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OPERATIONAL POLICY 0P 4.12 INVOLUNTARY RESETTLEMENT Radhika Srinivasan, ECSSD.

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Presentation on theme: "OPERATIONAL POLICY 0P 4.12 INVOLUNTARY RESETTLEMENT Radhika Srinivasan, ECSSD."— Presentation transcript:

1 OPERATIONAL POLICY 0P 4.12 INVOLUNTARY RESETTLEMENT Radhika Srinivasan, ECSSD

2 Outline of the Presentation Triggers of the Policy Triggers of the Policy Objectives Objectives Scope and Coverage Scope and Coverage Required Resettlement Measures Required Resettlement Measures Eligibility Criteria Eligibility Criteria Resettlement Planning Instruments Resettlement Planning Instruments Bank and Borrower Roles Bank and Borrower Roles

3 IMPACTS THAT TRIGGER OP 4.12 OP/BP 4.12 is triggered when a Bank investment causes Involuntary taking of land that results in direct social and economic impacts such as: Involuntary taking of land that results in direct social and economic impacts such as: Loss of shelter leading to relocation Loss of shelter leading to relocation Loss of assets or access to assets Loss of assets or access to assets Loss of income sources or means of livelihood (whether or not the affected persons must move to another location) Loss of income sources or means of livelihood (whether or not the affected persons must move to another location) Involuntary restriction of access to legally designated parks and protected areas that result in adverse impacts on the livelihoods of affected persons Involuntary restriction of access to legally designated parks and protected areas that result in adverse impacts on the livelihoods of affected persons

4 POLICY OBJECTIVES Avoid involuntary resettlement where feasible, or minimize it, exploring all viable alternative project designs Avoid involuntary resettlement where feasible, or minimize it, exploring all viable alternative project designs Consult affected persons meaningfully and provide opportunities to participate in planning and implementing resettlement programs Consult affected persons meaningfully and provide opportunities to participate in planning and implementing resettlement programs Assist affected persons in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre- displacement levels Assist affected persons in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre- displacement levels

5 SCOPE AND COVERAGE OF OP.412 OP 4.12 applies to all components of the project that require land take, regardless of the source of financing all components of the project that require land take, regardless of the source of financing other activities requiring land take that are other activities requiring land take that are directly and significantly related to the Bank-assisted project directly and significantly related to the Bank-assisted project necessary to achieve its objectives as set forth in the project documents necessary to achieve its objectives as set forth in the project documents carried out, or planned to be carried out, contemporaneously with the project carried out, or planned to be carried out, contemporaneously with the project

6 IMPACTS COVERED BY OP4.12 yes or no? Business losses caused by rerouting of road away from existing village Business losses caused by rerouting of road away from existing village Loss of farmland inundated by a reservoir Loss of farmland inundated by a reservoir Loss of jobs due to Bank-financed privatization project Loss of jobs due to Bank-financed privatization project Loss of dwelling due to construction of a drainage canal Loss of dwelling due to construction of a drainage canal Devaluation of property due to Bank- financed solid waste dump nearby Devaluation of property due to Bank- financed solid waste dump nearby

7 MITIGATION MEASURES Inform affected persons about their rights/ options pertaining to land acquisition/ resettlement Inform affected persons about their rights/ options pertaining to land acquisition/ resettlement Provide prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project Provide prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project Provide resettlement assistance for vulnerable affected people Provide resettlement assistance for vulnerable affected people

8 MITIGATION MEASURES Options can be “land for land” if livelihoods land- based; Cash possible if land taken is a small fraction of the affected asset and residual is viable Options can be “land for land” if livelihoods land- based; Cash possible if land taken is a small fraction of the affected asset and residual is viable Link Compensation/ Resettlement implementation to project timetable Link Compensation/ Resettlement implementation to project timetable

9 WHO IS ELIGIBLE? The borrower carries out a census to identify those affected and eligible for assistance: 1.Those who have formal legal rights to land [compensation] 2.Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets [compensation] 3.Those who have no recognizable legal right or claim to the land that they are occupying [resettlement assistance]

10 RESETTLEMENT INSTRUMENTS Resettlement (Action) Plan* Resettlement (Action) Plan* When it is possible to determine scale of adverse impacts and affected population during project preparation, prior to appraisal When it is possible to determine scale of adverse impacts and affected population during project preparation, prior to appraisal Abbreviated Resettlement (Action) Plan Abbreviated Resettlement (Action) Plan When impacts are minor or if fewer than 200 people are displaced When impacts are minor or if fewer than 200 people are displaced * Or Land Acquisition (Action) Plan

11 RESETTLEMENT INSTRUMENTS cont. Resettlement Policy Framework Resettlement Policy Framework ot possible to identify precise siting alignments or specific impacts/affected population during project preparation (financial intermediary operations, and projects with multiple subprojects), When not possible to identify precise siting alignments or specific impacts/affected population during project preparation (financial intermediary operations, and projects with multiple subprojects), A Resettlement Action Plan is prepared for each subproject that may involve land acquisition, before the subproject is accepted for Bank financing A Resettlement Action Plan is prepared for each subproject that may involve land acquisition, before the subproject is accepted for Bank financing Process Framework Process Framework For projects involving restriction of access to resources in legally designated parks or protected areas For projects involving restriction of access to resources in legally designated parks or protected areas No separate Resettlement Action Plan required No separate Resettlement Action Plan required

12 LEGAL AGREEMENT The resettlement instrument is included in the Legal Agreement between the Bank and the Borrower

13 RESPONSIBILITIESBORROWER: Prepare the Resettlement Instrument (Framework or Plan) Prepare the Resettlement Instrument (Framework or Plan) Consult project affected persons Consult project affected persons Disclose the draft instrument as condition of project appraisal Disclose the draft instrument as condition of project appraisal Disclose the instrument again after it is finalized Disclose the instrument again after it is finalized Implement and monitor the Resettlement Plan Implement and monitor the Resettlement Plan Final evaluation of the Plan Final evaluation of the Plan BANK: Provide advice during the preparation of the instruments Review and approve the Plan or Framework before appraisal Disclose draft instrument at the Infoshop Disclose final instrument again at the Infoshop Supervise regularly the implementation of the Plan Include Resettlement Results in the ICR

14 RESETTLEMENT POLICY FRAMEWORK

15 What is a Land Acquisition/ Resettlement Policy Framework ? Specific impacts relating to land take not known in advance Specific impacts relating to land take not known in advance Agreement between the Borrower and the WB: involuntary land expropriation, will comply with national laws relating to land expropriation and World Bank Operational Policy (OP) 4.12 on Involuntary Resettlement. Agreement between the Borrower and the WB: involuntary land expropriation, will comply with national laws relating to land expropriation and World Bank Operational Policy (OP) 4.12 on Involuntary Resettlement. Underlying principle: avoid/ minimize adverse impacts Underlying principle: avoid/ minimize adverse impacts

16 What is the purpose of the RPF? Clarifies land acquisition principles and organizational arrangements that where land acquisition is unavoidable, borrower will Ensures that where land acquisition is unavoidable, borrower will consult project affected persons consult project affected persons compensate for lost assets at replacement costs compensate for lost assets at replacement costs provide assistance to improve/ restore livelihoods and standards of living to pre- displacement levels in the event of displacement provide assistance to improve/ restore livelihoods and standards of living to pre- displacement levels in the event of displacement

17 What are the contents of a RPF? Description of project components which trigger land acquisition Description of project components which trigger land acquisition Legal framework reviewing borrower laws and Bank policy requirements on expropriation Legal framework reviewing borrower laws and Bank policy requirements on expropriation Methods of valuing assets Methods of valuing assets Estimated land take/ population displacement Estimated land take/ population displacement Eligibility criteria and Entitlement Matrix Eligibility criteria and Entitlement Matrix Organizational arrangements for the delivery of entitlements Organizational arrangements for the delivery of entitlements Description of consultation process, grievance redress mechanisms, arrangements for funding, timeline Description of consultation process, grievance redress mechanisms, arrangements for funding, timeline Monitoring arrangements by the PIU Monitoring arrangements by the PIU

18 What does a review of the Legal Framework entail? Borrower land acquisition laws and procedures and fit with OP 4.12 principles Borrower land acquisition laws and procedures and fit with OP 4.12 principles Typical areas of differences Typical areas of differences Assessment of land acquisition impacts through a census of those affected with socio-economic data and an inventory of losses Assessment of land acquisition impacts through a census of those affected with socio-economic data and an inventory of losses Compensation: Land-for-land or Cash? Compensation: Land-for-land or Cash? Scope for consultation? Scope for consultation? Methods for valuing assets? Methods for valuing assets? Approach to people without clear titles to land/ assets? Approach to people without clear titles to land/ assets? Income restoration measures? Income restoration measures?

19 Example: Entitlement Matrix ImpactsEntitlements < 50% of agricultural land lostCash compensation equivalent to market value > 50% of land holding lostCash compensation for the entire landholding + Relocation Assistance+ Income Support + +Job Training Loss of houses and other structures (legal structures) Undepreciated value of building in cash+ Right to salvage materials+ Moving Expenses Trees and standing cropsCash compensation Loss of structures for those without title to land or permits [Squatters] No compensation for land. Undepreciated value of building in cash +Right to salvage materials+ costs of shifting + job placement, skills training

20 Example: Organizational Arrangements Land Acquisition ActivityResponsible Institution Assessment of Impacts & Inventory of Losses, Census of affected people MoPW/ PIU Valuation of AssetsMPW assigns to Licensed Independent Valuation Experts ConsultationsMoPW, PIU. Mayor of the LGU Drafting the PFMoPW/ PIU Compensation PaymentsMoF/ MoPW Expropriation of LandCouncil of Ministers Monitoring and EvaluationMoPW/PIU

21 Example: Grievance Redress Mechanisms Grievances related to impacts  community level, PIU, design consultants to find technical solutions. Grievances related to impacts  community level, PIU, design consultants to find technical solutions. Grievances related to compensation amounts, delays in compensation payments  PIU in liaison with the Municipalities. Grievances related to compensation amounts, delays in compensation payments  PIU in liaison with the Municipalities. The Expropriation Law provides for an appeals process against the proposed award for compensation. The Expropriation Law provides for an appeals process against the proposed award for compensation. Arbitration by NGOs. Arbitration by NGOs. Grievances through the court system. Grievances through the court system.

22 Example: Monitoring Arrangements (by PIU) Project CycleData for Monitoring Sub- Project ApplicationLand take for sub-projects; scale of resettlement, if any. Project Concept Development Technical & Social Review Community consultations (date, # of participants, issues), Abbreviated Resettlement Plan (ARP)Data from census with inventory of assets lost by PAPs, entitlements, and socio-economic data, Dates of receipt, review, and approval by PIU of ARP, Dates of submission and approval by Bank of ARP Date of disclosure of ARP ImplementationDelivery of compensation Data on grievance redress Post-ImplementationEvaluation including assessment of economic rehabilitation/income restoration.


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