1. Involuntary Resettlement 0P 4.12: Planning Instruments WB Safeguards Training Workshop Tbilisi, May 2013

2. Cartoon by Chris Madden Resettlement Instruments Resettlement plan Resettlement plan When it is possible to determine displacing population during project preparation (i.e. site-specific resettlement) When it is possible to determine displacing population during project preparation (i.e. site-specific resettlement) Abbreviated resettlement plan Abbreviated resettlement plan When affected people are not physically displaced and less than 10% of their productive assets are lost, or fewer than 200 people are displaced When affected people are not physically displaced and less than 10% of their productive assets are lost, or fewer than 200 people are displaced Resettlement policy framework Resettlement policy framework In a project with multiple subprojects where population to be displaced not know during project preparation (i.e. linear resettlement In a project with multiple subprojects where population to be displaced not know during project preparation (i.e. linear resettlement Process framework Process framework For projects involving restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of affected people For projects involving restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of affected people

3. 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 Mitigating risks for affected people helps minimize risks to borrower and Bank, too 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 RAP is borrower’s responsibility to prepare and implement Implementers and affected people should be involved in planning process Implementers and affected people should be involved in planning process Compensation and other necessary assistance provided before impacts are imposed Compensation and other necessary assistance provided before impacts are imposed Bank acceptance required at appraisal (or prior to subproject approval) Bank acceptance required at appraisal (or prior to subproject approval)

5. RAP: 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 Monitoring arrangements Monitoring arrangements Consultation and information dissemination Consultation and information dissemination Grievance procedures Grievance procedures

6. RAP Content Description of project and impacts Description of project and impacts Impact avoidance and minimization efforts Impact avoidance and minimization efforts Identification of affected persons and impacts Identification of affected persons and impacts Compensation at replacement value Compensation at replacement value Other assistance measures Other assistance measures 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

7. Conducting Census and Inventory 100% census is essential for identifying and enumerating all affected people (build on the social component of ESIA –nature of impacts/direct and indirect) 100% census is essential for identifying and enumerating all affected people (build on the social component of ESIA –nature of impacts/direct and indirect) Inventory of affected assets essential to categorization of impacts and formulation of assistance 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 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 Full and timely data gathering is key to establishing eligibility, budgeting, monitoring and resolution of grievances

8. Consultation and Participation Policy requirement: “displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs” Policy requirement: “displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs” Meaningful consultation: Meaningful consultation: A two-process in which stakeholders provide advice and input on the design of proposed projectsA two-process in which stakeholders provide advice and input on the design of proposed projects Iterative process from project preparation to completionIterative process from project preparation to completion Promotes dialogue between governments, affected communities, NGOs and implementing agenciesPromotes dialogue between governments, affected communities, NGOs and implementing agencies Lack of reliable project information and involvement of affected persons can lead to conflict and adversely affect the resettlement program Lack of reliable project information and involvement of affected persons can lead to conflict and adversely affect the resettlement program

9. GRM: timely, easy to use point person with the responsibility of coordinating grievances (receive and sort) point person with the responsibility of coordinating grievances (receive and sort) track and monitor grievance track and monitor grievance acknowledgement and resolution acknowledgement and resolution multiple channels for receiving feedback need to be established (mail, fax, e-mail, website, telephone, in person) multiple channels for receiving feedback need to be established (mail, fax, e-mail, website, telephone, in person)

10. Eric Brusberg

11. Mitigation Measures Cash compensation may be appropriate when: Land taken by the project is a small fraction of the affected asset and residual is viable Land taken by the project is a small fraction of the affected asset and residual is viable Livelihoods are not land based Livelihoods are not land based Cash compensation is the preferred option of displaced people and they have the capacity for self- resettlement Cash compensation is the preferred option of displaced people and they have the capacity for self- resettlement

12. Mitigation Measures To provide prompt compensation at full replacement cost for losses of assets attributable directly to the project To provide prompt compensation at full replacement cost for losses of assets attributable directly to the project Provide assistance during relocation Provide assistance during relocation To provide residential houses, or housing sites, or agricultural sites, least equivalent to the advantages of the old site To provide residential houses, or housing sites, or agricultural sites, least equivalent to the advantages of the old site

13. Mitigation Measures Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living Moving expenses Moving expenses Employment trainingEmployment training Income support while awaiting income restorationIncome support while awaiting income restoration Develop affordable and accessible grievance redress mechanisms Develop affordable and accessible grievance redress mechanisms

14. Replacement Costs where there is no formal market Structures – estimate the cost of materials and labour to re- construct the shed etc. today. Upgrade to minimum safety standard e.g. no asbestos Structures – estimate the cost of materials and labour to re- construct the shed etc. today. Upgrade to minimum safety standard e.g. no asbestos Land – replacement land as a priority. Failing land availability or person’s choice to move to other sources of livelihood then compensation of 5 years produce of the land Land – replacement land as a priority. Failing land availability or person’s choice to move to other sources of livelihood then compensation of 5 years produce of the land Fruit trees – 5 years yield calculated at rate of highest yield over last 3 years OR sapling plus annual yield x age of tree or annual yield x number of years of productivity Fruit trees – 5 years yield calculated at rate of highest yield over last 3 years OR sapling plus annual yield x age of tree or annual yield x number of years of productivity Shade trees – 2/3 times value of wood of tree (depending on how long tree takes to grow) plus sapling Shade trees – 2/3 times value of wood of tree (depending on how long tree takes to grow) plus sapling Grazing land and common property resources – alternative site if available. if temporary loss only, then option for stall feeding or compensation for purchase of supplemental produce in case of loss of edibles. If permanent loss then some kind of community investment or micro finance fund can be established. Grazing land and common property resources – alternative site if available. if temporary loss only, then option for stall feeding or compensation for purchase of supplemental produce in case of loss of edibles. If permanent loss then some kind of community investment or micro finance fund can be established.

15. Vulnerable groups : Examples include (HH, Groups, communities):below poverty line, landless, elderly, women, children, handicapped, single parents, indigenous peoples, ethnic minorities Look at the specific impacts on each sub group and go beyond the standard examples given above. Look at the specific impacts on each sub group and go beyond the standard examples given above. For example, urban vendors / herders / school children may be affected by specific impacts. For example, urban vendors / herders / school children may be affected by specific impacts. Identify specific measures to mitigate the impact on vulnerable groups (women headed households given extra compensation for labor for house construction). Identify specific measures to mitigate the impact on vulnerable groups (women headed households given extra compensation for labor for house construction). General vulnerability is relevant to the extent that any rehabilitation measure has to be done to a minimum acceptable development standard General vulnerability is relevant to the extent that any rehabilitation measure has to be done to a minimum acceptable development standard Aim for livelihood restoration rather than just replacement. Aim for livelihood restoration rather than just replacement.

16. Livelihood Restoration Impacts Impacts Loss of income-earning capacityLoss of income-earning capacity Compensation alone does not guarantee the restoration or improvement of living standardsCompensation alone does not guarantee the restoration or improvement of living standards Example: agricultural land has a market value (requires compensation), but it is also the basis for livelihood and future earning capacity (requires rehabilitation)Example: agricultural land has a market value (requires compensation), but it is also the basis for livelihood and future earning capacity (requires rehabilitation) Issues Issues Household may have multiple providers of income – require intra-household analysisHousehold may have multiple providers of income – require intra-household analysis Women have different opportunities for employment – require gender analysisWomen have different opportunities for employment – require gender analysis Vulnerable groups (poor, elderly, ethnic minorities) have different opportunities for livelihood restoration – establish criteria for vulnerabilityVulnerable groups (poor, elderly, ethnic minorities) have different opportunities for livelihood restoration – establish criteria for vulnerability

17. Practical Problems RAP inputs and processes are more time- intensive than usual domestic practice RAP inputs and processes are more time- intensive than usual domestic practice Consultation and information disclosure requirements may be more extensive Consultation and information disclosure requirements may be more extensive Clarifying responsibilities and inter-agency coordination can be difficult Clarifying responsibilities and inter-agency coordination can be difficult Bridging gaps: the challenge of going beyond existing regulations Bridging gaps: the challenge of going beyond existing regulations

18. Resettlement Policy Framework RPF establishes principles and procedures for subsequent planning and implementation RPF establishes principles and procedures for subsequent planning and implementation Prepared when it is not possible to finalize a RAP by appraisal (lack of project definition, others) Prepared when it is not possible to finalize a RAP by appraisal (lack of project definition, others) 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 Bank acceptance of RAP required prior to ‘approval of financing’ and initiation of works Bank acceptance of RAP required prior to ‘approval of financing’ and initiation of works

19. Content of RPF Description of project and estimated impacts Description of project and estimated impacts Explanation why full RAP planning is not possible Explanation why full RAP 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

20. Recurring RPF 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 RPF should reflect level of information available at appraisal stage RPF should reflect level of information available at appraisal stage Planning or implementation issues often arise if borrower ownership of RPF is weak Planning or implementation issues often arise if borrower ownership of RPF is weak

21. Process Framework Applicability: Restrictions on access by users to resources in legally designated parks or conservation areas Applicability: Restrictions on access by users to resources in legally designated parks or conservation areas Objective: Livelihood restoration “in a manner that maintains the sustainability of natural resources” and does not adversely affect user livelihoods. Objective: Livelihood restoration “in a manner that maintains the sustainability of natural resources” and does not adversely affect user livelihoods.

22. 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