Resettlement planning and implementation

Resettlement planning and implementation
Aim of this slide: Title slide for session on Resettlement Planning and Implementation. Notes to the presenter: This session is designed for use by community relations practitioners who are either: new to community relations practice and general social performance management; and new to concepts and approaches regarding resettlement and its implications for business. In order to run this session effectively, you will need the following: A flipchart, flipchart paper and marker pens; Sufficient space to team participants up into small working groups; Access to electronic copies of: ICMM’s Land acquisition and resettlement: Lessons learned (2015) IFC Performance Standard 5 (2012) This session is designed to take approximately 3.5 hours. Within this pack, you will find slides that are “hidden” and which are a repeat of the previous slide. Do not delete these! Due to restrictions on the length of the script in the notes section, the explanatory text sometimes has to flow over more than one slide. Hence the repeated slide/image, but the different text in the notes section. Your participants will not see these hidden slides, and you will have the benefit of the full script. Resettlement planning and implementation Audience B: Detailed training for Community Relations Professionals

Aims and objectives of this session
In this session we’ll explore: What do we mean by resettlement? What are the key resettlement standards? What are the key resettlement impacts and risks? What do we need to do in practice? Further information. Aim of this slide: To introduce the objectives and scope of this awareness raising session. Key points: The objective of this session is to provide an overview of resettlement planning and implementation, with a focus on answering the following questions: What do we mean by resettlement? What are the key standards governing resettlement? What are the key impacts and risks associated with resettlement? What do we need to in practice with regards to resettlement? And lastly, signposting to further information on resettlement.

Defining resettlement
and associated standards

Defining resettlement
Resettlement: the disruption and displacement of communities resulting from project-related land acquisition and restrictions on land use Voluntary or involuntary Voluntary: when resettled households have the choice to move Involuntary: when affected persons or communities do not have the right to refuse Physical or economic Physical: relocation or loss of shelter Economic: loss of assets or access to assets that leads to loss of income sources or other means of livelihood Aim of this slide: By way of introduction, to provide a definition of resettlement, as provided by the International Finance Corporation (IFC) Performance Standard 5. The IFC defines resettlement as the disruption and displacement of communities resulting from “project-related land acquisition and restrictions on land use”(IFC PS 5, 2015). Resettlement can be classified as either voluntary or involuntary, and may be either physical or economic. Resettlement is voluntary when resettled households have the choice to move. When the voluntary nature of resettlement cannot be confirmed, resettlement should be treated as involuntary. Resettlement is considered to be involuntary when “affected persons or communities do not have the right to refuse”(IFC PS 5, 2015). This includes cases where a company has the legal right to expropriate land. In terms of best practice, operations are encouraged to acquire land rights through negotiated settlements wherever possible, even if they have the legal means to gain access to land without the sellers’ or occupiers’ consent. Physical displacement is defined as “relocation or loss of shelter”, whilst economic displacement is defined as the “loss of assets or access to assets that leads to loss of income sources or other means of livelihood”(IFC PS 5, 2015). For example, a household may have a portion of their land expropriated for the development of an access road, impacting on the crops they can produce. Similarly, the acquisition of water resources for a project may impact negatively on the livelihoods of people living in the area. Economic displacement is defined as “loss of assets or access to assets that leads to loss of income sources or other means of livelihood” (IFC PS 5, 2015). It can be permanent or temporary (for example, when affected persons lose temporary access to a portion of their fields during the construction of an access road). Reference for material used: IFC Performance Standard 5 (2015) and Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, Page 97.

Standards and legislation governing resettlement
International standards National legislation Industry organisations IFC Performance Standard 5: Land Acquisition and Involuntary Resettlement considered the international gold standard Resettlement legislation tends not to cover full set of resettlement issues. Beyond compliance thus essential, although risks to business exist in closing the gap. ICMM SD Framework: members to respect human rights (Principle 3) and contribute to the social, economic and institutional development (Principle 3 & 9) Aim of this slide: To outline the different instruments that govern resettlement planning and implementation, and which essentially spell out the “what we need to do in practice”. Key points: There are four main bodies of instruments that govern positions and approaches to resettlement. These are: international standards set primarily by international funding institutions; national legislation; industry standards; and corporate policies. These are the instruments that are designed to manage the impacts and risks associated with resettlement. International Standards: Although a number of international standards exist, the international gold standard for resettlement planning and implementation is IFC Performance Standard 5: Land Acquisition and Involuntary Resettlement, along with: IFC PS 1: Assessment and Management of Environmental and Social Risks and Impacts; IFC PS 7: Indigenous Peoples; and IFC PS 8: Cultural Heritage. The IFC standards apply to private-sector clients of the IFC. However, they are generally regarded as the guiding standard in the extractive sector, with the expectation that companies comply with them or model their own corporate standards on them. For public sector projects, World Bank Operational Policy (OP) 4.12—Involuntary Resettlement (World Bank 2001b); and Bank Procedure (BP) 4.12—Involuntary Resettlement (World Bank 2001a) applies. (Notes: 1 of 3) Company’s corporate policy on resettlement

International standards National legislation Industry organisations IFC Performance Standard 5: Land Acquisition and Involuntary Resettlement considered the international gold standard Resettlement legislation tends not to cover full set of resettlement issues. Beyond compliance thus essential, although risks to business exist in closing the gap. ICMM SD Framework: members to respect human rights (Principle 3) and contribute to the social, economic and institutional development (Principle 3 & 9) The Equator Principles (2013), a financial industry benchmark for determining, assessing and managing social and environmental risk in project financing, reflect the requirements of the IFC Performance Standards. Adopting institutions undertake not to loan to projects in which the borrower will not, or is unable to, comply with the environmental and social policies and processes outlined in the Equator Principles and IFC Performance Standards. National legislation: Although in many countries there has been an increase in legislation regulating land access and resettlement, in most countries this legislation doesn’t cover the full set of issues and complexities linked to resettlement. The reality is therefore that companies have to go beyond mere compliance with national legislation in order to fully address key resettlement risks and challenges. IFC PS 5 requires the project proponent to “bridge the gap” between domestic legal requirements and the requirements of PS 5 where necessary. In instances where land access and resettlement are the responsibility of government, the project will collaborate with the responsible government agency to the extent permitted – preparing a Supplemental Resettlement Plan where necessary. Where government capacity is limited, the project proponent is required to play an active role during planning, implementation and monitoring of the resettlement process. Where national legislation supports (or does not contradict) international best practice, the company will have government support for how the resettlement is carried out. However, where the national legislation falls short of international best practice, there is the potential for tension between the company and government, particularly where government is resistant to precedents being set with regards to how resettlement is carried out in their country. This is most often seen in relation to the extent of engagement and involvement of affected parties in the resettlement process and on levels of compensation awarded. (Notes: 2 of 3) Company’s corporate policy on resettlement

International standards National legislation Industry organisations IFC Performance Standard 5: Land Acquisition and Involuntary Resettlement considered the international gold standard Resettlement legislation tends not to cover full set of resettlement issues. Beyond compliance thus essential, although risks to business exist in closing the gap. ICMM SD Framework: members to respect human rights (Principle 3) and contribute to the social, economic and institutional development (Principle 3 & 9) Industry organisations - ICMM requirements: ICMM requires that its members implement and measure performance against ICMM’s ten sustainable development principles (see ICMM Sustainable Development Framework), including the need to “Uphold fundamental human rights and respect cultures, customs and values in dealings with employees and others who are affected by our activities” (Principle 3), and “Contribute to the social, economic and institutional development of the communities in which we operate” (Principle 9). Responsibly addressing resettlement issues is one means by which companies can respect human rights and positively contribute to development. The Prospectors & Developers Association of Canada and IPIECA (the global oil and gas industry association for environmental and social issues) are examples of other industry organisations that have developed guidance materials to help deal with social issues, including land access and resettlement. And lastly, corporate policy and associated commitments with regards to resettlement planning. These are typically modelled on IFC PS 5. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Page 9-10. (Notes: 3 of 3) Company’s corporate policy on resettlement

Objectives of resettlement planning (1 of 2)
Avoid or at least minimize involuntary resettlement wherever feasible Avoid forced eviction Mitigate adverse social and economic impacts from land acquisition or restrictions on affected persons’ use of land by: Providing compensation for loss of assets at replacement cost; and Appropriate disclosure of information, consultation, and the informed participation of those affected. Aim of this slide: To define the objectives of resettlement planning (based on IFC PS 5) – doing so helps to clarify the levels of performance required by companies in relation to resettlement. Key points: The overall objective of resettlement planning is to ensure that all affected people are compensated equitably in accordance with local laws and international guidelines, and have the opportunity to improve their living standards and income-earning capacity over pre-resettlement levels. Key principles which underlie good resettlement planning, as per IFC PS 5, are: Avoid or at least minimize involuntary resettlement wherever feasible by exploring alternative project designs; Avoid forced eviction; Mitigate adverse social and economic impacts from land acquisition or restrictions on affected persons’ use of land by: providing compensation for loss of assets at replacement cost; and ensuring that resettlement activities are implemented with appropriate disclosure of information, consultation, and the informed participation of those affected; Improve or at least restore the livelihoods and standards of living of displaced persons; Improve living conditions among displaced persons through provision of adequate housing with security of tenure at resettlement sites (Note: A resettlement site offers security of tenure if it protects the resettled persons from forced evictions [IFC PS 5, 2012]). Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Page 9, but taken from IFC PS 5 (2012).

Objectives of resettlement planning (2 of 2)
Improve or at least restore the livelihoods and standards of living of displaced persons Improve living conditions among displaced persons through provision of adequate housing with security of tenure at resettlement sites. Aim of this slide: To define the objectives of resettlement planning (based on IFC PS 5) – doing so helps to clarify the levels of performance required by companies in relation to resettlement. Key points: The overall objective of resettlement planning is to ensure that all affected people are compensated equitably in accordance with local laws and international guidelines, and have the opportunity to improve their living standards and income-earning capacity over pre-resettlement levels. Key principles which underlie good resettlement planning, as per IFC PS 5, are: Avoid or at least minimize involuntary resettlement wherever feasible by exploring alternative project designs; Avoid forced eviction; Mitigate adverse social and economic impacts from land acquisition or restrictions on affected persons’ use of land by: providing compensation for loss of assets at replacement cost; and ensuring that resettlement activities are implemented with appropriate disclosure of information, consultation, and the informed participation of those affected; Improve or at least restore the livelihoods and standards of living of displaced persons; Improve living conditions among displaced persons through provision of adequate housing with security of tenure at resettlement sites (Note: A resettlement site offers security of tenure if it protects the resettled persons from forced evictions [IFC PS 5, 2012]). Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Page 9, but taken from IFC PS 5 (2012).

National legislation Slide for you to insert a summary of national resettlement legislation that is relevant to your operating context.

Our resettlement policy
Slide for you to insert a summary of your company’s resettlement policy.

Key risks and impacts

Exercise: Imagining yourself resettled
Aim of this slide: To introduce the exercise to follow. Exercise: The objective of this quick exercise is to get participants to consider what resettlement might mean for them, and in doing so, help to generate an empathy for the significance of this process for those that are affected. Divide participants up into pairs, and get them to speak through the questions below. Imagine that the government came and informed you that you were going to be resettled due to a road diversion project. What emotions would this bring up in you? What information would you want to know? What is it that you would most miss about your home and the location that you are leaving? In what way would you expect to be consulted and engaged during the course of the process? If posed with forced eviction, where would you go and what would you do? Allow for 20 minutes for discussion. Feedback: Call people back into the main training space, and get them to speak about the insights that these questions raised for them regarding involuntary resettlement. Allow people to volunteer insights, or go around the room, asking for one insight per person. Do repeated rounds, or discussion, until you feel that people have raised their key insights. Finish off with a final question: based on your insights, what basic actions and principles would you expect a private company or government to uphold during a resettlement process? Capture all of the above on a flip chart for later reflection/cross referencing with other later material, as appropriate.

Impacts on resettled communities
These negative impacts are often particularly harsh for poor and vulnerable groups, while host communities are also affected: Conflict and the break-up of communities and social support networks Loss of identity or sense of place Impeded or lost access to resources Loss of access to public infrastructure or services, & common property Compromised livelihoods Social ills, family breakdown Decreased marketability of skills in host communities Cultural impacts Emotional and psychological impacts. Aim of this slide: To outline the impacts of resettlement, as experienced by those that are resettled. Outlining these impacts creates important context for the resettlement planning steps that are outlined in the slides to come. Key points: Involuntary resettlement can often expose displaced people to a range of human rights and impoverishment impacts. These include: conflict and the break-up of communities and social support networks; loss of identity or sense of place; impeded or lost access to resources such as water sources, pasture, cultural assets or markets for goods and services, etc.; loss of access to public infrastructure or services; loss of access to common property; Compromised livelihoods due to food insecurity, and loss of productive assets or income sources; social ills, family breakdown; decreased marketability of skills in host communities; cultural impacts; and emotional and psychological impacts. These negative impacts are often particularly harsh for vulnerable groups, for example, female-headed households, the elderly, poorer households, the disabled, children-headed households, etc. This is discussed in more detail in Task 3 later in the training session. (Notes: 1 of 2)

Impacts on resettled communities
These negative impacts are often particularly harsh for poor and vulnerable groups, while host communities are also affected: Conflict and the break-up of communities and social support networks Loss of identity or sense of place Impeded or lost access to resources Loss of access to public infrastructure or services, & common property Compromised livelihoods Social ills, family breakdown Decreased marketability of skills in host communities Cultural impacts Emotional and psychological impacts. Host communities can also be susceptible to impacts, particularly when the resettlement process does not take into account the capacity of the receiving community to absorb the displaced population, resulting in, for example, strain on social services and infrastructure and increased competition for scarce jobs, land, food security, etc. Note: in many instances the above impacts can also apply to voluntary resettlement. For that reason, it is considered good practice (from an impact and risk management perspective) to follow the IFC PS 5 guidelines regardless of whether the resettlement is voluntary or involuntary. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, Page 98 (Notes: 2 of 2)

Risks to business Resettlement is a highly complex endeavour, as it concerns both tangible and non- tangible impacts. This poses significant risks to business: Potential conflict, and associated project delays and works stoppages Restrictions on future developments and loss of future concessions Financial costs associated with remedying poor practice, litigation, triggering conflict and protracted negotiations Damaged social licence to operate Reputational damage Unsustainable precedent setting Strain on government-company relations due to differing standards on resettlement. Aim of this slide: To spell out the business risks posed by a poorly managed resettlement processes, and resettlement in general. Key points: Despite the clear global standards around resettlement and land — in practice, this remains a very challenging area for companies. Resettlement is a highly complex endeavour, as it concerns both tangible (houses, structures) and non-tangible impacts, e.g. matters of the heart (emotional attachment to home, sense of place, community). Resettlement is further complicated by the fact that those being relocated relegate a degree of responsibility for their living conditions and livelihoods to the company resettling them. This dependency presents a considerable risk to companies post resettlement. Conflict in resettlement is almost inevitable in most cases. This is accentuated by our globalising world where communities are connecting with other communities as well as other stakeholders (e.g. NGOs, human rights lawyers, etc.) Given these complexities, it is not surprising that resettlement is commonly associated with the following risks: potential conflict, and associated project delays and works stoppages, caused by grievances from resettled and host communities – with associated decreased productions from assets; nearby communities can also disrupt project activities if they do not see benefits accruing to them, even though they may not be directly affected by resettlement; restrictions on future developments and loss of future concessions due to community opposition; financial costs associated with remedying poor practice, litigation, triggering conflict and protracted negotiations with aggrieved residents (resulting in costly delays); other financial risks – e.g. of speculation or speculative activity where a landowner within the-yet-to-be-acquired area rush to occupy the land with farms and/or building structures with anticipation that the company might acquire the land at a later date with objective of receiving monetary compensation. The inherent risk to the business is resettlement budget over run if the activity is not effectively checked. damaged social licence to operate; (Notes: 1 of 2)

Risks to business Resettlement is a highly complex endeavour, as it concerns both tangible and non- tangible impacts. This poses significant risks to business: Potential conflict, and associated project delays and works stoppages Restrictions on future developments and loss of future concessions Financial costs associated with remedying poor practice, litigation, triggering conflict and protracted negotiations Damaged social licence to operate Reputational damage Unsustainable precedent setting Strain on government-company relations due to differing standards on resettlement. reputational damage (local, national and international) caused by afore-mentioned risks; precedent setting – where companies capitulate on community expectations and demands, and therefore create an unsustainable precedent; strain on government-company relations due to differing standards on resettlement, with impact on securing future concessions. In spite of these known risks, many projects do not begin planning resettlement activities early enough. Nor do they invest enough human or financial resources in ensuring impacts are assessed and mitigated, and that benefits are shared in a sustainable way. All this said, projects that do invest in planning resettlement appropriately with well-managed engagement of relevant stakeholders have been shown to gain the trust of local communities, formed more collaborative relationships with governments and been able to minimise disruptions to the business. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Introduction, and Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, 98. (Notes: 2 of 2)

Case study: Risks to business
Suggestion: Insert a case study from your company which creates a picture of the risks to business posed by the resettlement process.

What do we need to do in practice?
Resettlement planning What do we need to do in practice?

Resettlement during the project life cycle (1 of 3)
Consideration of resettlement should commence as early as possible, with most key tasks being undertaken during the concept, pre-feasibility and feasibility. 1. Exploration Identify resource Preliminary assessment of impacted and affected persons 2. Concept Establish business case Updated assessment of impacted and affected persons Aim of this slide: To illustrate how/where resettlement planning fits into the project cycle. Key points: The stages of the project cycle during which the resettlement tasks should be undertaken are illustrated in Figure 4D.1 (taken from Anglo American’s SEAT 3 guidance). As Figure 4D.1 shows, consideration of resettlement should commence as early as possible, with most key tasks being undertaken during the concept, pre-feasibility and feasibility stages. The timing of tasks will vary between projects, but in general it is best to commence planning as early as possible as delays are very common when implementing resettlements. Although Figure 4D.1 presents resettlement planning in the context of new capital projects, there may be some operations where several resettlement processes have to occur over the life of a mine, for example, as the mine expands. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, Page 99. Anglo American’s SEAT 3 Toolbox, Figure 4D.1: Resettlement Planning During the Project Cycle

3. Pre-feasibility Conduct options analysis to avoid/minimise resettlement Develop draft RAP 4. Feasibility Finalise mine plans and final project approval Finalise, disclose and seek approval for RAP 5. Resettle-ment Implement and conclude resettlement Aim of this slide: To illustrate how/where resettlement planning fits into the project cycle. Key points: The stages of the project cycle during which the resettlement tasks should be undertaken are illustrated in Figure 4D.1 (taken from Anglo American’s SEAT 3 guidance). As Figure 4D.1 shows, consideration of resettlement should commence as early as possible, with most key tasks being undertaken during the concept, pre-feasibility and feasibility stages. The timing of tasks will vary between projects, but in general it is best to commence planning as early as possible as delays are very common when implementing resettlements. Although Figure 4D.1 presents resettlement planning in the context of new capital projects, there may be some operations where several resettlement processes have to occur over the life of a mine, for example, as the mine expands. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, Page 99.

6. Con- struction Continue to monitor and evaluate resettlement and implement any necessary remedial measures 7. Operation Continue monitoring and evaluate resettlement programme Implement any necessary remedial measures Conduct completion audit when livelihoods have been restored 8. Closure Aim of this slide: To illustrate how/where resettlement planning fits into the project cycle. Key points: The stages of the project cycle during which the resettlement tasks should be undertaken are illustrated in Figure 4D.1 (taken from Anglo American’s SEAT 3 guidance). As Figure 4D.1 shows, consideration of resettlement should commence as early as possible, with most key tasks being undertaken during the concept, pre-feasibility and feasibility stages. The timing of tasks will vary between projects, but in general it is best to commence planning as early as possible as delays are very common when implementing resettlements. Although Figure 4D.1 presents resettlement planning in the context of new capital projects, there may be some operations where several resettlement processes have to occur over the life of a mine, for example, as the mine expands. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D, Page 99.

Essential elements of a Resettlement Action Plan (1 of 2)
Efforts to avoid and minimise resettlement Project impacts and affected populations Legal and regulatory framework Compensation framework Details of replacement housing and the resettlement site Plans for livelihood restoration and resettlement assistance A Resettlement Action Plan (RAP) is the main planning instrument for a resettlement process. The aim of a RAP is to outline the proposed plan for the resettlement and address the risks associated with involuntary resettlement. The level of detail required will vary depending on the scale of the project, the local socio-economic environment and the complexity and significance of the impacts associated with the resettlement. Some jurisdictions require approval from the regulator of the RAPs. The essential components of a RAP are: efforts to avoid and minimise resettlement; project impacts and affected populations; legal and regulatory framework; compensation framework; details of replacement housing and the resettlement site; plans for livelihood restoration and resettlement assistance; budget for the implementation of the RAP; schedule for the implementation of the RAP; roles and responsibilities; participation, consultation and engagement plan; grievance procedure; and monitoring and evaluation (including completion audit). In the case of projects involving economic displacement only, the client will develop a Livelihood Restoration Plan to compensate affected persons and/or communities. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D

Essential elements of a Resettlement Action Plan (2 of 2)
Budget for the implementation of the RAP Schedule for the implementation of the RAP Roles and responsibilities Participation, consultation and engagement plan Grievance procedure Monitoring and evaluation (including completion audit). A Resettlement Action Plan (RAP) is the main planning instrument for a resettlement process. The aim of a RAP is to outline the proposed plan for the resettlement and address the risks associated with involuntary resettlement. The level of detail required will vary depending on the scale of the project, the local socio-economic environment and the complexity and significance of the impacts associated with the resettlement. Some jurisdictions require approval from the regulator of the RAPs. The essential components of a RAP are: efforts to avoid and minimise resettlement; project impacts and affected populations; legal and regulatory framework; compensation framework; details of replacement housing and the resettlement site; plans for livelihood restoration and resettlement assistance; budget for the implementation of the RAP; schedule for the implementation of the RAP; roles and responsibilities; participation, consultation and engagement plan; grievance procedure; and monitoring and evaluation (including completion audit). In the case of projects involving economic displacement only, the client will develop a Livelihood Restoration Plan to compensate affected persons and/or communities. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D

The planning process: Key recommendations (1 of 2)
1. Team planning and project co-ordination Land acquisition and resettlement planning to start early, and be integrated with overall project planning from the outset Integrated team of experts to ensure coordinated assessment and planning activities Accurate RAP budget is essential for weighing up project design alternatives. 2. Minimising resettlement impacts Include social experts in defining the project footprint, and examining project alternatives Develop land management plan to ensure on-going input into land requirements Prepare a RAP or livelihood restoration plan. Aim of this slide: To provide an outline of some key recommendations with regards to the resettlement planning process. Key points: Team planning and project co-ordination It is essential that land acquisition and resettlement planning starts early, and that it is integrated with overall project planning from the outset. Include an integrated team of experts comprising social, environmental, resettlement and project planning specialists to enable proper co-ordination of baseline data collection activities, integrated identification of project impacts, and coordinated management of impacts and associated plans. The RAP budget must be based on an accurate assessment of the costs of land acquisition, compensation for lost assets, and physical displacement – this will enable project planners to determine the real cost of project design alternatives such as alternative routes for power transmission lines or alternative sites for greenfield projects. Minimising resettlement impacts Include social experts in defining the project footprint, and examining project alternatives, such that resettlement impacts can be considered and minimised from the outset. Develop a land management plan to ensure ongoing input into project development and impact management from environmental and social experts and project stakeholders. Prepare a detailed management plan for how land access and resettlement will be undertaken - a resettlement action plan where there is physical displacement, or a livelihood restoration plan where there is only economic displacement. (Notes: 1 of 2)

The planning process: Key recommendations (2 of 2)
3. Planning for life-of-mine land requirements Finding adequate replacement land is often a major challenge Start early, and consider life-of-mine requirements, to avoid repeated resettlements due to later project expansion. 4. Community involvement Resettlement planning cannot be done like other aspects of project planning – communities need to be involved This includes involvement of the host community, and management of impacts on receiving environment. Planning for life-of-mine land requirements Finding adequate replacement land for displaced people is often a major challenge. Early steps to plan this are essential as the availability of land shapes all aspects of the planning process. Take steps to avoid and minimise displacement to the extent possible, but carefully consider life-of-project land requirements. At outset of project, project planners should be tasked with looking at the life-of-mine scenarios in order to predict full amount of land required for total life of mine, including expansions. Acquiring limited land in order to minimise resettlement is not a wise strategy, especially if the area becomes urbanised with the development of the mine. The company should seek to acquire the maximum area possible, balancing this with the feasibility of the project and impacts on local communities and the environment Community involvement Resettlement planning cannot be done like other aspects of project planning – communities need to be involved. This includes engagement with host communities, ensuring that impacts to the host environment are minimised, and that the resettled population are integrated with host communities. And finally, prepare for unfavourable attention - no matter how well land acquisition and resettlement is done, there may be someone who is not happy with the approach. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 3, The Planning Process. (Notes: 2 of 2)

Key tasks during resettlement planning
1. Stakeholder engagement 2. Identifying project impacts and project affected people 3. Baseline studies (including host community) 4. Census of all affected households and confirmation of eligibility 5. Inventory of assets and compensa-tion 6. Site selection 7. Developing livelihood restoration strategies 8. Implementa-tion of the resettlement 9. Grievance procedure 10. Monitoring Aim of this slide: To provide a list of some of the key tasks that need to take place as part of the resettlement planning process. These tasks shape the content of the rest of the session on resettlement planning, including the key challenges faced during these tasks.

1. Stakeholder engagement: A cornerstone of resettlement
Consult in order to: Empower through information sharing Include in decision-making Identification of resettlement impacts Input into compensation and impact management Inform appropriate decision making Build trust amongst all stakeholders. Stakeholders to engage: All those affected, with a particular focus on vulnerable groups Displaced communities, regardless of their legal status Host communities, community leaders, traditional leaders Local government, community based organisations, NGOs Regulators Aim of this slide: To outline the role of engagement in the resettlement process, and who the key categories of stakeholders are that need to be engaged. Key points: Stakeholder engagement is a two-way process of communication and interaction within and between a project and each of its stakeholders. It involves meaningful and multifaceted engagement with both external and internal stakeholders. It is an ongoing process throughout the life of a project. Consultation with affected communities serves the following purposes: To ensure impacted and affected people are empowered with full information to make informed decisions about how to respond to the process. This includes their involvement in decision making processes. To facilitate their input into identification of resettlement impacts. To facilitate their participation in negotiations around compensation packages and impact management; To gather information which informs appropriate decision making; To build trust and relationships amongst project affected people (PAPs) and between PAPs and other stakeholders. The following stakeholders must be consulted: All PAPs, with a particular focus on vulnerable groups Displaced communities, regardless of their legal status Host communities – community leaders, traditional leaders Local government, community based organisations, non-governmental organisations Regulators An on-going process throughout the planning process and life of a project

1. Engaging stakeholders: Key recommendations
Develop life-of-project SEP Be ready to manage high expectations Engage - silence will be filled with rumours Understand government capacity to participate Ensure community representation Good internal engagement essential Consistent messaging Truly engage. Aim of this slide: To outline some of the key recommendations with regards to stakeholder engagement during the resettlement process. Key points: Develop a formal life-of-project project stakeholder engagement plan to ensure a comprehensive and consistent approach to engaging with stakeholders. Be ready to manage high community and individual expectations of what the project will offer. This is best done through proactive and consistent engagement. Always keep engaging. Where there is silence from the project, this will be replaced by rumour and speculation. Early and effective involvement of government and local leadership is critical. Understand local government capacity and complexities. Resource and plan the resettlement process accordingly. Determine whether community leaders are representative, and ensure inclusion of vulnerable people. Good internal engagement is a prerequisite for successful external stakeholder engagement and managing expectations. Be consistent with communication messages - agree key messages across the project, and who o will deliver these. Truly engage - it is impossible to build communities’ confidence and support if they believe that outcomes are predetermined. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 4, Page

Case study: Engagement challenges
Suggestion: Insert a case study from your company which looks at engagement challenges in the resettlement process.

2. Identifying project impacts and affected people
Identifying a project’s full range of impacts, and the people and communities that will be affected, is key to resettlement planning and associated impact management. Key steps include: Engage with relocated and host communities to understand full range of impacts Conducting socio-economic surveys of all affected people Conducting a census to identify affected parties Conducting inventory of assets Identify compensation parameters and procedures. Aim of this slide: To outline the key tasks involved in identifying the full range of resettlement impacts, and the people and communities that will be affected. Key points: A key early task in resettlement planning is to identify a project’s full range of impacts, and the people and communities that will be affected. This lays the foundations for effective impact and risk management. Effective resettlement requires an approach to impact identification that goes beyond simple cadastral surveys or inventories of affected assets, to include a detailed examination of the social, environmental and economic conditions in which the affected populations currently reside. Below is a list of some key steps in impact identification. Some of this information may have already been gathered during an Environmental Impact Assessment (EIA) or Social Impact Assessment (SIA) associated with the overall project. As already mentioned, engage with the populations identified for relocation (as well as authorities and host community) in order to identify the full range and degree of likely impacts. Conduct socio-economic surveys of all affected people, with specific identification of poor and other vulnerable groups (see Task 3). As part of these surveys, develop thematic maps - these capture information such as where people live, location of infrastructure, soil potential, land-use patterns, water courses, vegetation types, etc.). Conduct a census that identifies the number of affected parties and registers them according to location (see Task 4). Conduct an inventory of assets: The project sponsor must undertake a detailed survey of all losses that will result for each household, enterprise, or community affected by the project. The inventory forms the basis of the compensation provided to each household, enterprise or at the community level. (See Task 5) Analyse information from the surveys and inventory to identify compensation parameters and procedures (see Task 5). Engagement is also necessary to agree compensation parameters and procedures, and to identify developmental opportunities. Reference for material used: Anglo American, SEAT 3, Tool 4D, Page 100.

2. Who are project-affected people (PAPs)?
Any person who, as a result of the project, loses the right to own, use, or otherwise benefit from: Assets Built structure Land Annual or perennial crops or trees, and Any other fixed or moveable asset, in full or in part, permanently or temporarily, irrespective of whether physical relocation required. Aim of this slide: To provide clarity on who project affected people are. This forms part of Task 2: Identifying project impacts and project affected people. Key points: A project-affected person is any person who, as a result of the project loses the right to own, use, or otherwise benefit from: assets built structure/s land (residential, agricultural, pasture or undeveloped/unused land) annual or perennial crops and trees any other fixed or moveable asset …. in full or in part, permanently or temporarily …. irrespective of whether physical relocation required. Reference for material used: IFC, PS 5 (2012)

3. Baseline studies “The ultimate goal of a RAP is to enable those displaced by a project to improve their standard of living – a goal that requires an examination of social, environmental and economic conditions beyond simple physical inventories.” The IFC Handbook on Preparing a Resettlement Action Plan Aim of this slide: To clarify the role of baseline studies in the resettlement process, and to explore the type of information required in order to properly understand the impacts of resettlement. Key points: A baseline of the affected community is crucial to designing effective resettlement programmes. It is the basis for identifying project impacts and suitable management responses, as well as providing the benchmark against which the quality of life of displaced people can be monitored post-resettlement. Although a detailed socio-economic baseline will be developed as part of the overall ESIA process, these baselines often lack the level of detailed understanding necessary to adequately inform compensation measures and other resettlement impact management responses. This is partly due to the fact that: Final decisions to resettle are sometimes only made during the course of, or as an outcome of, the impact assessment process; and ESIA and RAP process are often treated as sequenced processes – with ESIAs providing the first level of more general socio-economic data, and the RAP then used to generate more detailed, resettlement related information. During the actual RAP process, a substantial amount of household-level socioeconomic data is collected during the census and inventories of assets (see Tasks 4 and 5). As cited in the above quote, the information required goes well beyond simple inventories. It requires a holistic and integrated understanding of the affected community, including an understanding of social structures and local cultures. Reference for material used in this slide: ICMM’s Land acquisition and resettlement: Lessons learned (2015), and The IFC Handbook on Preparing a Resettlement Action Plan (2002)

3. Baseline studies: Identifying vulnerable groups
Some households are more vulnerable to the impacts of resettlement than others. This vulnerability makes it difficult to maintain or enhance pre-resettlement standards of living. There are a number of sound business reasons for providing additional support to vulnerable households: Meeting international requirements in order to access project funding Third party opposition and reputational damage Continued social licence to operate. Aim of this slide: To bring particular focus to vulnerable groups in the resettlement process. Key points: The main objective of a land access and resettlement process is to ensure that the impacted households’ standard of living is enhanced, or at least maintained. However, it is widely recognised that some households are more vulnerable to risks of poverty as a result of the resettlement process. The IFC defines special or “at-risk” groups as “people who, by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage or social status may be more diversely affected by displacement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits” (IFC, 2012). Households that are particularly vulnerable include landless squatters and tenants and those with limited labour resources, such as households headed by women or children, the elderly and those in poor health, the disabled, and in some cases, Indigenous Peoples. Given the high impact of resettlement, people’s existing vulnerability makes it more difficult for them to absorb and cope with the changes and impacts brought about by the resettlement process. Similarly, their vulnerability also makes it harder for them to capitalise on the benefits of resettlement (unless specific targeted measures are included in the resettlement planning). The IFC requires projects to identify vulnerable groups during the ESIA or through the social baseline studies component of resettlement planning. There are a number of sound business reasons for providing additional support to households vulnerable to project-induced impoverishment: IFC standards require that support is provided to households who are at risk of impoverishment by the project—compliance with standards is often critical for project funding. (Notes: 1 of 2)

3. Baseline studies: Identifying vulnerable groups
Some households are more vulnerable to the impacts of resettlement than others. This vulnerability makes it difficult to maintain or enhance pre-resettlement standards of living. There are a number of sound business reasons for providing additional support to vulnerable households: Meeting international requirements in order to access project funding Third party opposition and reputational damage Continued social licence to operate. If the company does not offer support to vulnerable households and they become destitute because of the project, third parties can use this against the project, causing reputational damage. Supporting vulnerable households is generally supported by the community, and if the programme is developed properly, this can add to the reputation of the company and its social licence to operate. Considering vulnerable groups requires tailor-made approaches to engagement and livelihoods restoration. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 7 and The IFC Handbook (2002) Page 39. (Notes: 2 of 2)

4. Census of all affected households
A 100% census of all affected households serves to: Register the number of affected parties by residence or locality Establish a list of legitimate beneficiaries before the project’s onset Lays a framework for subsequent socio-economic research Provides a baseline for monitoring and evaluation. Aim of this slide: To outline the role of the census process and inventory of assets in resettlement planning. Key points: Carrying out a census of all affected households is a key step to establishing eligibility. To support this process, there needs to be clear communication about the cut-off date for the household survey – this is to try and manage the risk of speculative in-migration in hope of securing resettlement benefits. The census serves to: register the number of affected parties by residence or location establish a list of legitimate beneficiaries before the project’s onset that counters fake claims from those moving into the project area solely in anticipation of benefits; lays a framework for subsequent socioeconomic research needed to establish fair compensation rates and to design, monitor, and evaluate sustainable income restoration or development interventions; and provides a baseline for monitoring and evaluation. Reference for material used: The IFC Handbook on Preparing a Resettlement Action Plan (2002)

4. Confirming eligibility for compensation
Those eligible include: Those who hold legal land rights Those who do not have formal legal rights to the land they are occupying or using. Aim of this slide: To provide clarity on who is eligible for compensation in a resettlement process. Key points: During the course of understanding the socio-economic baseline and carrying out the household surveys, it will become apparent as to who will/won’t be affected by the resettlement process, and who in turn is/isn’t eligible for resettlement packages. Those who are eligible include: those who have formal legal rights to land (including customary and traditional rights recognised under the laws of the country); those who do not have formal legal rights to the land they are occupying or using. This includes: those that do not have formal legal rights to land at the time the census begins, but do have a claim to such land or assets - provided that such claims are recognized under the laws of the country or become recognised through a process identified in the resettlement plan; and those who have no recognizable legal right or claim to the land they are occupying or using. Reference for material used: IFC PS 5 (2012)

4. Establishing eligibility: Key recommendations
Clear and transparent eligibility criteria, established through consultation Eligibility criteria and cut-off dates for establishing eligibility to be clearly disseminated Establish criteria to close the gap between government and international standards Traditional rights to communal land to be included. Aim of this slide: To spell out some of the key recommendations with regards to establishing eligibility criteria. Key points: Clear and transparent eligibility criteria (i.e. what categories of affected people received what compensation) should be established in consultation with affected communities, and then clearly communicated. Cut-off dates for establishing eligibility should also be clearly communicated. Consistent application and enforcement of these eligibility criteria and cut-off dates is essential. In the absence of national guidelines that meet international standards, establish and communicate the methodology that the company will use to compensate for losses. The recognition of traditional rights to communal land is important in determining eligibility. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Page 32.

Case study: Establishing eligibility
Suggestion: Insert a case study which looks at the challenges of establishing eligibility in the resettlement process.

5. Inventory of assets and compensation: Key asset categories
Land Houses and associated structures Other private physical assets Business & commercial assets Common property resources Public structures Infrastructure Cultural, sacred & historical assets. Aim of this slide: To outline the role of the inventory of assets in resettlement planning. Key points: The project sponsor must undertake a detailed survey of all losses that will result for each household, enterprise, or community affected by the project. The inventory forms the basis of the compensation provided to each household, enterprise or at the community level. The following are important inventory categories: Land - including current and potential land-use requirements, ownership - legal and traditional - and access rights, and annual revenue derived from land uses. Houses and associated structures Other private physical assets, including non-moveable assets such as standing crops, fruit and fodder trees, firewood and timber woodlots, plantations, fencing, wells, irrigation structures, and graves or tombs. Business and commercial assets, the number and type of businesses that would be affected and the value of the revenue losses should be determined (e.g. shops, workshops, stalls, factories, and other business establishments) Common property resources and assets, including forest and woodlands and pasture Public assets, including schools, clinics, meeting halls, places of worship, wells/communal water points, livestock watering points, etc. (Notes: 1 of 2)

5. Inventory of assets and compensation: Key asset categories
Land Houses and associated structures Other private physical assets Business & commercial assets Common property resources Public structures Infrastructure Cultural, sacred & historical assets. Infrastructure, including roads and bridges; irrigation and drainage channels; water and sewage lines; power lines; and communication lines); and Cultural, sacred and historical assets. The condition of all of the above assets also needs to be considered. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D and The IFC Handbook (2002) (Notes: 2 of 2)

5. Compensation requirements (per IFC PS 5)
Compensation at full replacement cost, for physical and economic assets Transparent and consistent application Land for land compensation, wherever feasible Compensation before relocation Opportunities for development benefits to be provided Transitional support to be provided. Aim of this slide: To outline the compensation principles and requirements laid out in IFC PS 5. Key points: IFC PS 5 lays out the following requirements with regards to compensation: When displacement cannot be avoided, the client will offer displaced communities and persons compensation for loss of assets at full replacement cost and other assistance to help them improve or restore their standards of living or livelihoods. Economically displaced persons who face loss of assets or access to assets will be compensated for such loss at full replacement cost. Compensation standards will be transparent and applied consistently to all communities and persons affected by the displacement. Where livelihoods of displaced persons are land-based, or where land is collectively owned, the client will, where feasible, offer the displaced land-based compensation. The client will take possession of acquired land and related assets only after compensation has been made available and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons in addition to compensation. The client will also provide opportunities to displaced communities and persons to derive appropriate development benefits from the project. Transitional support should be provided as necessary to all economically displaced persons, based on a reasonable estimate of the time required to restore their income-earning capacity, production levels, and standards of living. Reference for material used: IFC PS 5 (2012)

5. Compensation: Key recommendations
Providing replacement housing and land more sustainable than cash compensation However, cash compensation is appropriate under certain circumstances If cash provided, financial management training becomes important Adequate compensation is essential to avoiding conflict and on-going grievances Community support for and agreement on the compensation process is thus critical Experienced valuation professionals to be engaged early in planning process. Aim of this slide: To spell out some of the key recommendations with regards to compensation. Key points: Like for like compensation: Many projects focus on cash compensation, but it has been demonstrated that providing appropriate replacement housing and land is the most effective long term solution to managing resettlement impacts. Lost physical structures should therefore be replaced with new structures (as part of the compensation package), and lost land should be replaced with replacement land (i.e. like-for-like). Giving cash compensation: Providing cash compensation to poor households generally leads to unsustainable spending, contributing to longer-term impoverishment. However, cash compensation can be appropriate under certain circumstances. Livelihoods are not land-based Livelihoods are land-based but the land taken for the project is a small fraction of the affected holding; remaining land is still economically viable Active markets for land, housing, and labour exist locally and are available to the displaced persons When providing cash compensation, it is essential that training is provided on money management and investment, and that support is provided in identifying suitable spending opportunities. (Notes: 1 of 2)

5. Compensation: Key recommendations
Providing replacement housing and land more sustainable than cash compensation However, cash compensation is appropriate under certain circumstances If cash provided, financial management training becomes important Adequate compensation is essential to avoiding conflict and on-going grievances Community support for and agreement on the compensation process is thus critical Experienced valuation professionals to be engaged early in planning process. Calculating compensation amounts There is no one formula for calculating compensation on land access and resettlement projects. Failure to adequately compensate impacted households is one of the greatest causes of grievances and conflict on projects. There is a need to engage experienced valuation professionals early in the planning process to avoid setting expensive precedents and ensuring that all the project stakeholders agree to the compensation process. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015) (Notes: 2 of 2)

Case study: Compensation
Suggestion: Insert a case study which looks at the challenges of compensation in the resettlement process.

5. In parallel to compensation: Benefit sharing and community development
Benefit-sharing examples Use portion of project revenue streams Community part-owns project Part of project taxes and royalties to communities Sharing of project services Improve community infrastructure Livelihoods programmes Cultural programmes Aim of this slide: To outline the role of benefit sharing in resettlement planning. Key points: In addition to addressing the negative impacts caused by resettlement activities, companies should support affected communities to benefit from opportunities arising from the mining project. Although the concepts of compensation and sharing benefits often overlap in practice, they are conceptually different. Compensation is focused primarily on redressing loss or damage that can be attributed to the impacts of a project (eg loss of access to land and assets). Benefit sharing on the other hand aims to promote broader economic participation in projects, for example through royalty streams linked to production, provision of employment, business opportunities, and community development projects that strengthen community cohesion and provide sustainable community-led services. There are a number of potential ways in which projects can share benefits and support community development activities with impacted communities, as indicated in Figure 9.1 above. What is appropriate for a particular project will depend on the specific context and circumstances. Note: the project needs to make a real impact before companies will receive credit for it!! For further information on challenges and lessons learnt with regards to benefit sharing and community development, see: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 9.

6. Site selection (per IFC PS 5)
Key requirements Choice of resettlement options Of equal or higher value Characteristics that are equivalent or better Same location advantages Also consider re-existing communities’ preferences. Aim of this slide: To outline some of the key requirements with regards to site selection, as outlined in IFC PS 5. Key points: The choice of resettlement site is the single most important criterion in supporting the restoration of the livelihood of the impacted household. Offer displaced persons choices among feasible resettlement options; Offer the choice of replacement property of equal or higher value, security of tenure, equivalent or better characteristics, and advantages of location or cash compensation where appropriate. The displaced persons’ preferences with respect to relocating in pre-existing communities and groups must be taken into consideration. Existing social and cultural institutions of the displaced persons and any host communities must be respected. Reference for material used: IFC PS 5 (2012)

6. Site selection: Key recommendations
Social and environmental considerations Avoid one-size-fits-all Space agricultural land and future expansion Community involvement essential Provide security of tenure. Aim of this slide: To offer some key recommendations with regards to site selection. Key points: Ensure consideration of social and environmental conditions when selecting sites. Avoid one-size-fits-all larger resettlement sites to cut costs, where multiple sites would be appropriate. Ensure adequate replacement land for agriculture, where relevant. The selected site should also include room for future expansion. Involve communities in the evaluation and selection of resettlement sites. This is a seemingly obvious statement, but it is not always integrated into project planning in a sufficiently meaningful way. The easiest way to appreciate its importance is to ask yourself the following question: Would you expect to have a say in where you are moved to? Security of tenure to resettlement sites (i.e. provision of land titles) should be provided – this is a key resettlement benefit. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 5, Page 33

7. Restoring sustainable livelihoods
Restoration of existing livelihoods “like for like” Resettlement & Rehabilitation of livelihoods Alternate livelihoods Compensation for losses Physical move Aim of this slide: To introduce the importance of rehabilitating livelihoods. Key points: Best practice requires companies to improve, or at least restore, the livelihoods and standards of living of displaced persons – including within the host community, if resettlement impacts on their livelihoods. A livelihood is defined as a means of securing the necessities of life. Many projects in the past used to consider the resettlement process complete when the impacted households were given replacement houses or paid cash compensation. However, in the majority of cases where cash compensation is given, resettled households struggle to attain their former standard of living. Currently, there is increasing recognition that livelihood restoration requires a focus beyond just income, and that other social factors such as education, health and social cohesion serve to sustain living standards over time (think about the key elements of well-being identified earlier). Despite this recognition and the development of social performance standards, livelihood restoration is often not being properly planned and fails to restore or improve livelihoods sustainably. Where this occurs, it can lead to significant community dissatisfaction and threaten the project’s social licence to operate. Furthermore, restoration is important because it reduces the dependence of resettled community on the project sponsors, and government. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 6. Extremely challenging aspects of resettlement

7. Getting livelihood restoration right
Pre-resettlement baseline data key to design and monitoring Involve community members, government, NGOs, and social development and resettlement experts – including vulnerable households Provide combination of livelihood restoration solutions Link livelihood restoration planning to all key social and environmental management plans Limit reliance on cash compensation Reach agreement on access to resources prior to resettlement Preserve patterns of community organisation – implications for support networks and livelihood strategies Pilot initiatives before scaling up. Aim of this slide: To provide a summary of some of the key considerations around getting livelihood restoration right. Key points: The topic of livelihood restoration is a training topic all on its own, but the next slide tries to capture some of the most important points that need to be considered when striving to achieve restored livelihoods. Some pointers towards wise practice: Baseline monitoring: Livelihood restoration is incredibly complex and difficult to demonstrate. Monitoring and tracking livelihood restoration requires appropriate, disaggregated pre-resettlement socioeconomic baseline data, and a robust monitoring and evaluation programme. Doing so requires collaboration between the social impact assessment and RAP planners. The monitoring indicators should be specific, measurable, attainable, relevant and time-bound (SMART), and should be part of an overall monitoring plan. Integrated livelihood restoration planning team: Include both social development and resettlement experts in the livelihood restoration planning team. Planning livelihood restoration requires a partnership between the project, communities, government and civil society who all contribute to the well-being of each household. Ensure participation of vulnerable households. For specific guidance on measures for supporting vulnerable groups, see he ICMM resettlement guidance Page 46. (Notes: 1 of 3)

Pre-resettlement baseline data key to design and monitoring Involve community members, government, NGOs, and social development and resettlement experts – including vulnerable households Provide combination of livelihood restoration solutions Link livelihood restoration planning to all key social and environmental management plans Limit reliance on cash compensation Reach agreement on access to resources prior to resettlement Preserve patterns of community organisation – implications for support networks and livelihood strategies Pilot initiatives before scaling up. Holistic livelihood restoration: Provide households with a combination of replacement assets, training for employment and a location close to employment and business opportunities … and community development initiatives focusing on integrating resettlement households into the wider community. Focus on land-based, wage-based and enterprise-based livelihood solutions, agricultural and non-agricultural livelihoods. It should be noted that even in rural areas over 50% of income can often come from non-agricultural activities. The resettlement site selection process should balance different interests – some may prefer to be near urban centres and close to the project for employment, market and services while others may wish to be located where more traditional livelihoods can be practised Linking livelihood restoration planning to all key social & environmental management plans; The key to good livelihood restoration planning is to make a clear connection between all the key social management plans on a project and ensure that these are prepared to a practical level early in the project development cycle. See ICMM guidance (Page 41) for examples of other plans. Limit reliance on cash compensation: Companies should minimise reliance on cash compensation and provide replacement land where possible. Where cash compensation is paid, the company should provide support to the impacted households to open bank accounts and independent advice on how to manage the compensation for the long-term benefit of the household. The key to livelihood restoration is to provide replacement land and a range of livelihood support options to impacted households. Failure to provide replacement land or the provision of poor quality replacement land can lead to the impoverishment of the impacted communities. (Notes: 2 of 3)

Pre-resettlement baseline data key to design and monitoring Involve community members, government, NGOs, and social development and resettlement experts – including vulnerable households Provide combination of livelihood restoration solutions Link livelihood restoration planning to all key social and environmental management plans Limit reliance on cash compensation Reach agreement on access to resources prior to resettlement Preserve patterns of community organisation – implications for support networks and livelihood strategies Pilot initiatives before scaling up. Reaching agreement: The livelihood restoration plan should reach agreement on access to resources and any improved services prior to resettlement. Community organisation and support networks: Preserve patterns of community organisation to the extent possible – this too can have an important impact on the ability of households to maintain their support networks and associate livelihood strategies. Piloting: Pilot livelihood restoration initiatives before scaling up activities to ensure that these are proven successful and can be sustainable without project support. Note: Livelihood impacts on the host community also need to be identified and managed (e.g. competition for available jobs). Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 6. (Notes: 3 of 3)

Case study: Livelihood restoration
Suggestion: Insert a case study that looks at the challenges of livelihood restoration in the resettlement process.

8. Implementation of the resettlement
There are inevitably challenges with implementing a RAP. The most common include: Schedule: In general resettlement projects are typically months behind schedule. Budget: In general, final costs for resettlement can be 300 to 400% higher than anticipated. These need to be anticipated and effectively managed by a comprehensive implementation plan, synchronised with the overall project implementation schedule. Roles and responsibilities also need to be clearly spelt out in the RAP. Aim of this slide: Turning our attention to the execution of the resettlement – the actual move. Key points: The construction and the ‘moves’ process offers important opportunities for achieving positive impacts among communities. The resettlement construction process often provides the first opportunity for significant utilisation of local labour and services, including capacity-building efforts. However, there are inevitably challenges with implementing a RAP. Common ones relate to schedule and budget. The general rule of thumb is that resettlements take twice as long as your worst estimate and twice as much as your highest cost estimate. In 1993 the World Bank estimated that resettlement projects are typically months behind schedule, and that final costs were 300 to 400% higher than anticipated. Project sponsors commonly underestimate the actual costs of resettlement planning and implementation. It is essential that all costs be estimated carefully and included in a detailed RAP budget. Without an accurate assessment of the costs of land acquisition, compensation for lost assets, and physical displacement, project planners cannot determine the real cost of project design alternatives such as alternative routes for power transmission lines or alternative sites for greenfield projects. The schedule and budget need to be anticipated and effectively managed by a comprehensive implementation plan, synchronized with the overall project implementation schedule. (Notes: 1 of 2) Construction and the moving process offers important opportunities for achieving positive impacts among communities.

8. Implementation of the resettlement
There are inevitably challenges with implementing a RAP. The most common include: Schedule: In general resettlement projects are typically months behind schedule. Budget: In general, final costs for resettlement can be 300 to 400% higher than anticipated. These need to be anticipated and effectively managed by a comprehensive implementation plan, synchronised with the overall project implementation schedule. Roles and responsibilities also need to be clearly spelt out in the RAP. Roles and Responsibilities The RAP should also describe the organisational arrangements for the implementation of the resettlement programme. This includes defining the roles and responsibilities of all the organisations that will be involved. In some instances, it may be necessary to build capacity among partner organisations in order to ensure that they can effectively fulfil their responsibilities to international resettlement standards. It is advisable to create a Resettlement Advisory Group to coordinate and oversee the implementation of the RAP. The group should consist of senior representatives of government, non-governmental organisations (NGOs), and community representatives from relocated and host communities. Such an advisory group should guide the work of a working-level Resettlement Committee which, wherever possible, should be formed during the early phases of RAP development. Reference for material used: Anglo American, Socio-Economic Assessment (SEAT) Toolbox, Version 3, 2012, Tool 4D (Notes: 2 of 2) Construction and the moving process offers important opportunities for achieving positive impacts among communities.

9. Grievance procedure Grievances among the affected population are an inevitable component of involuntary resettlement, regardless of its scale. A grievance procedure is therefore essential. It is best to ensure that a grievance procedure is in place to allow affected people (both resettled and host communities) to lodge complaints or claims without cost, and with the assurance of a timely and fair response. Diagram: Example of a complaints procedure, Anglo American Aim of this slide: To bring to participants’ attention, the importance of a grievance mechanism. Key points: Grievances among the affected population(s) are an inevitable component of involuntary resettlement, regardless of its scale. Grievances may occur before, during and after resettlement. Addressing legitimate grievances in a timely manner is critical to the success of the resettlement project. The project manager must, therefore, ensure that a grievance procedure is in place to allow affected people (both resettled and host communities) to lodge complaints or claims without cost, and with the assurance of a timely and fair response. Special arrangements may need to be made for members of poor and vulnerable groups to ensure they have equal access to grievance redress procedures. Grievances are best dealt with in-house but other channels (e.g. government representative or independent ombudsman) should also be available. Every effort should be made to resolve grievances at the community level - recourse to the legal system should be a last resort. The RAP should describe the grievance redress framework that will be put in place by the host government or company. This description should include: institutional arrangements; procedures for recording and processing grievances; mechanisms for adjudicating grievances and appealing judgements; and a schedule, with deadlines, for all steps in the grievance redress process. For further guidance on complaints procedures, see the Awareness Raising Pack on Human Rights which provides detailed training on complaints procedures, and is therefore not covered in detail in this pack.

Case study: The role of monitoring and grievance mechanisms
Suggestion: Insert a case study which looks at the role of monitoring and grievance mechanisms in the resettlement process.

10. Monitoring Since the RAP will inevitably fall short of what is required in reality, there is a crucial need to conduct extensive monitoring throughout. A successful monitoring programme requires: Adequate (pre-resettlement) baseline data against which to monitor resettlement progress and impact on livelihoods Clear monitoring indicators to assess performance against baseline conditions Appropriate databases, reporting and collation systems should be put in place to capture and analyse monitoring data An independent monitoring mechanism, which includes community involvement in monitoring and evaluation. Aim of this slide: To outline the role of monitoring in the resettlement process, and identify key ingredients for a successful monitoring programme. Key points: Since the RAP will inevitably fall short of what is required in reality, there is a crucial need to conduct extensive monitoring throughout. Monitoring and evaluation (M&E) of a project are critical in terms of assessing whether you are on track to achieving sustainable livelihood restoration and improvement in the standard of living of the relocated people. The IFC requires project sponsors to “monitor and report on the effectiveness of RAP implementation”. The objective should be to “provide the sponsor with feedback on RAP implementation and to identify problems and successes as early as possible to allow timely adjustment of implementation arrangements” (IFC 2012). It is critical that M&E is considered and integrated into project planning from the outset so that meaningful indicators can be developed early and measured in order to answer these critical questions. For a successful monitoring programme, it is essential that the following is in place: Adequate (pre-resettlement) baseline data against which to monitor resettlement progress and impact on livelihoods. Clear monitoring indicators to assess performance against baseline conditions. Appropriate databases, reporting and collation systems should be put in place to capture and analyse monitoring data. An independent monitoring mechanism, which includes community involvement in monitoring and evaluation. Monitoring and evaluation also enable learning and allow companies to celebrate achievements. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 10, Page 58.

10. Monitoring: Examples of KPIs
Example outputs for performance measurement Example outcomes for monitoring impacts Whether actions and commitments for compensation, resettlement, land access and community development in the RAP and other management plans are implemented fully and on time Whether entitled persons receive their compensation and replacement housing on time Whether vulnerable persons such as female-headed households, sharecroppers and tenants are tracked and assisted as necessary Whether complaints and grievances are followed up with appropriate corrective action. Whether compensation and livelihood investments lead to sustainable livelihood restoration Whether community development activities lead to improvement in the welfare of project-affected persons, households and communities Whether there are broader project impacts on surrounding communities. Aim of this slide: To provide some examples of output and outcome key performance indicators (KPIs). Key points: It is easy to measure what has been done (outputs or performance measurement) (e.g. number of people trained in alternative livelihoods), but it is more important to measure what effect that activity had on communities, that is, whether the activity was successful (outcomes or impact monitoring) (e.g. revenue earned by households trained or improvements in the quality of life). Data should be disaggregated to capture outputs, outcomes and impacts for specific groups of interest, for example by gender, vulnerability, age, location, etc. The above slide provides examples of output and outcome KPIs. Reference for material used: ICMM’s Land acquisition and resettlement: Lessons learned (2015), Module 10, Page 59.

When is responsibility for the resettlement over?
The Company’s responsibility to resettled communities shifts once: It can be shown that living conditions have been improved Livelihoods have at least been restored in a sustainable manner An independent third party to carry out a completion audit to confirm if the above has been achieved. Aim of this slide: To spell out the conditions under which the company is able to shift responsibility away from the resettled community/ies. Key points: The Company’s responsibility to resettled communities shifts once: it can be shown that living conditions have been improved; and livelihoods have at least been restored in a sustainable manner. An independent third party to carry out a completion audit to confirm if the above has been achieved. The completion audit should be undertaken after all RAP inputs—including development initiatives—have been completed. If the completion audit is successful, this brings to a close the project sponsor’s liability for resettlement, compensation, livelihood restoration, and development support. Thereafter, these communities can be treated with some particular attention, but as ordinary communities that are impacted by the operation. The reality, however, is that on-going assistance of some kind will always be required, in particular for vulnerable households. When developing the RAP it is essential that the conditions which may cause or increase vulnerability are identified and understood, and measures put in place to manage this. This includes forming partnerships with local government and integrating vulnerable households into pre-existing government programmes which seek to support the most vulnerable in society. Reference for material used: The IFC Handbook (2002), Page 52. In reality, on-going assistance is likely, in particular for the most vulnerable.

What is the value-add of effective resettlement planning?
Improved risk management process, throughout the resettlement process Minimized resettlement impacts on project-affected people The development of a Resettlement Action Plan (RAP) Opportunity for improved collaboration with government and civil society Opportunity to build/ improve relationships with affected people Opportunity to be change agents and create a positive legacy Alignment with international standards and commitments on resettlement. Aim of this slide: To spell out the value-add to business of sensitive resettlement planning (in line with IFC PS 5). Key points: Carrying out a resettlement process in line with IFC PS 5 (and other best practice standards) will deliver the following value add to business: Improved risk management process, throughout the resettlement process. IFC PS 5 is designed to help companies avoid or better manage the risks associated with resettlement. Given the significance of the risks associated with resettlement, IFC PS 5 can therefore be considered as a safeguard approach – although, complete avoidance of all risks is unfortunately impossible given the complexity of the process and its impacts on affected parties. Minimized resettlement impacts on project-affected people. In the same way that IFC PS 5 offers risk mitigation to the project sponsors, so too it offers the benefits of impact mitigation and compensation for those affected by the resettlement process. This in turn lays the foundations for resilient company-community relations in spite of the high impact nature of resettlement. The development of a Resettlement Action Plan (RAP) to guide a systematic, pro-active approach to resettlement planning, complete with specified actions, timing, responsibilities and budget. Opportunity for improved collaboration with government and civil society: in order to fully meet the requirements of IFC PS 5, companies are required to collaborate with a variety of stakeholders in order to maximise resettlement outcomes – in particular those related to improved living standards, livelihoods and associated well being. Opportunity to build/ improve relationships with affected people Opportunity to be change agents and create a positive legacy: in spite of the significant risks and impacts associated with resettlement, it does offer a wide platform for the creation of sustainable benefits for project affected people. Doing so requires long term, senior level commitment to securing positive resettlement outcomes, across a range of “well-being criteria”. Getting this right can play a powerful part in uplifting previously impoverished communities – in ways and within timeframes that are often not possible within the normal pace of social change. For example opportunities to stimulate local economic development through the use of local procurement and use of local labour and to improve lives beyond pre-resettlement levels. Alignment with international standards on resettlement, the ICMM SD Framework and Position Statement on Indigenous Peoples.

Exercise: Identifying and closing the gaps
Divide into groups of 3-4 and identify/discuss the following: Three aspects of your resettlement process that are negatively affecting your resettled community/ies – or potential impacts in the event of future resettlements. Top 3 risks to your company as a result of existing (or future) resettlement processes. What responses are required to address these impacts and risks? Aim of this slide: To get participants to think through the main resettlement risks to their company as a result of resettlement, or risks that are likely to arise.

Where can I find more information?

Key references Aim of this slide: To provide a list useful resettlement resources that might be of interest to participants. Key documents: IFC’s Performance Standard 5: Land Acquisition and Involuntary Resettlement (2012), and IFC Guidance Note (2012) to support the implementation of Performance Standard 5. IFC’s Handbook for Preparing a Resettlement Action Plan (2002). The purpose of this handbook is to provide guidance to project sponsors in complying with World Bank Group's policy on Involuntary Resettlement (OD 4.30) and in preparation of a Resettlement Action Plan (RAP). ICMM’s Land acquisition and resettlement: Lessons learned (2015). The lessons learnt are grouped into 10 modules: Module 1: International policies and standards Module 2: Impact assessments Module 3: The planning process Module 4: Engaging stakeholders Module 5: Resettlement packages and assistance Module 6: Restoring sustainable livelihoods Module 7: Identifying and supporting vulnerable groups Module 8: Construction and physical moves Module 9: Benefit sharing and community development Module 10: Monitoring, evaluation and reporting Note: See the references section in the ICMM guide for detail on further resettlement guidance/documentation.

Our resettlement guidance
Slide for you to insert a summary of your company’s resettlement guidance, if relevant.

International Council on Mining and Metals (ICMM) 35/38 Portman Square London W1H 6LR United Kingdom Switchboard: +44 (0) Main Fax: +44 (0)

Resettlement planning and implementation

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