1. Planning for Resettlement 0P 4.12 Instruments

2. Resettlement and Development No mitigation: Those losing land must make a sacrifice for national development No mitigation: Those losing land must make a sacrifice for national development Eminent domain: compensation for assets favors relatively well-to-do. Eminent domain: compensation for assets favors relatively well-to-do. Risks of impoverishment: Recognizing interests of poor and vulnerable, too Risks of impoverishment: Recognizing interests of poor and vulnerable, too Key policy differences: Affected persons versus those with formal rights; stock of assets versus income flows Key policy differences: Affected persons versus those with formal rights; stock of assets versus income flows

3. Risks of Impoverishment Landless Landless Jobless Jobless Homeless Homeless Lost access to common resources Lost access to common resources Marginalization Marginalization Morbidity/mortality Morbidity/mortality Food insecurity Food insecurity Social/community disarticulation Social/community disarticulation

4. Key Planning Objectives Identify adverse impacts for avoidance, minimization or mitigation Identify adverse impacts for avoidance, minimization or mitigation Assist affected people to improve, or at least restore, incomes and living standards Assist affected people to improve, or at least restore, incomes and living standards Provide arrangements and resources for implementation of mitigation measures Provide arrangements and resources for implementation of mitigation measures

5. Emerging Issues and Trends Adapting to changing project portfolio Adapting to changing project portfolio Increasing emphasis on institutional issues and country context Increasing emphasis on institutional issues and country context Moving beyond the ‘blueprint approach’ Moving beyond the ‘blueprint approach’ Integrating broader risks and opportunities into project design Integrating broader risks and opportunities into project design

6. Key Planning Considerations RP is borrower’s responsibility and borrower’s document RP is borrower’s responsibility and borrower’s document Implementers and affected people should be involved in planning process Implementers and affected people should be involved in planning process Bank acceptance required at appraisal (or prior to subproject approval) Bank acceptance required at appraisal (or prior to subproject approval)

7. RP: Technical Content Description of project and impacts Description of project and impacts Impact avoidance and minimization efforts Impact avoidance and minimization efforts Census/socioeconomic survey Census/socioeconomic survey Inventory of affected assets Inventory of affected assets Valuation and compensation methods Valuation and compensation methods Relocation site plan (if relevant) Relocation site plan (if relevant) Income restoration plan (if relevant) Income restoration plan (if relevant) Budget and financial arrangements Budget and financial arrangements

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

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

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

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

12. Anticipating RPF Transition Issues RPF is borrower’s document, representing acceptance of policy obligations RPF is borrower’s document, representing acceptance of policy obligations RPF provides tentative agreement; RP reviewed and approved based on final design RPF provides tentative agreement; RP reviewed and approved based on final design Over-specification can heighten process burdens and impede effective planning Over-specification can heighten process burdens and impede effective planning

13. Resettlement Process Framework Applicability: Restrictions on access to resources in legally designated parks or conservation areas 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.” 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. 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 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

15. Contingency and Adaptation Remedial planning: When impacts are not identified or anticipated Remedial planning: When impacts are not identified or anticipated Change of plans: What to do when the blueprint doesn’t work Change of plans: What to do when the blueprint doesn’t work

16. Resettlement Mantra: Things that Warrant Repeating Resettlement planning is complicated Resettlement planning is complicated Behavior is complicated – and contingent Behavior is complicated – and contingent Negotiation and consensus are time-consuming Negotiation and consensus are time-consuming Formulating a plan is only the beginning Formulating a plan is only the beginning