1. Ensuring social “safeguards” in Infrastructure Projects
24 April 2019
Bam Baahadur Thapa
Social Safeguard Expert

2. Contents Legal Framework for Social Safeguards
Development partners' safeguard policy
Policy gaps
Stakeholder analysis and Communication strategies

3. The Constitution of Nepal 2072 (2015 AD).
Legal framework
The Constitution of Nepal 2072 (2015 AD).
Property Rights as Fundamental Rights
Every citizen shall have the right to acquire, own, sell, dispose of and deal with property.
State acquires or establishes the rights over individuals’ property for public welfare, the state will compensate for the loss of property.
The process and the procedures shall be as prescribed by the law.

4. Legal Framework hUuf k|fKtL P]g @)#$ hUuf k|z;fg lgb]{lzsf @)%*
पूर्वाधार विकास आयोजनाका लागि जग्गा प्राप्ति, पुनर्वास तथा पुनर्स्थापना सम्बन्धी नीति २०७१
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मालपोत नियमावली, २०३४
भूमी सम्बन्धी नियमावली, २०२१
जग्गा नापजाच नियमावली, २०५८
गुठी संस्थान नियमावली, २०४९
भूमी सुधार कार्य निर्देशिका, २०६०
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5. Legal Framework Land Acquisition Act 1977 (2034 BS)
Land - land belonging to any person, and walls, building, trees, etc., permanently installed thereon.
Govt. can acquire land
Where ? -- any place
How much ? -- any quantity
How ? – by giving compensation
Condition – public purpose for operation of any development project initiated by govt. institutions

6. पूर्वाधार विकास आयोजनाका लागि जग्गा प्राप्ति, पुनर्वास तथा पुनर्स्थापना सम्बन्धी नीति २०७१
आयोजनाको अवधारणा तय गर्ने चरणमानै निम्न वर्गीकरणका आधारमा अस्वैच्छिक विस्थापनको जोखिम कम भएका आयोजना कार्यानवयनको विकल्प तयार गरिनेछ :
उच्च जोखिम: हिमाली क्षेत्रमा ५०, पहाडी क्षेत्रमा ७५ र तराईमा १०० वा सो भन्दा बढी परिवारहरु भौतिक वा आर्थिक रूपले विस्थापित हुने आयोजना
मध्यम जोखिम: हिमाली क्षेत्रमा ५०, पहाडी क्षेत्रमा ७५ र तराईमा १०० वा सो भन्दा कम परिवारहरु भौतिक वा आर्थिक रूपले विस्थापित हुने आयोजना
न्यून जोखिम: आर्थिक विस्थापन मात्र हुने तर भौतिक विस्थापन वा प्रभावित परिवारको उत्पादनशील जायजेथाको १० प्रतिशत भन्दा बढी ह्रास नहुने आयोजना
सामाजिक प्रभाव मूल्याङ्कन प्रतिवेदनमा देहायका विवरणहरु समावेश गर्ने:
नापी नक्सा स्वामित्वको लगत, जग्गाको उपयोगको अवस्था, जग्गामा निर्मित संरचनाहरु
भौतिक र आर्थिक दुवै रूपमा विस्थापित हुने परिवार को लगत
आयोजनाका लागि प्राप्ति गर्न प्रस्ताव गरिएको घर जग्गा को परिमाण र विकल्पको विश्लेषण र आयोजनाको लागतमा पार्न सक्ने असरको लेखाजोखा
प्रभावित समुदायको सामाजिक, आर्थिक, साँस्कृतिक ढाँचाको विवरण
सामाजिक प्रभाव को तथ्याङ्क संकलन संपन्न भएको मितिमा सूचना जारी गरी सोही मितिलाई तथ्याङ्क संकलनको अन्तिम आधार मिति मानिने छ।

7. Social Safeguard To avoid involuntary resettlement wherever possible
To minimize involuntary resettlement by exploring project and design alternatives;
To enhance, or at least restore, the livelihood of all displaced persons in real terms relative to the pre-project levels; and
To improve the standards of living of the displaced poor and other vulnerable groups

8. ADB’s Safeguards Policy Statement (SPS), 2009
Safeguard: “Do No Harm”
ADB policies especially for “do no harm”
Uneven Impact
Different Magnitude of effect/impact
Safeguard includes Envt., resettlement and IP (three Safeguard)
Avoid, minimize, and mitigate loss and impact
Vulnerability
Only Compensation is not sufficient
Livelihood and income restoration

9. Objective of ADB’s SPS
Avoid adverse impact of projects on the Evt., and affected people where possible;
Minimize, mitigate, and/or compensate for adverse project impact on the Evt. and affected people when avoidance is not possible anD
Help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage Evt. and social risks

10. Scope of application
The SPS applies to all ADB-financed and/or ADB-administered sovereign and non sovereign projects and components, no matter whether they are financed by ADB, the borrower/client, or co-financiers.
ADB will not finance projects that do not comply with the requirement laid out in the SPS.
Nor it will finance projects that do not comply with the host country’s laws and regulations, including those laws for which the implementing host country has obligations under international law.
The SPS also applies when the land acquisition process has begun or been completed and/or population has already been moved in anticipation of ADB support.

11. IR Triggers under SPS
Involuntary resettlement safeguards covers both physical and economic displacement as a result of
Involuntary acquisition of land, or
Involuntary restrictions on land use or on access to legally designed parks and protected areas.
Displacement can be full or partial, permanent or temporary.
physical displacement refers to loss of land, assets, access to assets. income sources, or means of livelihoods.
Restrictions on land use on access to legally designated parks and protected areas means the imposition of involuntary restrictions on the use of resources on people who live around or within such areas.

12. ADB’s Three safeguards requirements
Environment Safeguard
Involuntary Resettlement Safeguard
Indigenous People Safeguard

13. Involuntary Resettlement Safeguard
Involuntary Resettlement (IR).
When the displaced persons have no right to refuse the land acquisition by the state that results in their displacement.
This occurs when land is acquired through-
i) evoking the eminent domain power of the state
ii) failure of the negotiation for land price.
B. Voluntary Resettlement.
-The important principles of voluntary resettlement are informed, consent, and power of choice

14. ADB’s IR principles

15. IR Principle 1- screening
Screen the project early on to identify past, present, and future involuntary resettlement Impact and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specially related to resettlement impacts

16. Assessment of Social Impact
Identification of past, present, and future potential social impacts, based on baseline data analysis;
an inventory of displaced persons and their assets;
an assessment of the displaced persons’ income and livelihoods; and
gender-disaggregated information pertaining to the economic and socio cultural conditions of the displaced persons.
data

17. Categorization of Impacts
Category
Type of impact and need of RP
Category A
Sub-project expected to have significant impact that require an Resettlement Plan
(ADB-supported project are considered significant if 200 or more persons will be physically displaced from home or lose 10% or more of their productive or income-generating assets).
Category B
Sub-project expected to have limited impacts that require specific action in resettlement plans
Category C
Sub-project not expected to have impacts and therefore, do not require special provision.

18. IR Principle 2- Consultation
Carry out Meaningful consultations with affected persons, host communalities, and concerned nongovernment organizations. Inform all displaced persons of their entitlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the need of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns.
Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risk are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase.

19. IR Principle 3- Restoration of Livelihoods
Improve, or at least restore, the livelihood of all displaced persons through
Land-based resettlement strategies when affected livelihood are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods,
Prompt replacement of assets with to assets of equal of higher value.
Prompt compensation at full replacement cost for assets that cannot be restored, and
Additional revenues and services through benefits sharing schemes where possible

20. IR Principle 4- Provide Assistances
Provide physically and economically displaced persons with needed assistance, including the following:
If there is relocation, secured tenure to relocation and, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities.
Transitional support and development assistance, such as land development, credit facilities, trainings, or employment opportunities; and
Civic infrastructure and community services, as required

21. IR Principle 5- Vulnerable groups
Improve the standards of living of displaced poor and other vulnerable groups, including women, to at least national minimum standards
In rural areas provide them with legal and affordable access to land and resources, and
In urban areas provide them with appropriate income sources and legal and affordable access to adequate housing.

22. IR Principle 6- Negotiated Settlement
Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status

23. IR Principle 7- Persons without titles
Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

24. IR Principle 8- Resettlement Plan
Prepare a resettlement plan elaborating on displaced person's entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bund implementation schedule

25. IR Principle 9-Disclosure
Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders.

26. IR Principle 10- As a integral part of project
Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of projects’ costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation

27. IR Principle 11-Compensation Payment
Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision through project implementation

28. IR Principle 12- Monitoring
Monitor and assess resettlement outcomes, their impacts on the standards of living of displacement persons, and whether the objectives of the resettlement plan have been achieved by taking into account the basiline conditions and the results of resettlement monitoring. Disclose monitoring reports

29. Gaps in GoN’s Safeguard Policy Framework
No additional support provision for severe impact: loss of more than 10% of the total landholdings and income
Do not considers squatters/ encroachers/ nontitle landholders for compensation of their investment (structures, business) on land
Principle of replacement cost for valuation of affected assets is not explicitly mentioned and followed
Cut-off date for qualifying affected persons

30. Gaps in GoN’s Safeguard Policy Framework
Vulnerability and no provision of additional support and assistance for project affected Vulnerable groups
No standalone policy on Indigenous Peoples and other vulnerable communities to safeguard them.

31. Identify all stakeholders Identify stakeholders needs and interest
Classify group of interest (stakeholder
mapping)
Identify strength, access, power, resources of the group
Identify areas of conflict (project Vs stakeholder, stakeholder Vs stakeholder)
Prioritize, reconcile and balance stakeholder
Align stakeholders need with project goal and
action 3

32. Unpredictable but manageable
Power Dynamism Matrix
Dynamism
Low
High
Power A
Fewer Problem B
Unpredictable but manageable C
Powerful but
predictable D
Greatest Danger or
Opportunities

33. Understanding stakeholders

34. Power Interest Matrix Level of Interest Low High Power A Minimal
Effort B
Keep
Informed C
Satisfied D
Key
Players

35. Communication strategy

36. Any Question Please ? Thank you