and health facilities and mitigating measures identified. Anestimation of the population size at the time of resettling, as well as two generationsahead should be made in order to see whether the carrying capacity of the naturalresources is sufficient for the coming resettlement. The participation of representativesfrom both resettlers and hosts is essential in order to avoid major environmental problemslike overgrazing and deforestation when local leaders take over.

61

Annex VII: - Summary Budget for Resettlement

Activity/Property Total Agency RemarksAmount Responsible

Compensation for Local land Communal land held throughland council customary tenure will be replaced by

local chiefsCompensation for Un-depreciated replacement valueresidencesCompensation for Un-depreciated replacement value;commercial lost profit during period of move;structures employees wages (if salaried)Compensation for Allocate acceptable new stallmarket stalls location; pay moving costs and lost

profits during period of moveCompensation for Amount to cover moving costskiosksCompensation for Market price mid-way betweencrops (one-year harvests, for each croploss)Compensation for By species, value of crop productiontrees lost until; replacement trees come

into full production.Compensation for At un-depreciated replacement value;other assets includes wells boreholes, fences,

animal pens, and other improvements.Disturbance 15% of agreed compensation for lostallowance assetsVulnerability Percentage of agreed compensationallowance for lost assets; to cover additional

costs for construction and relocationResettlement costs Covers any additional expenses (e. g.

land taxes, transfer fees), as well ascommunity information programs

Contracts Fee to any contract ed third party (e.G. NGO) to assist with operation

Monitoring Covers cost of consultant to conductperiodic surveys

Contigency Usually 10%(Other)TOTAL

62