1. Involuntary Resettlement 0P 4.12: Planning Instruments

2. A Resettlement Overview
What are the purposes of resettlement planning?
What is a Resettlement Action Plan (RAP) and what does it require?
What is a Resettlement Policy Framework (RPF) and what does it require?

3. Key Planning Objectives
Identify adverse impacts for avoidance, minimization or mitigation
Assist affected people to improve, or at least restore, incomes and living standards
Provide arrangements and resources for implementation of mitigation measures
Mitigating risks for affected people helps minimize risks to borrower and Bank, too

4. Key Planning Considerations
RAP is borrower’s responsibility to prepare and implement
Implementers and affected people should be involved in planning process
Compensation and other necessary assistance provided before impacts are imposed
Bank acceptance generally required at appraisal (or prior to subproject approval)

5. Recurring Issues and Problems
Defining the project: “Indirect impacts” and “linkage” in application of Bank policy
Bridging the eligibility gap: Assisting vulnerable people and those who lack full legal recognition
Covering all costs: ‘Replacement cost’ valuation, transaction costs and transitional support
Stock and flow: Asset compensation, income restoration, and development opportunities

6. RAP: Institutional Aspects
Policy and regulatory gap analysis
Timetable linked to project implementation
Organizational roles and capacity assessment
Internal and external monitoring arrangements
Consultation and information dissemination
Grievance procedures

7. RAP: Technical Content
Description of project and impacts
Impact avoidance and minimization efforts
Identification of affected persons and impacts
Valuation, compensation and assistance measures
Relocation site plan (if relevant)
Income restoration plan (if relevant)
Budget and financial arrangements

8. Conducting Census and Inventory
100% census is essential for identifying and enumerating all affected people
Inventory of affected assets essential to categorization of impacts and formulation of assistance
Income-related impacts and other potential socioeconomic issues can be considered on sample survey basis
Full and timely data gathering is key to establishing eligibility, budgeting, monitoring and resolution of grievances

9. Recurring Practical Problems
RAP inputs and processes are more time- intensive than usual domestic practice
Consultation and information disclosure requirements may be more extensive
Clarifying responsibilities and inter-agency coordination can be difficult
Different Bank measures and procedures bureaucratically difficult to implement
Bridging gaps: borrower often lacks authority to go beyond existing regulations or practice
Monitoring and adapting to contingencies

10. Resettlement Policy Framework
RPF establishes principles and procedures for subsequent planning and implementation
Prepared when it is impossible to finalize a RAP by appraisal
Technical planning cannot be done if location, nature and scale of impacts are not known
Bank acceptance of RAP required prior to ‘approval of financing’ and initiation of works

11. Core Content of RPF Description of project and estimated impacts
Explanation why full planning is not possible
Key principles and objectives
Policy and regulatory gap analysis
Plan preparation and approval process
Organizational roles and procedures
Consultation, disclosure and grievance redress commitments

12. Recurring RPF Transition Issues
RPF is borrower’s document, representing acceptance of policy obligations
RPF provides tentative agreement; RP reviewed and approved based on final design
RPF should reflect level of information available at appraisal stage
Planning or implementation issues often arise if borrower ownership of RPF is weak

13. Resettlement Process Framework
Applicability: Restrictions on access to resources in legally designated parks or conservation areas
Objective: Livelihood restoration “in a manner that maintains the sustainability of natural resources.”

14. Process Framework Requirements
An acceptable process framework document is required for appraisal.
The framework establishes a participatory process by which appropriate restrictions and mitigation measures, as well as implementation and monitoring arrangements, are to be considered
An acceptable plan of action is required prior to enforcement of restrictions
The plan of action describes specific restrictions, measures to be undertaken to assist affected persons, and arrangements for implementation and monitoring