94957 Urban Land Acquisition and Case Study Report Involuntary Resettlement Linking Innovation and Local Benefits Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Case Study Report Vincent Roquet, Luciano Bornholdt, Karen Sirker and Jelena Lukic Social Development—Social Sustainability and Safeguards Social, Urban, Rural and Resilience Global Practice The World Bank, Washington, DC March 2015   This volume is a product of the staff of the International Bank for Reconstruction and Development / The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. 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All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2422; e-mail: pubrights@worldbank.org. ii Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Foreword Our planet is undergoing a rapid process of The examples discussed in this report indeed show urbanization.  While the last century witnessed a how urban resettlement can become a development massive increase in built up urban spaces, it pales in opportunity for those who are ostensibly adversely comparison to what lies ahead.  More than half of affected by by the process of urban development. the eventual urban footprint of our planet expected The Mumbai example shows how the private sector by the year 2030 is yet to be built.  The next few can play a key role, to unleash the potential created decades will see growth in urban areas, including by high-value land to provide sustainable housing urban infrastructure, at a pace and scale that has solutions to those adversely affected, at no cost to not been experienced before. Ninety percent of this the government or the resettlers.  Examples from growth in urban footprint will take place in Morocco and Pakistan show how well designed and developing countries.   implemented, citizen-driven resettlement can result in enhanced skills and livelihoods, and can promote Expansion and development of urban areas require overall sustainable urban development. The acquisition of land, which, in turn, often requires Mauritania example demonstrates how collective physical relocation of people who own or occupy approaches with strong community participation this land.  Land acquisition and resettlement may can help address difficult challenges related to also be required to improve the lives of the more housing.  And finally, the Brazil case shows how than 1 billion people who currently live in slums resettlement practices with demonstrated, strongly around the world, most of them in developing positive outcomes and contributions to urban countries. Therefore, any effort to embark on development can influence governments to significant, sustainable urban development needs incorporate them into their own laws and to ensure that there are adequate processes for land regulations, helping millions of affected people acquisition and, so that resettlement does not beyond Bank-supported projects to benefit from become a constraint to much needed urban them.   development.  I am sure this report will inspire urban development Going beyond just ensuring “adequate” resettlement specialists and resettlement professionals to work processes, urban planners, architects, policy makers together to develop approaches that help convert and social scientists can afford to be more urban resettlement into a development opportunity.  ambitious, and try to implement urban I also hope that at the institutional level, it will development programs in a way that make people prompt the World Bank and other international who lose their land, houses or livelihoods become development organizations to actively work with equal partners in the development process, and national and regional governments to support them benefit as much from it as the other residents who in strengthening their own policy and institutional share the urban space with them.  The combination frameworks on land acquisition and resettlement. of the high price of urban land, presence of creative By doing so, we could help spread the benefits of individuals in close proximity in urban areas, and these win-win approaches to urban development to the ability of urban space to generate innovative millions of people around the world.  solutions, can help convert urban resettlement into a development opportunity for all.  Maninder Gill, Director, Social Development, Global Unit, GSURR Foreword iii Table of Contents Foreword.................................................................................................................................................................................. iii Abbreviations and acronyms............................................................................................................................................. vi Acknowledgments............................................................................................................................................................... vii Executive summary............................................................................................................................................................... ix Glossary.................................................................................................................................................................................. xiii 1. Introduction........................................................................................................................................... 1 1.1 Emerging Trends in Urban Resettlement ............................................................................................................................ 1 1.2 Need for Urban Resettlement Guidance Materials.......................................................................................................... 2 1.3 Scope and Methodology......................................................................................................................................................... 2 1.4 Selection of Case Studies....................................................................................................................................................... 3 1.5 Contents of Report.................................................................................................................................................................... 4 2. Innovative Country Systems—Example from Brazil.......................................................................5 2.1 Rationale for Case Study Selection...................................................................................................................................... 5 2.2 Background................................................................................................................................................................................. 6 2.3 Thematic Analysis...................................................................................................................................................................... 8 2.4 Results and Outcomes............................................................................................................................................................12 2.5 Conclusions................................................................................................................................................................................12 3. Relocation of Informal Urban Settlements—Examples from India and Mauritania.................15 3.1 Mumbai Urban Transport Project in India..........................................................................................................................15 3.1.1 Rationale for Case Study Selection.....................................................................................................................................15 3.1.2 Project Background..................................................................................................................................................................15 3.1.3 Thematic Analysis.....................................................................................................................................................................21 3.1.4 Results and Outcomes...........................................................................................................................................................25 3.1.5 Conclusions...............................................................................................................................................................................25 3.2 Urban Development Project in Nouakchott, Mauritania..............................................................................................27 3.2.1 Rationale for Case Study Selection....................................................................................................................................27 3.2.2 Project Background.................................................................................................................................................................27 3.2.3 Thematic Analysis....................................................................................................................................................................30 3.2.4 Results and Outcomes.......................................................................................................................................................... 34 3.2.5 Conclusions.............................................................................................................................................................................. 35 iv Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 4. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan....................................................................................................................................... 37 4.1 Artisan and Fez Medina Project in Morocco....................................................................................................................37 4.1.1 Rationale for Case Study Selection....................................................................................................................................37 4.1.2 Project Background..................................................................................................................................................................41 4.1.3 Thematic Analysis....................................................................................................................................................................44 4.1.4 Results and Outcomes.......................................................................................................................................................... 50 4.1.5 Conclusions................................................................................................................................................................................51 4.2 Sustainable Development of the Walled City of Lahore Project, Pakistan.............................................................53 4.2.1 Rationale for Case Study Selection....................................................................................................................................53 4.2.2 Project Background.................................................................................................................................................................53 4.2.3 Thematic Analysis....................................................................................................................................................................55 4.2.4 Results and Outcomes.......................................................................................................................................................... 60 4.2.5 Conclusions................................................................................................................................................................................61 5. Conclusions and recommendations.............................................................................................. 63 References............................................................................................................................................................................. 68 Boxes Box 1: Mumbai Urban Transport Project At a Glance.................................................................................................................. 16 Box 2: Transfer of Development Rights......................................................................................................................................... 19 Box 3: Mauritania Urban Development Project At a Glance.................................................................................................... 28 Box 4: Punjab Municipal Services improvement Project At a Glance................................................................................... 55 Box 5: Entitlement Matrix.................................................................................................................................................................. 57 Table of Contents v Abbreviations and Acronyms ADER-Fès: Agence de Dédensification et de MUTP: Mumbai Urban Transport Project Réhabilitation de Fès (Morocco) MUTP-2A: Mumbai Urban Transport Project— ADU: Agence de Développement Urbain Phase 2A (Mauritania) NGOs: Non-Governmental Organizations AMEXTIPE: Agence Mauritanienne d’Exécution des OP 4.12: World Bank’s Operational Policy 4.12 on Travaux d’Intérêt Public pour l’Emploi (Mauritania) Involuntary Resettlement APL: Adaptable Program Loan (World Bank) OPSOR: Operations Risk Management APP: Agence de Partenariat pour le Progrès Department (World Bank) (Morocco) PAC: Growth Acceleration Program (Programa de CBOs: Community-Based Organizations Aceleração do Crescimento in Portuguese) CDH/LCP/I: Commissariat aux Droits de l’Homme, à PAC2: Second Brazilian Acceleration Growth la Lutte Contre la Pauvreté et à l’Insertion Program (Mauritania) PAP: Project-Affected Person EIA: Estudo de Impacto Ambiental (Environmental P&DD: Planning and Development Department Impact Assessment—Brazil) (Punjab, Pakistan) FSI: Floor Space Index PLY: Place Lalla Ydouna (Fez, Morocco) GIS: Geographic Information System RAP: Resettlement Action Plan/ Resettlement Plan GP SURR: World Bank’s Global Practice on Social, RAS: Reimbursable Advisory Services (World Bank) Urban, Rural and Resilience (World Bank) ROW: Right-of-way GRC: Grievance Redressal Committee (Lahore, Pakistan) R&R: Resettlement and Rehabilitation IFC: International Finance Corporation SAGs: Social Activist Groups (Lahore, Pakistan) IPCC: International Panel on Climate Change SCLR: Santa-Cruz—Chembur Link Road (Mumbai) JVLR: Jogeshwari Vikroli Link Road (Mumbai) SDU: Social Development Unit (Mumbai) KfW: KfW Development Bank (Germany) SDWCLP: Sustainable Development of Walled City Lahore Project LAA: Land Acquisition Act of 1894 (Pakistan) SMT: Social Mobilization Team (Lahore, Pakistan) LAC: World Bank’s Latin America and the Caribbean Region TDR: Transfer of Development Rights LEGEN: Environmental and International Law TISS: Tata Institute of Social Sciences (India) Department (World Bank) TMAs: Tehsil Municipal Administrations (Punjab, MCC: Millennium Challenge Corporation (USA) Pakistan) MCGM: Municipal Corporation of the Greater UDP: Urban Development Project (Mauritania) Mumbai UGP: Unité de Gestion de Projet (Project MCMV: My House, My Life, in Portuguese (Brazil) Management Unit—Fez, Morocco) MLARR: Management of Land Acquisition, UNESCO: United Nations Educational, Scientific Resettlement, and Rehabilitation (Brazil) and Cultural Organization MMRDA: Mumbai Metropolitan Region WCL: Walled City of Lahore Development Authority WCLA: Walled City of Lahore Authority MSRDC: Maharashtra State Roads Development Corporation vi Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Acknowledgments The preparation of this case study report was • Mumbai Urban Transport Project case study in coordinated by a team consisting of Vincent Roquet India: Satya N. Mishra and I.U.B. Reddy, GSURR; (team leader), Luciano Bornholdt, Karen Sirker, and • Mauritania Urban Development Project case Jelena Lukic from the Global Unit of the World study: Brahim Abdelwedoud, GSURR, and Bank’s Social, Urban, Rural and Resilience Global Christian Diou, former Task Team Leader; Practice (GSURR). The team worked under the • Artisan and Fez Medina Project case study in guidance of Susan Wong, Practice Manager, Social Morocco: Jonathan Richart, Senior Director & Development, Global Unit, and Maninder Gill, Global Practice Lead, Environmental and Social Director, Social Development, Global Unit, GSURR. Performance, Millennium Challenge Corporation; Houcine Gabi, Director, Environment, Agence de The team benefited from comments provided by Partenariat pour le Progrès; and Said Abouyacoub, the following peer reviewers: Afshan H. Khawaja, Manager, Social Unit, Agence de Dédensification et Chaohua Zhang, Chaogang Wang and Jorge E. de Réhabilitation de Fès; and Villegas of GSURR; Glenn S. Morgan, and Peter • Sustainable Development of Walled City Lahore Leonard of OPSOR; and Sameh Naguib Wahba, Project case study in Pakistan: Shahnaz Arshad Practice Manager, Urban and DRM, Global Unit, and Salma Omar, GSURR. GSURR. The team also benefited from specific comments provided by Alberto Coelho Gomes The team also wishes to thank Laura Johnson for Costa of GSURR and Marcos Thadeu Abicalil of the editing the report, Jay Groff for report layout and Water Global Practice (GWADR) on the Brazil design, and Colum Garrity, Syed Abdul Salam, Anju country systems case study, from other comments Sachdeva and Cristal Llave in providing timely from Edda Mwakselo Ivan Smith, Chisako Fukuda, support to completion of the report. Special thanks Kimberley M. Borrows and Narae Choi of GSURR, are extended to the following for photographs and as well as from advice kindly provided by Jonathan maps included in the report: the Ministry of Cities M. Lindsay of LEGEN and by Dan Gibson and of Brazil for the Brazil case study, Satya N. Mishra Gordon Appleby, Resettlement Consultants. for the India case study, Brahim Abdelwedoud for the Mauritania case study, Vincent Roquet and the Moreover, the team wishes to thank the following Millennium Challenge Corporation for the Morocco people for their key contributions to the case study case study, and Shahnaz Arshad for the Pakistan reports: case study. • Brazil country systems case study: Fabio Pittaluga, GSURR, Anaclaudia Rossbach, Latin America and the Caribbean Regional Advisor for the Cities Alliance, Francesco di Villarosa, International Consultant, and Sameh Naguib Wahba, Practice Manager, Urban and DRM, Global Unit, GSURR; Acknowledgments vii viii Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Executive Summary Context • How to bring about improved country systems for urban land acquisition and involuntary With rapid urbanization and an increasing number resettlement through policy changes? of publicly-funded urban projects, there is a growing • How to address challenges related to the demand to address complex land acquisition and relocation of large-scale informal urban involuntary resettlement issues in urban settings. settlements or slums? A variety of major urban projects in areas such as • How to address challenges related to livelihood urban development, renewal or upgrading, urban restoration for informal urban occupations? transport, urban watershed management, water supply and sanitation, and urban solid waste management require substantial land acquisition Scope and Methodology and resettlement efforts that raise significant risks to people and investments. Governments and This report offers case study examples of innovative international financing institutions must identify and successful practices in urban resettlement with these risks early and manage them adequately. the aim of making them available for World Bank task teams and client countries. The report was Complex challenges involved in urban land prepared using interviews and desk reviews of acquisition and involuntary resettlement include: selected World Bank Group projects and relevant i) rapidly increasing property values and limited projects supported by other international financing availability of land in downtown areas; ii) extended institutions and donor agencies employing the informal settlements in strategic or vulnerable World Bank’s Operational Policy on Involuntary urban areas; iii) limited recognition of the rights of Resettlement (OP 4.12), such as the Millennium residential and commercial renters or de facto Challenge Corporation. occupants of urban spaces; iv) urban crime and violence; v) severe transportation bottlenecks; The five selected case studies cover four of the five vi) complex solid waste management problems; Bank regions: Africa, Latin America and the vii) critical water and wastewater management Caribbean, Middle East and North Africa, and issues; and viii) socioeconomically marginalized South Asia. They include, by theme: urban populations. These issues are amplified by • Improved country systems for urban land global trends such as the degradation of the natural acquisition and involuntary resettlement through resource base and climate change. policy change: World Bank—Ordinance 317 on Resettlement of the Ministry of Cities of Brazil. The selection of case studies in this report came • Challenges related to the relocation of informal about as a result of discussions within the urban settlements: World Bank—Mumbai Urban community of World Bank involuntary resettlement Transport Project, India; and World Bank—Urban practitioners. It was agreed that urban resettlement Development Project in Nouakchott, Mauritania. issues remain relatively unexplored and that the • Challenges related to livelihood restoration for greatest need for examples of innovative practices informal urban occupations: Millennium in resettlement was in urban settings. Particularly Challenge Corporation—Artisan and Fez Medina difficult topics identified in urban resettlement Project, Morocco; and World Bank—Sustainable were the following: Development of Walled City Lahore Project, Pakistan. Executive Summary ix Innovative Country Systems— issues led to project funding being withheld until Example from Brazil problems were corrected. Overall, the Mumbai Urban Transport Project presents a good practice World Bank—Ordinance 317 on case study for urban resettlement because it Resettlement of the Ministry of Cities introduced a number of innovative approaches that of Brazil were subsequently applied to other urban projects in India. Good practices documented in the case This case study looks at the cooperative process study include: established between the World Bank and the • The application of market-based solutions such as Brazilian Ministry of Cities that led up to the issuance transfer of development rights as a tradable bene- of Ordinance 317 by the ministry. The ordinance fit in lieu of land compensation for resettlement became official in July 2013 after a two-year process of operations in urban slums, which enabled public public consultation and debate among critical authorities to encourage private sector developers stakeholders, such as local governments, private- to fund the resettlement of slum dwellers from sector companies, and representatives of civil society. horizontally spread-out slums with few communi- The ordinance directly applies to projects and ty services to modern multistory buildings in fully programs funded by the Ministry of Cities, which is in serviced resettlement colonies charge of most urban investments under the Second • The use of self-administered socioeconomic baseline Brazilian Acceleration Growth Program (PAC2). surveys for resettlement of urban slums, with the Many of the previously existing gaps between the assistance of local nongovernmental organizations World Bank’s resettlement policy and Brazilian • Successful capacity building of Mumbai’s resettlement practices and regulations were bridged municipal resettlement authority. through the publication of the ordinance. World Bank—Urban Development The World Bank is now preparing a Reimbursable Project in Nouakchott, Mauritania Advisory Services project to help the Ministry of Cities build capacity in Brazilian municipalities for An urban resettlement program conducted for the changing resettlement practices according to the Urban Development Project in the largest slum of new ordinance. Capacity building initiatives are Nouakchott—the El Mina Kebbe—was successfully expected to result in a large number of public completed in 2004 with the relocation of 2,300 servants becoming versed in resettlement practices households to a properly serviced urban area informed by international best practices. This is located less than a kilometer away. The integrated likely to have an impact on tens of billions of dollars urban planning and participatory approach adopted of municipal investments in Brazil over the coming for this resettlement operation was selected as an years. The changes in resettlement practices example of good practice for a number of reasons: triggered by this process coupled with an increase in its successful outcomes were confirmed by capacity in municipalities are also likely influence independent monitoring and evaluation; it was other ongoing resettlement practices in the country. widely disseminated on the basis of an urban resettlement guidance document; and it was eventually replicated in other slums in the capital Relocation of Informal Urban and other cities by the Government of Mauritania Settlements—Examples from India with local funding. Good practices documented in and Mauritania the case study include: • Large-scale socioeconomic household surveys World Bank—Mumbai Urban Transport conducted by UDP before and after the Project, India resettlement program to evaluate the extent to which resettlement outcomes in the El Mina The Mumbai Urban Transport Project (MUTP) kebbe were successful and livelihoods were involved a resettlement program for about 100,000 restored after project completion informal occupants occupying slums along a railway • The culturally and socially adapted on-site line in Mumbai. While this major resettlement state-subsidized collective housing credit scheme program, implemented with World Bank assistance, called “Twize” that was developed in response to was successful and innovative, certain resettlement UDP’s objective of poverty reduction through ac- x Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits cess to decent housing. This approach was based regeneration; and a consistent and field-based moni- on collective community participation articulated toring and oversight strategy. The combination of with community or solidarity programs in order to stakeholder engagement and adaptive management finance and build housing “modules” (room or plot led to agreement on contentious issues, innovative enclosure and latrine) for poor families. solutions, and the implementation of an effective resettlement plan. Livelihood Restoration for Informal Urban Occupations—Examples Conclusions and from Morocco and Pakistan Recommendations Millennium Challenge Corporation— Although the challenges of each urban resettlement Artisan and Fez Medina Project, operation are somewhat unique, commonalities can Morocco be seen among successful approaches, some of which have been promoted by resettlement Resettlement for this recently completed project specialists for a long time. These success factors are was carried out according to the World Bank’s summarized below: involuntary resettlement policy. It involved • Transparency and participation. Sometimes relocating an informal-sector artisanal production seen by resettlement implementers as weakening chain from the historic Fez Medina to a small their negotiating positions, transparency and industrial park on the outskirts of the medina. Of participation actually increases the likelihood of a particular interest are: the approach adopted by the successful outcome. The Mumbai case study is U.S. and Moroccan governments in which remarkable for its use of participatory slum resettlement responsibilities were shared according enumeration and resettlement planning with the to their respective levels of expertise; and the assistance of local nongovernmental participatory livelihood restoration approaches organizations. The Lahore case study featured a developed to maintain the integrity of the highly successful model of social mobilization for production chain during the resettlement process. achieving buy-in and engagement from project- affected persons. Elements of the resettlement plan that proved to be • Understanding of informal economic and social highly successful include: i) financial assistance for networks. All four of the project-specific case specially tailored functional literacy programs and studies in the report highlight the need to properly technical training programs provided through an Artis- understand informal economic and social anal Training Center and other registered training cen- networks that are affected by resettlement and to ters for female project-affected person (PAP) employ- define the areas of influence and impacts of ees and underage PAP apprentices (aged 15 to 18), with resettlement operations. This is largely done a 100 percent participation rate; and ii) financial assis- through participatory studies carried out in tance for the return to school of PAP employees aged informal residential and commercial 15 or younger. Vocational training programs and func- communities, including the use of systematic tional literacy programs enabled a number of women analysis of informal urban livelihoods—as employees to opt for new career paths. illustrated in the Fez and Lahore case studies—or through self-administered surveys with local World Bank—Sustainable Development nongovernmental organizations—as illustrated in of Walled City Lahore Project, Pakistan the Mumbai case study. • Adaptive management of resettlement operations. Resettlement for this recently completed project in Backed by contingency budgeting and integrated the ancient Walled City of Lahore was selected as a activity scheduling, adaptive management of reset- case study for the special care that was taken to assist tlement operations can help address unforeseen informal sector shopkeepers and employees, house- challenges related to the high levels of complexity in holds, and residents in sustaining their livelihoods. It urban areas and their related economic and social featured a highly successful model of social mobiliza- networks. Additional supervision resources utilized tion for getting buy-in and engagement from PAPs; during resettlement implementation are of equal benefit-sharing through a livelihoods lens; citizen-led importance. The need for thorough planning is cen- Executive Summary xi tral, but with this level of complexity, resettlement when the state government of Maharashtra en- plans cannot be expected to anticipate all potential couraged private-sector participation in the reset- outcomes. Successful urban resettlement projects tlement program by offering additional develop- are usually supported by flexible and adaptive plan- ment rights or transfer of development rights/ ning and implementation processes and by appro- floor space index to private developers willing to priate financial resources. resettle slum dwellers in modern buildings at • Postresettlement socioeconomic surveys and their own expense. This was also illustrated in the independent monitoring and evaluation. While Nouakchott case study, which was particularly resettlement monitoring activities were conduct- noteworthy for its development of an integrated ed regularly throughout resettlement implemen- urban planning approach that allowed resettle- tation for all four of the project-specific case stud- ment operations conducted for displaced house- ies covered in the report, only one of the case holds in the El Mina slum to dovetail with urban studies—the Mauritania Urban Development renewal operations for the majority of households Project—conducted large-scale socioeconomic remaining in the slum. surveys to evaluate the extent to which resettle- • Strengthening of country systems. While most ment outcomes were successful and livelihoods countries have well enshrined eminent domain restored after the project. The surveys were com- and expropriation laws and procedures, only a very plemented by independent monitoring and eval- limited number have legal frameworks and proce- uation. Such good practices should be encour- dures ensuring that land acquisition and involun- aged and budgeted for in complex urban tary resettlement go beyond compensation for lost resettlement operations. assets, requiring that affected livelihoods be re- • Local capacity building and dissemination of stored or even improved. The strengthening of good urban resettlement practices. The case country systems aim to address such gaps. The studies highlighted the importance of local ca- application of international resettlement standards pacity building in ensuring successful outcomes continues to be of central importance in develop- in urban resettlement. Training, public awareness, ment projects, but initiatives to strengthen country and specialized technical assistance funded systems for urban resettlement and urban plan- through the Artisan and Fez Medina Project en- ning are also needed to allow for a more systemic abled local municipal agencies and concerned national-level approach to build capacity and inte- populations to gain a better understanding of the grate involuntary resettlement and land acquisi- resettlement processes conducted according to tion into the larger context of urban development international standards and to compare the re- and housing policies and programs. sults obtained with previously unsuccessful reset- tlement efforts conducted in compliance with Clearly, there is a need to further establish linkages national standards. In Lahore, Pakistan, institu- between urban planning and housing policies on the tional capacity to implement the resettlement one hand and urban involuntary resettlement prac- action plan was strengthened through training of tices on the other. This could involve, for instance, local authorities and community associations in promoting innovative in situ approaches to urban impact assessment and mitigation, grievance resettlement or combining curative measures—such redress mechanisms, public participation, and as slum upgrading to address substandard housing social mobilization. The development of special- stocks and the lack of tenure security, public infra- ized resettlement sourcebooks for informal urban structure, and services as well as related urban invol- settlements in Mumbai and Nouakchott also con- untary resettlement requirements—with preventa- tributed to the dissemination of best practices in tive measures—such as affordable land and housing other Indian and Mauritanian cities. development through formal channels—to address • Integrating the planning of urban resettlement the flow of new housing demands. This report does into a wider municipal urban planning and not touch on important issues relating to the func- housing policy context. As illustrated by the tioning of urban land markets and housing market Mumbai and Nouakchott case studies, the suc- dynamics in cities and historic centers, and their cess of urban resettlement programs is largely linkages to urban involuntary resettlement. It is rec- related to their successful integration into the ommended that a dedicated urban/social working wider contexts of urban development and renew- group be set up by the World Bank to further explore al. This was illustrated in the Mumbai case study these issues.   xii Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Glossary The definitions of terms provided below are largely Compensation: Payment in cash or in kind for an drawn from the World Bank’s Involuntary asset or a resource that is acquired or affected by a Resettlement Sourcebook (2004a), the IFC’s project at the time the asset needs to be replaced. Handbook for Preparing a Resettlement Action Plan (2002), and from the World Bank’s “Position Paper Resettlement, livelihood restoration, or on Squatters and Encroachers” (Gill et al. 2000). economic rehabilitation strategy: The approaches used to assist people in their efforts to Eminent domain: The right of the state to acquire improve (or at least restore) their incomes, land, using its sovereign power, for public purpose. livelihoods, and standards of living in real terms National law establishes what public agencies have after resettlement. The resettlement strategy the prerogative to exercise eminent domain. typically consists of payment of compensation at replacement cost, transition support arrangements, Land acquisition: The process of acquiring land relocation to new sites (if applicable), and under the legally mandated procedures of eminent assistance to help convert income-generating assets domain. into income streams. OP 4.12: The World Bank’s operational policy on Resettlement action plan/resettlement plan involuntary resettlement that defines borrower (RAP): A resettlement action plan (or resettlement requirements applicable to land acquisition, plan) is a planning document describing what will restrictions on land use, and involuntary be done to address the direct social and economic resettlement. The policy objectives of OP 4.12 are: impacts associated with project-specific • Involuntary resettlement should be avoided involuntary taking of land or restriction of access to where feasible or minimized, exploring all viable land. Other social and economic impacts not project designs. associated with land takings and restrictions are • Where it is not feasible to avoid involuntary dealt with through a project-specific environmental resettlement, resettlement activities should be and social management plan. The required contents conceived and executed as sustainable of a resettlement action plan are described in annex development programs, providing sufficient A of the World Bank’s OP 4.12. investment resources to enable the persons displaced by the project to share in project Resettlement policy framework: A document benefits. Displaced persons should be describing the resettlement principles, meaningfully consulted and have opportunities organizational arrangements, and design criteria to participate in the planning and applied to undefined subprojects prepared during implementation of resettlement programs. project implementation. A resettlement action plan • Displaced persons should be assisted in their (or resettlement plan) must be prepared for each efforts to improve their livelihoods and standards subproject once its footprint has been properly of living, or to at least restore them, in real terms, defined. The corresponding document for other to pre-displacement levels or to levels prevailing social and economic impacts not associated with prior to the beginning of project implementation, land takings and restrictions is an environmental whichever is higher. and social management framework. The required contents of a resettlement policy framework are described in annex A of the World Bank’s OP 4.12. Glossary xiii Project cycle: The process of identifying, planning, or commercial development zones, airport domains, approving, and implementing a World Bank- port facilities, parks, protected areas, hillsides, flood- supported development activity. A World Bank, prone areas, disused estates, or the unused margins project cycle is divided into the following stages: of formal rights-of-way. They are generally identification, preparation, appraisal, negotiations, characterized by rapid and disorderly growth; high approval, loan effectiveness, and implementation. rates of poverty and social exclusion; limited access Where land acquisition, restriction of access to land, to public infrastructure and services, such as or involuntary resettlement are likely to occur, transportation, water, health, and education; and resettlement instruments such as resettlement frequent exposure to violence and crime. action plans or resettlement policy frameworks must be prepared by the borrower before appraisal. Informal urban occupations: Informal or irregular urban occupations are defined as unregistered fixed, Stakeholders: A broad term that covers all parties transient, or mobile commercial or artisanal affected by or interested in a project or a specific activities in urban settings, such as street vendors, issue—in other words, all parties who have a stake weekly market vendors, traditional artisanal in a particular issue or initiative. Primary producers and vendors. They are generally stakeholders are those who are most directly characterized by high rates of poverty, income affected—in resettlement situations, the population insecurity, and limited official recognition of their that loses property or income because of the project rights to practice their occupations in the sites that as well as host communities. Other people who have they occupy. an interest in the project—such as the project authority itself, the beneficiaries of the project, and Squatters or encroachers: Whether classified as interested nongovernmental organizations—are squatters or encroachers, occupants of informal termed secondary stakeholders. urban settlements can be divided into three broad categories, depending on the length of occupancy Affectees, displaced persons, affected persons, or and the legitimacy of their claims to acquired rights: project-affected persons (PAPs): The people or 1. People with longstanding and sometimes even entities directly affected by a project through the ancestral claims to the lands they occupy loss of land and the resulting loss of residences, 2. People who have occupied land more recently, other structures, businesses, or other assets. Such many by reason of requiring residential space in persons can be physically displaced and/or urban areas to which they or their forebears have economically displaced through a loss of income migrated and others because they have moved streams or livelihoods resulting from land into disused estates or into the unused margins of acquisition or obstructed access to resources (land, formal rights-of-way, including so-called water, or forest). “pavement dwellers” and occupants of traffic islands, roadsides, and railway tracks and yards Relocatees, relocated communities, or resettlers: 3. People who move into announced project areas or Groups of people who have to move to new other zones, opportunistically seeking to receive locations as a result of projects. benefits under a resettlement or other government program. Vulnerable groups or persons: OP 4.12 requires that particular attention be paid to the needs of While there is a consensus that people opportunis- vulnerable groups or persons among those tically invading project areas after projects are an- displaced, especially people living below the poverty nounced (category 3) should not be entitled to reset- line, the landless, the elderly, women, children, tlement assistance, discussions with borrowers indigenous peoples, ethnic minorities, and other typically reflect areas of ambiguity in World Bank displaced persons who may not be protected policy regarding category 2, squatters and en- through national land compensation legislation. croachers who typically claim use rights or even ownership of public land following some period of Informal urban settlements: Informal or irregular uncontested or de facto recognized occupation, urban settlements—or slums—are defined as utilization, or investment. unplanned and unauthorized urban developments in vacant urban land, such as designated industrial xiv Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Host community (hosts): The population in areas Socioeconomic survey: A complete and accurate receiving resettlers. Special attention must be paid to survey of the project-affected population. Surveys the needs and concerns of the host community/ focuses on income-earning activities and other hosts in a resettlement program in order to minimize socioeconomic indicators. social risks and avoid potential social conflicts. Initial baseline survey: The population census, Eligibility: The qualification criteria for receiving asset inventory, and socioeconomic survey together benefits under a resettlement program. These constitute the baseline survey of an affected criteria serve as the basis for defining resettlement population. When properly conducted, an initial entitlements accrued to each eligibility category— baseline survey can be used as a baseline reference affected residential or commercial property owners, for monitoring and evaluation activities. renters, vendors, squatters, and so on. Cut-off date: Date of completion for the census and Resettlement entitlements: The sum total of assets inventory of project-affected persons. compensation and other forms of assistance Persons occupying the project area after the cut-off provided to displaced persons in respective date are not eligible for compensation and/or eligibility categories. resettlement assistance. Population census: A complete and accurate count Grievance procedures or grievance redress of the population that is affected by land acquisition mechanisms: The processes established under law, and related impacts. When properly conducted, a local regulations, or administrative decisions to population census provides the basic information enable property owners and other displaced persons necessary for determining compensation eligibility. to redress issues related to acquisition, compensation, and other aspects of resettlement. Asset inventory: A complete count and description of all property and assets that will be acquired. Glossary xv xvi Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 1. Introduction 1.1 Emerging Trends in Urban transportation bottlenecks, complex solid waste Resettlement management problems, critical water and wastewater management issues, and In the last 50 years, there has been an socioeconomically marginalized urban unprecedented growth of cities around the world. It populations.1 These issues are amplified by global is estimated that another “2.7 billion people will trends linked to the degradation of the natural move to cities by 2030, mostly in developing resource base and to climate change.2 countries in Africa and Asia” (Joshi-Ghani 2013, 1). At the current pace and magnitude of urbanization, The complexity of urban resettlement programs is the built-up area will triple in the next 30 years compounded when it involves large numbers of (Glaeser and Abha Joshi-Ghani 2013, 12). With rapid residents of informal or squatter settlements whose urbanization and an increasing number of urban rights to occupy the land are not legally recognized. projects financed by governments, the World Bank It is also increased when it involves the loss of and other international financial institutions across informal livelihoods that are largely dependent on all regions, there is a growing demand to address physical location: complex land acquisition and involuntary “affected people have often developed resettlement issues in urban settings. A variety of sophisticated livelihood strategies, often based on major urban projects in areas such as urban informal activities that are location dependent development, renewal or upgrading, urban just as much as rural livelihoods can be land transport, urban watershed management, water dependent, and as a result, these livelihoods can supply and sanitation, and urban solid waste be disrupted by physical displacement just as management require substantial land acquisition much as farming based households are. This and resettlement efforts that raise significant risks particularly applies to the poorest in the to people and investments. Governments and community, whose livelihoods could for example international financing institutions must identify be dependent on hawking near a particular place these risks early and manage them adequately.1 (a railway station, a bus stop) or recycling refuse from a particular dump. Such income streams There are often complex challenges involved in are in fact very vulnerable to displacement” urban land acquisition and involuntary (World Bank and Government of resettlement. These include rapidly increasing Maharashtra 2009). property values and limited availability of land in downtown areas, extended informal settlements in There is also a growing recognition that urban strategic or vulnerable urban areas, limited resettlement needs to be considered a development recognition of the rights of residential and challenge that can contribute to the emergence of commercial renters or de facto occupants of urban sustainable and socially inclusive cities. In many spaces, urban crime and violence, severe countries, urban involuntary resettlement 1 Examples of projects where such issues stand out include: urban renewal and water management projects in Hanoi, Jakarta, and Manila in the East Asia and Pacific region; relocation of squatter settlements in Mumbai in the South Asia region; mass transportation projects in Brazil in the Latin America and the Caribbean region; and a toll road and solid waste management project in Dakar in the Africa region. 2 According to the latest IPCC reports, rising sea levels and more frequent extreme weather events are likely to affect coastal urban areas around the world. “Nearly two-thirds of cities with more than 5 million people are located in low elevation coastal zones, which contain 13 percent of the world’s population” (Glaeser and Joshi-Ghani 2013, 10, drawn from McGranahan, Balk, and Anderson 2007). Introduction 1 processes are scrutinized under the lens of a legacy urban cores to city fringes and provided with involving poor families being removed from high modern housing. Livelihood restoration in urban value areas and sent to peripheral and underserved settings was not seen as a significant issue. areas far from their sources of income and social networks. New approaches to urban resettlement Rural development and related resettlement are needed in terms of policies, partnerships, and activities have been extensively covered in applicable methods. Examples include: research literature and development policies, but • Innovative housing policies adopted by the urban resettlement issues remain relatively Ministry of Cities in Brazil unexplored. The case studies in this report offer • The use of public-private sector partnerships and examples of innovative and successful practices the construction of high rises in downtown cores and analytical approaches for task teams and for the relocation of large squatter settlements in client countries dealing with large-scale urban India land acquisition and involuntary resettlement • The development of integrated approaches to activities in each of the World Bank’s regions. It slum upgrading and relocation of squatter aims to complement previous related efforts, such settlements in Mauritania as the 2011 publications, Populations at Risks of • Innovative participatory approaches to in situ Disaster—A Resettlement Guide and Preventive urban resettlement in Bhutan Resettlement of Populations at Risk of Disaster— • The use of rental grants to remove people from Experiences from Latin America as well as the camps and help reduce housing deficits in Haiti World Bank’s Involuntary Resettlement Sourcebook • The development of new production and (2004) and the IFC’s Handbook for Preparing a marketing centers for artisans displaced from a Resettlement Action Plan (2002). historical medina in Morocco • The integration of urban planning, land use, housing, and urban participatory processes into 1.3 Scope and Methodology resettlement planning in Vietnam The selection of case studies was based on the following main issues that emerged out of ongoing 1.2 Need for Urban Resettlement discussions within the community of World Bank Guidance Materials Group resettlement practitioners: • Improved country systems for urban land Involuntary resettlement has traditionally been acquisition and involuntary resettlement through considered a rural issue rather than an urban one. policy change The development of resettlement policies and • Challenges related to the relocation of informal methodologies in the 1980s and 1990s derived from urban settlements efforts to manage large-scale resettlement and • Challenges related to livelihood restoration for livelihood impacts related to big hydropower informal urban occupations projects in Asia, Africa, and Latin America. Controversies associated with such projects The identification of potential cases corresponding attracted a lot of attention from academic to these issues was mainly based on suggestions researchers and international nongovernmental provided by World Bank Community of Practice organizations. A widely held perception was that members. Selected case studies had to be relatively while rural resettlement was relatively complex recent and closed. A list of potential case studies because of the dependency of displaced was established and available project materials for populations on local land assets and the absence of each were reviewed. The number of cases selected rural markets for the replacement of lost lands, for the report was limited to five to allow for urban resettlement was relatively simpler because sufficient in-depth analysis of each case. An effort of the wider availability of property markets. For was made to geographically distribute the selection small-scale operations, displaced urban residents of case studies among the various Bank regions to could be compensated in cash for the loss of assets. the greatest possible extent. The five selected case For large-scale operations, urban resettlement was studies cover four of the Bank’s regions: Africa, Latin frequently viewed as a reconstruction issue, where America and the Caribbean, Middle East and North displaced urban residents were removed from Africa, and South Asia. 2 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits The report was prepared using interviews and desk Ministry of Cities on several projects. This case reviews of selected World Bank Group projects and study examines the cooperative process in the relevant projects conducted by other international issuance of Ordinance 317 by the Ministry in financing institutions and donor agencies 2013. The ordinance bridged many of the employing the World Bank’s Operational Policy on previously existing gaps between OP 4.12 and Involuntary Resettlement (OP 4.12) or other similar Brazilian resettlement practices and regulations. policies, such as the Millennium Challenge The World Bank is now preparing a Reimbursable Corporation. Desk reviews were based on project Advisory Services project to help the Ministry of appraisal, supervision, and completion documents Cities build capacity in Brazilian municipalities in as well as on information notes produced by task order to change resettlement practices according teams. For the case studies located in Brazil and to the new law. This will likely prove to be a Fez, Morocco, the reviews were based on the direct successful example of country systems resettlement planning and implementation development. supervision experience of the study members. Challenges Related to the Relocation Desk reviews were complemented as needed by of Informal Urban Settlements interviews with task team leaders and social development specialists as well as with relevant 2. World Bank—Mumbai Urban Transport stakeholders from outside the World Bank Group or Project, India. This major project involved large- at the Millennium Challenge Corporation. The scale resettlement of informal occupants along a proposed selection of case studies was circulated to railway line in Mumbai. The resettlement other resettlement practitioners at the World Bank for program, implemented with World Bank comments. Subsequent drafts of the case study assistance, was quite successful and innovative, reports were also circulated to appropriate task even if certain resettlement issues led to project team leaders and social development specialists for funding being withheld until problems were comments. The case study report was finalized based corrected. Good practices documented in the on inputs provided through this consultation process. case study include the use of self-administered socioeconomic baseline surveys for resettlement Relevant crosscutting themes addressed in the (with the assistance of local nongovernmental review of each of the selected case studies included: organizations) and successful capacity building of • Management of social risks a municipal resettlement authority in Mumbai. • Gender aspects Implementation of corrective measures for • Vulnerable groups resettlement related to this project was • Consultation and participation completed in August 2013. • Land tenure and security • Grievance mechanisms 3. World Bank—Urban Development Project in • Local capacity building Nouakchott, Mauritania. An urban • Addressing of urban poverty resettlement program conducted for the World Bank-funded Urban Development Project in the largest slum of Nouakchott—the El Mina Kebbe— 1.4 Selection of Case Studies was successfully completed in 2004 with the relocation of 2,300 households to a properly The five selected case studies by theme areas, follows: serviced urban area located less than a kilometer away. The integrated urban planning and Improved Country Systems for Urban participatory approach adopted for this Land Acquisition and Involuntary resettlement operation was selected as a good Resettlement Through Policy Change practice example because it was subjected to independent monitoring and evaluation, it was 1. World Bank—Ordinance 317 on Resettlement widely disseminated on the basis of an urban of the Ministry of Cities of Brazil. This resettlement guidance document, and it was ordinance represents a very interesting policy eventually replicated by the Government of approach to urban resettlement issues. The World Mauritania in other slums of the capital and other Bank has worked closely with the Brazilian cities with local funding. Introduction 3 Challenges Related to Livelihood households, and residents in sustaining their Restoration for Informal Urban livelihoods using a highly successful model of Occupations social mobilization, benefit-sharing through a livelihoods lens, citizen-led regeneration, and a 4. Millennium Challenge Corporation—Artisan consistent and field-based monitoring and and Fez Medina Project, Morocco. oversight strategy. Resettlement for this recently completed project was carried out according to OP 4.12 and involved resettling an informal-sector artisanal production 1.5 Contents of Report chain from the medina to a small industrial park outside the medina. Of particular interest are: i) The contents of the case study report are as follows: the approach adopted by the U.S. and Moroccan • Section 2: Innovative Country Systems—Example governments in which resettlement of policy reform from Brazil responsibilities were shared according to their • Section 3: Relocation of Informal Urban respective levels of expertise; and ii) the Settlements—Examples from India and participatory livelihood restoration approaches Mauritania developed to maintain the integrity of the • Section 4: Livelihood Restoration for Informal production chain during the resettlement process. Urban Occupations—Examples from Morocco and Pakistan 5. World Bank—Sustainable Development of • Section 5: Conclusions—Overview of lessons Walled City Lahore Project, Pakistan. learned for each case study theme. Resettlement for this recently completed project was selected as an example of good practice because of the special care taken to assist the informal sector shopkeepers, employees, 4 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 2. Innovative Country Systems Example from Brazil 2.1 Rationale for Case Study involuntary resettlement go beyond compensating Selection for lost assets, requiring that affected livelihoods be restored or even improved. The new involuntary resettlement regulation passed in 2013 by the Ministry of Cities of Brazil Illustrating the tendency towards improvement of has garnered significant interest in the country systems, and in similar fashion to Brazil, development community. The use of country India passed the Right to Fair Compensation and systems, which includes institutional practices and Transparency in Land Acquisition, Rehabilitation applicable laws and regulations, has been and Resettlement Act in 2013. This law replaces the increasing in importance for environmental and Land Acquisition Act of 1894, inherited from the social risk management. Those systems are usually period of British rule. It covers land acquisition by the national, subnational (e.g., state or municipality), or central government or by any of the state sectorial (e.g. electricity). The issuance of Ordinance governments with the exclusion of Jammu and 317 (Portaria 317) is a very interesting illustration Kashmir. It also covers the acquisition of lands by the of some of the ways that the World Bank can state for the use of private companies for declared collaborate with borrower countries in the public purposes. As in the case of the Brazilian improvement of country systems. ordinance, this new law better aligns national regulations with applicable international standards. Successful involuntary resettlement has two com- Nevertheless, as in Brazil, one of the challenges lies in mon elements: detailed planning and an approach its implementation at the national, subnational, and that goes beyond simple compliance using certain local administrative levels. Similar to the Brazilian criteria, including those defined by the World case, between 2006 and 2012, the World Bank Bank’s Policy on Involuntary Resettlement (OP provided nonlending technical assistance, which 4.12). For involuntary resettlement to be successful influenced the content of the bill passed in 2013. there must be a focus on problem solving. Safeguard Although better alignment between World Bank policies and the improvement of country systems resettlement policy and national regulations are two approaches to problem solving in resettle- simplifies the process of agreeing on approaches for ment practices. Multilateral development banks, resettlement in Bank-funded projects, actual policy financial institutions, and development agencies implementation—and especially institutional are moving toward more intensive and extensive capacity for implementation—remains a challenge. use of country systems for risk management, fol- lowing the Monterey Consensus of 2002, the defini- On a broad level, the gap between the World Bank’s tion of the Millennium Development Goals in 2000, resettlement policy and current country systems and the Aid Effectiveness Declarations of 2005, generally remains quite significant. How to bridge 2008, and 2011. that gap is the subject of extensive international debates among environmental and social While countries have well-enshrined eminent safeguard practitioners. domain and expropriation laws and procedures, only a few have legal frameworks and procedures This case study focuses on the development of an aimed at ensuring that land acquisition and innovative policy-level approach to resettlement Innovative Country Systems—Example from Brazil 5 issues. It illustrates with an existing case the Advisory Services (RAS) to help the ministry build development of country systems in relation to the capacity in about 5,000 Brazilian municipalities for current safeguard policy approach used by the the improvement of current resettlement practices World Bank in avoiding, mitigating, and in accordance with the new ordinance. compensating resettlement impacts of development interventions. Successful outcomes highlighted in the case study were facilitated by the 2.2 Background close relationship developed between the World Bank and the Brazilian Ministry of Cities as well as The Ministry of Cities Ordinance 317 became with several municipalities through planning and official in July 2013 after a two-year process of implementing many complex urban projects over a public consultation and debates among critical number of years. stakeholders, such as local governments, private sector companies, and the Council of Cities—an The case study looks specifically at the 2013 urban policy body with representatives from civil issuance of Ordinance 317 by the Ministry of Cities, society and the public and the private sectors. which bridged many of the gaps previously existing During the course of discussions to design the regulation, a working group composed of key ministries—such as Human Rights, “The country was ready. The result was made possible by the sum of Environment, Energy, Cities, and several small things: the Presidency’s Cabinet—was – We already had a solid relation with the Secretariat of Housing formed to investigate how families of the Ministry; were affected by public works in – It was the right moment, with the mega events and the social the main metropolitan areas of context of the country; Brazil, reinforcing the need for a – We had the right entry point strong regulatory instrument at the – It was a government sensitive to social issues; national level and pushing for – We had the professional and personal relationships in place.” better planning, participation, and sustainable housing developments. Sameh Naguib Wahba – Practice Manager, Urban and DRM, Global Unit, GSURR, 2014. The strong relationship developed between the World Bank’s Social and Urban Sector for Brazil and the Ministry of Cities—especially it’s Secretary of Housing—allowed for the development of a series of between OP 4.12 and Brazilian involuntary initiatives. One of the initial milestones in the resettlement practices and regulations in urban process that eventually led to the passage of contexts. The case study presents some of the key Ordinance 317 was the publication of the 2011 characteristics of this new legislation as well as World Bank report, “Involuntary Resettlement in some fundamental elements of the context which Brazil: A Review of Policies and Practices” by the made its passing possible. Social Development Unit of the World Bank’s Latin America and the Caribbean Region. The report It is anticipated that this will likely prove to be a included suggestions for improving involuntary successful case of country systems development resettlement practices in the country, laying the that both increases compliance with safeguard foundation for a dialogue geared toward preparing a policies and standards and aligns them with new regulation for involuntary resettlement in the international good practices. As part of the process context of the preparations for two major events of cooperation between the World Bank and the taking place in Brazil: the 2014 World Cup and the Ministry of Cities, the Latin America and the 2016 Olympic Games. Caribbean Region of the World Bank is now preparing a project in the form of Reimbursable 6 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits In 2011, the same year the report was published, presence of civil society organizations active in the nonlending technical assistance funded by the housing sector coupled with a view of housing as a Cities Alliance initiative through the Brazil Country basic human right. Management Unit was put into place. One of the landmarks in the development of the ordinance was During the first half of 2013, broad popular the International Workshop on Involuntary demonstrations took place in Brazil, initially Displacement in Brasília, March 27–28, 2012, which opposing raises in public transportation costs but was organized by the World Bank and the Brazilian later against what were perceived as several social Ministry of Cities with funds from the nonlending needs not being adequately met by the technical assistance. government. The demand for increased dialogue between the Government of Brazil and social The stated objective of the Brasília workshop was to movements led to a set of measures, including the find solutions for the infrastructure challenges leveraging of investments in urban mobility, among faced by the country, which were expected to many others. It was in this context that the intensify due to the preparations for the World Cup ordinance on involuntary resettlement for urban and for the Olympic Games. To that end, the public works funded by the Ministry of Cities, workshop combined specialists and case already in an advanced stage of preparation, was presentations in support of content development approved and published. for an involuntary resettlement ordinance. The workshop was an important step in strengthening The developments in resettlement regulations in the collaboration between the World Bank and the Brazil cannot be credited to a single action or factor. Brazilian government on issues related to The issuance of the new ordinance came about due resettlement, which already had a strong base to a combination of context, inter-institutional through the Bank’s operational work in the country. cooperation, and political moment and will. The workshop was followed by the World Bank’s In many respects, the ordinance resembles the provision of technical support to the Ministry of World Bank’s Involuntary Resettlement Policy. Cities in the drafting of a regulation for involuntary Nevertheless, the Bank did not impose its policy resettlement in projects funded through the requirements on the Ministry of Cities. Rather, the ministry’s budget. By hiring consultants that World Bank engaged the ministry in a dialogue on already had a history of working for the ministry its own terms with the objective of allowing the and engaging them along with World Bank ministry to resolve its own issues. The fact that the specialists, existing relationships—both resulting ordinance resembles OP 4.12 could professional and personal—were leveraged. The indicate a convergence toward best practices. The nonlending technical assistance was also used to Bank engaged the ministry through dialogue on a fund the participation of a ministry official in a specific topic—resettlement—approaching a Management of Land Acquisition, Resettlement, challenge to be solved rather than taking a and Rehabilitation (MLARR) training course technocratic perspective. The participation of civil supported by the World Bank’s Latin America and society in this dialogue was also made possible by the Caribbean Region and conducted by an the fact that the Bank did not try to push its own alliance of Latin American universities in agenda of adapting country systems to its Colombia. Participation in the course helped safeguards policies. generate interest and access to technical information that proved to be a key factor in the Given the nature of this engagement process, it took development process of the ordinance. time to get buy-in from a number of stakeholders. The World Bank had to accept this and stay the The wider political context in Brazil and the course with regard to the development of the historical scenario also proved significant. dialogue, accepting that local political processes are Resettlement processes in Brazilian cities are closely what ultimately determine whether or not change connected to urban development that is largely will be viable. perceived as part of the country’s social legacy. Public pressure has been largely connected to an ongoing gentrification process in large cities and to the Innovative Country Systems—Example from Brazil 7 2.3 Thematic Analysis legal and regulatory framework were often limited to compensation for the loss of assets. Urban Resettlement in Brazil Before the Ordinance Ordinance 317 Before the publication of the ordinance, Brazil did not have specific national legislation on involuntary Since the ordinance’s publication in July 2013, some resettlement. Landowners affected by development issues common to resettlement have been projects were compensated through the application regulated, at least in the portfolio of the Ministry of of expropriation legislation. In some cases, due to Cities. The ordinance itself begins with a reference certain interpretations of the existing law, good- to international treaties and national laws—among faith squatters were compensated for them the Federal Constitution of Brazil—that improvements to the land. The calculation of the recognize housing as a human right. In the context compensation, however, took into account the of resettlement, the ordinance makes explicit depreciation of such improvements over time. reference to and recognizes rights that go beyond replacement of lost assets in the context of Beyond expropriation, any other socioeconomic involuntary displacement by infrastructure works. impacts of development projects, including those It affirms that the right to housing, beyond mere related to land acquisition, were addressed on a physical dwelling, requires measures to restore the case-by-case basis through the environmental social and livelihood conditions of affected families licensing process. Urban projects are commonly and individuals. The focus on livelihoods along with licensed at the municipality or state level. Specific the connection to the Brazilian federal housing requirements relating to resettlement were left at program constitutes one of the key characteristics the discretion and judgment of technical staff. of the ordinance, as outlined below. The environmental licensing agencies require that Ordinance 317 requires an analysis of alternatives for the environmental impact assessment (Estudo de the main infrastructure development that accounts Impacto Ambiental or EIA) include measures to for potential displacement impacts. This analysis of address negative social impacts, including those alternatives must be included in the resettlement caused by land acquisition. Normally, expropriation plan that is submitted for approval. The ordinance issues reflected in the environmental license are also stresses public participation that includes the restricted to ensuring governmental consent and participation of affected people in the elaboration of the issuance of the relevant expropriation decree. the resettlement plan itself. It requires that the resettlement budget be included in the main project Without an overarching regulatory framework, there budget. The Ministry of Cities is responsible for were large variations among projects. Landowners approving resettlement plans and, in cases of were frequently compensated for a loss of assets but noncompliance, can withhold disbursements and not for other costs relating to physical or economic future investments. As a condition for the works to displacement. Furthermore, because the concept of be considered complete and delivered, the ordinance “affected populations” was not determined by requires full implementation of the actions in the regulations, it could vary from project to project and resettlement plan. could, therefore, influence the application of entitlements. At times, only property owners were The main objective of the ordinance with regard to included as affected persons, excluding many other eligibility is the guaranteed right to housing, even in affected persons from being entitled to cases of vulnerable tenants. Because it is so closely compensation. In other cases, eligibility categories connected to and influenced by the federal housing were applied too broadly, creating a financial burden program, the ordinance is already geared toward on project implementation and feasibility. Likewise, providing housing and public services to people informal dwellers could either be assisted or without land or house tenure. One of its limitations, excluded in any given resettlement project. Even however, is that people can only be beneficiaries of when nonlandowners were included as beneficiaries the federal housing program once. A person of a resettlement plan, procedures defined in the affected by an infrastructure project that has 8 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits received a house in the past is not eligible for a infrastructure and services implemented through compensation package. the resettlement program. This is part of Brazil’s social and urban inclusion policies, which aim to In the case of nonvulnerable affected people with constitute an integrated approach for addressing tenure, asset replacement may not meet the urban poverty. It might, on the other hand, be international standards used by institutions such as difficult to increase the participation of civil society the World Bank. Monetary compensation, one organizations as implementation partners in the avenue of asset replacement, is calculated according resettlement process insofar as, in Brazil, these to methods and references established by the states, organizations tend to have mostly an advocacy and the federal district, or the municipalities, leaving awareness raising capacity rather than tested open the possibility of compensation below implementation skills. replacement costs. In other cases insecure land titles, such as in slum areas in metropolitan regions, still pose a significant implementation How do you think this experience could be reproduced in other challenge. The ordinance also still countries? reserves the right of the state to “One could analyze the Bank’s portfolio in a country and ask: where expropriate property, even if the text emphatically stresses the are we a stakeholder? importance of searching for other After you identify an entry point, you identify your champion. And you solutions. One group that could fall enable local institutions to develop on their terms. You engage by: under this category is medium- – Being an uninterested party (without an agenda); sized business owners, especially – Looking for a way to solve their problems, not ours; ones that occupy public lands. – Being innovative; Although it is easy to understand – Listening, listening and listening before you say anything; the reticence of the municipalities to compensate what they perceive – Developing personal and institutional relations with your as affluent encroachers on public stakeholders. lands, the actions allowed by the This kind of activity represents a small investment for the potential ordinance could result in a return, if compared to projects. There is a risk it won’t work, but if it reduction of economic activity and works, it yields a much greater return.” employment in an affected area. One challenge faced when Fabio Pittaluga — Senior Social Development Specialist, Latin America implementing solutions-oriented and Caribbean Region, GSURR, 2014. and policy-compliant resettlement is how to adequately incorporate mitigation and compensation measures beyond the replacement of assets. Support for existing social networks, Coverage livelihood restoration, capacity building, and support for the adaptation to new living conditions An important question in assessing Ordinance 317 are challenges that are often inadequately met against the reality of involuntary displacement in worldwide by agencies implementing resettlement Brazil has to do with the coverage of the regulation. programs. The development of the Social Work Does it apply to every project involving Project in parallel to a resettlement plan, as resettlement in Brazil? The answer is no, but the required by the Ministry of Cities, aims to address news is good, nonetheless. this need, promoting better integration between the specific intervention and measures for its In 2007, the Brazilian Federal Government created sustainability over time in social and economic the Growth Acceleration Program (Programa de terms, both at family and community levels. The Aceleração do Crescimento in Portuguese or PAC), Social Work Project aims to ensure synergy with encompassing a set of economic policies. In 2010, public policies and the sustainability of the the Second Brazilian Acceleration Growth Program Innovative Country Systems—Example from Brazil 9 (PAC2) was created, with an R$1.59 trillion budget, Another factor is that infrastructure works in Brazil approximately US$664.96 billion (September 2014 involve significant private sector participation, gen- rates). Although the largest single investments in erally with engineering, procurement, and construc- PAC2 are related to energy production in nonurban tion contractors, but also involving different kinds areas, and notwithstanding the state and inter-state of public-private partnerships. Often, some of the transportation projects, which do not come under activities in the context of resettlement implemen- Ordinance 317’s regulatory scope, the majority of tation are the responsibility of the private contrac- PAC2 projects and programs consist of urban tor. The new ordinance issued by the Ministry of service and infrastructure development. Cities requires a significant level of capacity devel- opment in the public sector, which will lead to a Brazil is a very urbanized country, with 84.4 percent demand for improved engineering, procurement, of its population in urban areas, according to the and construction capacity to deliver services that 2010 official census. Urban transport systems, are in compliance with it. Indirectly, this change in housing programs, and service infrastructure figure practices could influence resettlement planning prominently in PAC2. A very significant proportion and implementation in contexts that do not fall of these projects have their funding channeled under the regulatory scope of the Ministry of Cities. through the Ministry of Cities, which is also a natural hub for municipal capacity development. An ordinance issued by the Ministry of Cities, even Building Municipal Capacity if applicable only to projects funded through its budget, has a significant reach and trickledown Notwithstanding the positive potential for effect, effectively influencing capacity and development practices, to a great extent, municipal resettlement practices. actualizing this change depends to a great extent on building capacity in thousands of municipal Another important factor in assessing the potential government institutions across Brazil. The World reach of Ordinance 317 has to do with the Brazilian Bank can play a key role in supporting the Federal housing program (MCMV, My House, My development of country systems by helping the Life, in Portuguese), which is part of the portfolio of Ministry of Cities address this challenge. the Ministry. Besides being the main government initiative to address the housing gap in Brazil, in The Brazilian Ministry of Cities, as well as certain practice—if not by force of law—it has become the Brazilian municipalities, has already acquired preferred resettlement compensation strategy in technical and political capacity in involuntary municipality-run projects. Urban upgrading, resettlement as a direct result of experience disaster risk management, transport system acquired through the management of complex development, and other interventions in urban large-scale resettlement in urban areas using in- space often lead to development of a MCMV country resources or funds from the World Bank, project so that affected dwellings can be replaced. the Inter-American Development Bank, and other international donor agencies. Because the quality of Moreover, the use of MCMV projects as the resettlement practices has already been increasing preferred resettlement solution in World Bank and at several levels, many public officials appreciate Inter-American Development Bank-funded urban the value of improved regulations through the projects means that the reach of Ordinance 317 is publication of Ordinance 317. wider than initially expected. Indeed, it also means that the Ordinance has direct positive implications The municipalities are relatively independent in the for internationally funded development initiatives way their administrative structures are organized. in Brazilian cities. The coupling of the ordinance Some of the largest municipalities concentrate re- with capacity building at the municipal level across settlement planning and management under one of the country might represent a very effective means their institutions; others share responsibilities be- of strengthening country systems in a way that is tween many secretariats, such as Housing, Water compatible with the World Bank’s OP 4.12 and and Sanitation, and Education, among others. The other similar international policies or standards. challenges faced by municipalities are also hetero- geneous, greatly influenced by unique historical urban development processes. Some challenges are 10 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Slums in the city of Recife, Brazil. The slums Pavão, Pavãozinho and Cantagalo in Rio de Janeiro, Brazil. Innovative Country Systems—Example from Brazil 11 common, such as the overall lack of available land 2.4 Results and Outcomes located near sites to be resettled. Many Brazilian metropolitan areas face an association between The main case study result has been the publication slums, informality and criminality, compounding of Ordinance 317. While is too early to evaluate the the problem. Civil society has become more orga- outcomes of implementation of the ordinance, nized, with nongovernmental organizations and there have been other intermediary results worthy social movements becoming increasingly signifi- of mention and that led up to its publication: cant interlocutors of the municipal state. • Dissemination of the World Bank report “Involuntary Resettlement in Brazil: a Review of Even if funding by the Ministry of Cities allows for Policies and Practices” in 2011 some federal oversight and regulation, it is the cities • Organization of the International Workshop on that face implementation challenges. Different Involuntary Resettlement in Brazil 2012, which administrative structures and varying levels of promoted the dialogue between the Ministry of capacity and experience compound the challenge of Cities, international experts and civil society implementing resettlement according to best • Strengthening the Bank’s relationship with the practices. Building capacity at the municipal level is Ministry of Cities. the only way to ensure that the new ordinance actually changes the way resettlements are carried out in Brazil, thereby ensuring more equitable 2.5 Conclusions treatment for resettled populations. A strong case can be made for changes in how With the signing of the ordinance by the Brazilian resettlement is implemented in Brazil at the president in July 2013, the World Bank seized an municipal level. Expropriation often pushes the opportunity to leverage efforts and build a more challenges of inadequate housing and informality to cooperative relationship with the Ministry of Cities. new areas, fueling the expansion of existing slums The World Bank’s Latin America and the Caribbean and the occupation of risk areas. Offering adequate Region started working on the development of solutions avoids future risk and reduces long-term technical support activities in the form of costs associated with urban spatial management. Reimbursable Advisory Services (RAS), through With the strong role currently played by organized which the Bank can sell its expertise to the society through movements and nongovernmental interested country. organizations, more equitable treatment of resettled populations can also help minimize project delays The RAS currently in development includes and cost overruns. It might even decrease the technical support in the development of likelihood of opposition to future projects. resettlement training for both ministry-level officers and municipal civil servants who will be responsible As a result of the change in regulations that were for implementing new urban resettlements in line made official by Ordinance 317, combined with the with the requirements of Ordinance 317. At the large-scale effort in capacity building supported by ministry level, capacity building will probably be the World Bank, a cascade effect in resettlement carried out face-to-face, focusing on issues such as practices in Brazilian urban areas can be expected. training of personnel, budgeting, activity schedules, As discussed above, the ordinance directly applies approval of resettlement plans and responsibilities, to projects and programs funded by the Ministry of and inter-sectorial coordination. At the municipal Cities, which is in charge of most PAC2 program level, a partnership between the Ministry of Cities urban investments. The changes in resettlement and the World Bank that includes a Brazilian practices triggered by the new involuntary University with experience in long distance online resettlement rules coupled with an increase in education is expected. The World Bank’s RAS capacity of municipalities will influence other project under development aims to support the ongoing resettlement practices. development of course content and to provide technical expertise and support. The beneficiaries The combination of the development of the will be comprised of Brazilian municipalities, with ordinance with the planned large-scale capacity the goal of building capacity in resettlement building, both supported by the World Bank, will planning and implementation. likely prove to be a successful case of country 12 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits systems development even if it does not yet allow Although they do not fully comply with Bank for the exclusive use of country systems in lieu of policy, the changes to resettlement regulations and safeguard policies in Bank-funded projects. The practices in Brazil represent a very effective debate around the use of country systems focuses example of how country systems can be on shared responsibilities and the internalization of strengthened with the support of international social and environmental standards by countries financing institutions and donor agencies. A regarding their environmental and social number of international agreements support the management systems. While it receives significant increased use of country systems. Their use must support from the World Bank, it is very appropriate be operationalized in a way that protects people that the development of the ordinance and and the environment affected by development preparations for its implementation be a Brazilian projects. The Brazilian case, as embodied in the initiative. The country systems model and agenda issuance of Ordinance 317, as well as all actions asks for more country ownership in environmental that preceded and may follow it, could prove to be and social management. It is very appropriate— a milestone in this regard. perhaps even necessary—that these same country systems be developed with strong ownership by the countries even if World Bank support and political/ financial presence is of central importance in pushing for international best practices in Summary of Innovative Practices resettlement. It is a matter of agency and ownership. The main innovative practice highlighted in this case study involves the combination of a few In the context of Brazilian state-run resettlement, factors in a way that promoted policy development in addition to a resettlement plan, regulations with minimal cost to the Bank: require a companion Social Work Plan that articulates resettlement planning with the offer of  se of existing Bank portfolio in a given – U social services and infrastructure. This Social Work sector as leverage in order to support the Plan makes use of state resources in addressing development of sectorial policy that is in line themes beyond asset replacement, opening the with the Bank’s goals field for an approach that also takes into account  se of Bank’s convening power to help – U citizenship and human rights. This represents a bring together government and civil society more holistic approach to societal development stakeholders to discuss development of a new that goes beyond the limits of any particular sectorial policy project or projects.  upporting the client in resolving its problems – S according to its own agenda, instead of With regard to specific operations funded by the pursuing the Bank’s agenda World Bank, the new ordinance simplifies dialogues, as OP 4.12 and Ordinance 317 can now  se of Bank instruments, such as Non-Technical – U be compared and used side by side in the social Assistance and RAS, in order to support the management of projects. In many ways, the client’s objectives before and after publication ordinance is an instrument resembling OP 4.12. It of a new sectorial policy. introduces a synergy that works toward better practices in joint initiatives. Innovative Country Systems—Example from Brazil 13 Key Lessons Learned Identify the entry point Engage stakeholders Country systems need •  Examine the World Bank’s This is a lengthy process, but one country ownership portfolio in the country. Where which makes the initiative Country systems must be do we have projects and politically feasibility. The Ministry developed with strong ownership established relationships? of Cities’ Ordinance 317 became by the countries—even if World Where is there already enough •  official in July 2013, after a two- Bank support and political/ capacity to support an advanced year process of public financial presence are centrally dialogue? consultation and debates among important in pushing for Where is there a problem for •  critical stakeholders, including international best practices in which the client is searching for local governments, private sector resettlement or other social and a solution? companies, and the Council of environmental practices. Where is the World Bank a •  Cities—an urban policy body with stakeholder? representatives from civil society and the public and private sector. Build on existing The World Bank had to accept this relationships—both and stay the course with regard to institutional and personal the development of the dialogue, accepting that local political Give close attention to the choice processes are what ultimately of people involved. A champion determine whether or not change was identified in the Ministry of will be viable. Cities, and the consultants selected to support the development of the ordinance had Follow through and follow up already worked for the ministry, Aim at milestones that advance bringing their own relationships to the process. Use different Bank the process. tools to follow through. In this case, the World Bank financed a Leverage existing capacity study of involuntary resettlement practices and policies in Brazil. Using in-country resources or The study was followed by an funds from the World Bank, the international workshop, which may Inter-American Development Bank lead to a project in the form of and other international sources, Reimbursable Advisory Services the Brazilian Ministry of Cities and to help Brazil build capacity in its particularly many Brazilian municipalities. The first two municipalities had existing activities were financed through capacity directly resulting from Bank-funded nonlending technical experience with managing assistance; the RAS would be complex large-scale resettlement nationally financed. in urban areas. One considerable challenge is addressing capacity needs in a large number of municipalities with different administrative structures and levels of experience. 14 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 3. Relocation of Informal Urban Settlements Examples from India and Mauritania 3.1 Mumbai Urban Transport In addition to materials available in the project Project in India files and on the Internet, including resettlement reports, implementation completion reports, 3.1.1 Rationale for Case Study Selection inspection panel reports, and articles, this case study draws heavily from the “Innovation Note on Land acquisition and resettlement have been Urban Resettlement for the Mumbai Urban dominant issues in Indian cities—a large share of Transport Project,” produced as collaboration the urban population lives in slums or as between the task team and the resettlement encroachers. In the past, this has been a major implementation agency (World Bank and Ministry barrier to urban and infrastructure development. of Finance of India 2012). It also builds on the In this context, the Mumbai Urban Transport “Guidance Note on Urban Resettlement,” prepared Project (MUTP) was a landmark effort because it under the MUTP by the World Bank and the was the first attempt to resettle such a large Government of Maharashtra (2009). number of slum dwellers in an urban area. It involved the displacement of 17,572 households— about 100,000 people—as well as the removal of 3.1.2 Project Background 1,822 commercial establishments of varying sizes, including 566 shops with floor areas exceeding 225 The contents of this section are largely based on square feet or 20.8 square meters, and about 100 excerpts from the “Innovation Note on Urban religious/community properties. It remains the Resettlement for the Mumbai Urban Transport largest urban resettlement and rehabilitation Project” (World Bank and Ministry of Finance of (R&R) project funded by the World Bank as well as India 2012). the largest one in India to date. Project Development Context This case study highlights two innovative dimensions of this ground-breaking resettlement Known for its economic dynamism, traffic jams, program that had not yet been discussed in depth: and vast slums, Mumbai is the financial capital of • Participatory approaches to large-scale slum India and home to some 12 million people. Seven enumeration and resettlement planning with the million people live in 3,000 slums across the city, assistance of local nongovernmental encroaching on vital public lands and obstructing organizations (NGOs) infrastructure, including roads, airports, drains, • Capacity building of the resettlement stations, and markets. Slums have also spread to implementation agency private lands because of the Urban Land Ceilings Act of 1976, which restricted the use of private land The case study also summarizes three other holdings above 500 square meters. Affordable elements in the resettlement program that are of housing is a challenge, and much needed amenities particular interest: gender inclusion approaches, are often out of reach to many, pushing poor grievance redress mechanisms, and transparency migrants to settle in slums. Public transport plays a initiatives. dominant role in the Mumbai Metropolitan Region, with rail and bus services combined carrying 88 Relocation of Informal Urban Settlements—Examples from India and Mauritania 15 percent of the region’s motorized personal trips. Box 1: Mumbai Urban Transport Suburban rail services carry over six million passengers per day, and buses carry over 4.5 Project At a Glance million passengers per day—60 percent of whom transfer to rail. Despite its crucial role, the public transport system in Mumbai is faced with The Project Development Objective was to facilitate formidable problems, including congestion, urban economic growth and improve quality of life limited infrastructure, pollution, traffic by fostering the development of an efficient and management, and safety issues, posing a major sustainable urban transport system, including the challenge to Mumbai’s prospects for remaining promotion of effective institutions in the Mumbai India’s top investment destination. Metropolitan Region. Component 1: Rail Transport—Improvement in Economic reforms initiated in 1990s created new capacity and performance of the suburban rail opportunities and triggered competition among Indian cities to attract private investments. Cities network through the provision of rail track offering better infrastructure, services, additions, signaling systems, increased power, and management settings, and labor forces were more new rail cars, among other enhancements; and likely to succeed as new economic magnets. The technical assistance. urban transport sector was unprepared to deal Component 2: Road-Based Transport—Selected with issues that accompany fast urbanization, area traffic control and traffic management namely, insufficient and inefficient public infrastructure schemes (Municipal Corporation of transport, rapid growth in motorization, heavy Greater Mumbai); procurement of 644 buses by the traffic congestion, poor road networks and traffic Bombay Electricity and Suburban Transport safety, high transport-related pollution, and weak Corporation; and road widening to facilitate two institutional arrangements in metropolitan east-west linkages—Jogeshwari Vikhroli Link Road regions. The economic boom of the following and Santa Cruz–Chembur Link Road (Maharashtra decade brought unprecedented pressure on urban State Roads Development Corporation). civic infrastructure on a scale that could undermine growth and transformation. Against Component 3: Resettlement and Rehabilitation— this backdrop, the Maharashtra government Provision of alternative housing and services for embarked on the Transform Mumbai initiative, resettlement and rehabilitation of project-affected which comprised several projects. persons by the Mumbai Metropolitan Region Development Authority. The cost of this component The Mumbai Urban Transport Project (MUTP) was was US$92 million. launched in 2002 with the aim of improving urban Project Implementation: 2002–2011 transport services in Mumbai by reducing Project Cost and Financing: US$1.1 billion overcrowding in trains and travel times for over six million daily commuters, enhancing road transport (total)—US$463.0 million International Bank for connectivity, modernizing traffic management and Reconstruction and Development loan, US$92.0 control systems, improving transport planning, million International Development Association and resettling 100,000 slum dwellers living in the credit, and counterpart financing of US$568 million vicinity of railway tracks and roadways. by the Government of India. Multiple agencies implemented the project, with the Mumbai Metropolitan Region Development Authority (MMRDA) playing a coordinating role. In addition to the Government of India and the State Government of Maharashtra, participating agencies included the Mumbai Rail Vikas Corporation, the Municipal Corporation of Greater Mumbai, the Bombay Electricity and Suburban Transport Corporation, the Maharashtra State 16 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Mumbai Urban Transport Project (MUTP)— Before and After Resettlement Relocation of Informal Urban Settlements—Examples from India and Mauritania 17 MUTP: A Transformative Project Roads Development Corporation (MSRDC), and offered the opportunity to buy additional floor the Traffic Police of Mumbai. space in proportion to their loss up to an additional 525 square feet on payment of an approved cost. Resettlement Policy Context Landowners in the affected areas were also offered transfer of development rights (TDR) or Before MUTP, the Government of Maharashtra did adjustments to the allowable floor space index (FSI) not have a resettlement policy in its regulatory in lieu of cash compensation for loss of land. They framework. There was limited institutional capacity could apply TDS or FSI to properties elsewhere on at the state or city level for handling large-scale the local market. involuntary resettlement operations. In 2000, as part of project preparation, the state government In addition to compensation for loss of land and developed an R&R policy that provided guidelines assets, the policy required that PAPs be provided for compensation and assistance to project- with relocation assistance and postresettlement affected persons (PAPs) when resettlement could support. In the case of the MUTP, this included the not be avoided. registration and training of housing societies for the management of buildings in resettlement The policy was formulated in line with the World townships in the central districts of Mumbai, one- Bank’s policy on involuntary resettlement. It time financial assistance for maintaining buildings recommended that each project-affected household and managing community affairs; environmental be fully compensated for loss of land and assets and management; common facilities for women and that all affected households, including landowners, children; and basic services, such as schools, tenants, and squatters, be provided with free transportation, water; internal roads; and street replacement housing or commercial premises of lighting. It also included a number of measures to 225 square feet (20.8 square meters). Affected strengthen income restoration activities in the shopkeepers and residential landowners were 18 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits resettlement colonies with a particular focus on youth and women. Box 2: Transfer of Development Rights Providing free housing to over 100,000 people within the city of Mumbai required Transfer of development rights (TDR) is a certificate from the construction of several fully serviced the Municipal Corporation of the Greater Mumbai (MCGM) resettlement townships, which demanded that a property owner receives in exchange for land enormous financial resources. surrendered for public purposes. Providing a definition of Recognizing the challenge, the TDR, Rule 34 of the Development Control Regulation (DCR) Maharashtra state government of Greater Bombay, 1991 says that: “In certain encouraged private sector participation in circumstances, the development potential of a plot of land the resettlement program by offering may be separated from the land itself and may be made additional development rights or floor available to the owner of the land in the form of space index to private developers willing Transferable Development Rights. These rights may be to pay for the resettlement of slum made available and be subject to the Regulations in dwellers. The economics of slum Appendix VII of DCR.” TDR is the development potential of resettlement and related urban renewal the land, suspended due to the reservation/acquisition of slowly gained currency as developers land by the Government of Maharashtra for public learned to convert TDR/floor space index purposes. into profitable investments in the Mumbai real estate market. Under the TDR policy, landowners receive compensation in the form of a Development Right Certificate (detached Land Tenure, Resettlement development rights equal to the development potential of a Planning, and Implementation land plot) for surrendering land to the government for Context purposes such as widening a road, creating a park, or While most project-affected households rehabilitating slum dwellers. TDR allows the government to had no formal ownership of their avoid cumbersome procedures to acquire land at heavy properties, a number of them benefited compensation, and to compensate the landowner with a from a semi-legal status as lease-holders, TDR certificate under which the development potential of tenants, or notified slum dwellers. A large the land is detached from the land taken/reserved. The land proportion—about 10,000 of the 17,572 owner is compensated by additional FSI which can be used residential project-affected households on some other land over and above the normal FSI lived in unsafe conditions in informal permitted in relation to that piece of land. settlements along the railway tracks, and generally welcomed the relocation from TDR is a negotiable instrument which can be bought and the harsh living conditions. Unlike the sold, or used by the landowner for development of another railway PAPs, the road-affected PAPs were land plot to the north of the surrendered plot with more socioeconomically diverse and additional FSI over and above that approved under DCR. geographically dispersed. They included Most TDRs are generated from the redevelopment of slums, landowners, lease-holders, and operators initiated by the Municipal Corporation of Greater Mumbai of large commercial establishments that and the MMRDA. In the case of slum resettlement, were tied to their locations, with developers are offered additional TDR/floor space index of established incomes and social networks. between 1.5–2.5 times the area created, which can be used They objected to being categorized as slum dwellers and were opposed to to develop other properties at a profit. One square foot of relocation. TDR can cost about Rs. 4000 (US$60-70) in Mumbai, depending on its location. Some trace the origin of idea of The MUTP resettlement policy provided TDR to the American zoning ordinance first introduced in two main resettlement options for slum New York City in 1916. dwellers: • The “Township/Sites and Services” option was a project developed by the Relocation of Informal Urban Settlements—Examples from India and Mauritania 19 resettlement agency on a green-field site owned by insufficient engagement with certain groups of the agency, with a fully developed 25-square-meter PAPs resulted in substantial construction delays. plot allocated one year ahead of the anticipated relocation date. The agency developed some of the “During the MUTP implementation, for example, land in the township for higher income housing of problems arose with affected shopkeepers non-PAPs and for commercial activities and/or because they were dissatisfied with the R&R sold plots at market price for development by package, which was mainly intended for affected private developers of commercial estates and high- residents and was based on a replacement income housing, which helped recover project apartment in a resettlement colony. These costs. A PAP who chose this option was entitled to problems arose because shopkeepers had not monetary compensation equaling the replacement been adequately identified or consulted with at cost of the shelter at the time of the baseline the baseline stage, and no specific package had survey so a new structure could be rebuilt on the been designed for them. The negotiation with serviced plot. shopkeepers took time, amongst others because • The much more common “Resettlement Colony” the Government of Maharashtra was initially option, also known as the “Slum Redevelopment unwilling to make the R&R package more flexible Scheme” involved multistoried buildings built and accommodate the shopkeeper’s needs. These under the supervision of the resettlement agency delays had huge implications on the cost of for the sole purpose of allocation to slum infrastructure, with contractors unable to work, dwellers.  The typical resettlement benefit as well as more economic implications, with for allocated to slum dwellers was a tenement of 225 example longer periods of works impacting traffic square feet (or 20.8 square meters) in a multistoried and safety” (World Bank and Government of building within the resettlement colony. Maharashtra 2009, 6). The resettlement of slum dwellers from horizontally In 2004, in response to four requests for an spread-out slums with limited informal community investigation on behalf of several hundred PAPs services to modern multistory buildings in fully from Jogeshwari Vikhroli Link Road and Santa serviced resettlement colonies raised a number of Cruz–Chembur Link roads, a World Bank challenges due to the inexperience of PAPs in Inspection Panel case was opened. In 2005, an managing formal housing and its surroundings. investigation was conducted on the resettlement While relocated households could retain access to process carried out for the project. The Requesters sources of urban incomes and employment, they mainly questioned the adequacy of resettlement had to get accustomed to very different living options for shopkeepers, the suitability and quality conditions. Without adequate support to new of resettlement sites, information disclosure, and residents, resettlement buildings ran the risk of the grievance redress process. The Panel reported turning into vertical slums. Even with transitional its findings in December 2005, after which Bank support from the resettlement implementation management prepared an action plan in agency and from community NGOs, management cooperation with the Government of Maharashtra gaps remained, affecting living conditions in the to improve the quality and outcomes of the resettlement sites. Issues such as inadequate access resettlement processes. The disbursement of the to transportation services, schools, and hospitals; resettlement component of the project was civic provisions for waste management; and suspended in March 2006, and a range of remedial maintenance of common facilities such as open actions were initiated. Some of the key issues spaces, lighting and lifts, internal roads, and addressed as part of the remedial actions included: drainage posed sustainability risks. • Negotiating with the shopkeepers about their resettlement Planning and implementation of such an ambitious • Ensuring postresettlement sustainability urban resettlement operation was not without its • Improving basic services in the resettlement difficulties, particularly in regard to resettling PAPs colonies affected by the road corridors. In addition to the • Strengthening consultations with PAPs direct costs of compensation and livelihood • Streamlining information disclosure and the restoration for project-affected households, grievance redress process 20 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits • Enhancing institutional capacity for the management of the resettlement Inheritance nomination • Updating and strengthening deposited by the new resettlement data management, Flat owners with the reporting, and implementation Housing Cooperative. procedures All flat owners have their flat occupation certificates. The implementation of these remedial actions resulted in progressive improvement in the manner in which MMRDA planned and implemented resettlement measures. Sustained efforts to engage with PAPs to listen to and resolve their resettlement issues on the basis of alternate and flexible Participatory Slum Enumeration and approaches enabled the agency to gradually restore Resettlement Planning trust. The project was closed after four extensions in 2011, and a final report by Bank management was Collaboration with NGOs in resettlement activities delivered to the Board in 2013 following the had not been a common approach in India. MUTP successful completion of the corrective action plan. hired NGOs with extensive experience working with slum communities in Mumbai to assist with the resettlement of slum dwellers, including preparing 3.1.3 Thematic Analysis and implementing resettlement plans. Relying on local NGOs as a channel of engagement was Resettlement activities were a key component of considered an innovative way to engage with urban the project due to the large number of people being slum communities. resettled. This component of the project supported measures to improve the policy framework and As a foundation for the development of institutional and implementation arrangements for resettlement plans, community-based NGOs resettlement; it also provided funding for the carried out baseline socioeconomic surveys and resettlement activities. The first step in the process contributed to the preparation of resettlement was to develop resettlement plans. To this end, a implementation plans for various subprojects key decision made by the government was under MUTP. The baseline socioeconomic surveys entrusting the assignment to local helped to define who was eligible for compensation, nongovernmental organizations (NGOs). and they provided the basis for the allocation of accommodations on the resettlement sites. The surveys promoted a community-based, women- centered, participatory approach to resettlement. PAPs were consulted in different stages of Reconstruction of Mosque and Welfare Center along SCLR; Powai Shopping Mall along JVLR Relocation of Informal Urban Settlements—Examples from India and Mauritania 21 designing, planning, and implementing the their capabilities and streamline their role in the resettlement program. resettlement process. A key highlight of this participatory process was Capacity Building of the Resettlement extensive PAP consultations conducted by Project Implementation Agency officials to explore negotiated resettlement options for the affected large and medium size shopkeepers At the outset of the project, MMRDA, the from alongside the east-west link roads (JVLR and coordinating implementation agency, did not have SCLR) undertaken under MUTP. As a result, sufficient capacity to design and implement a MMRDA was able to resolve challenging relocation resettlement program of such unprecedented issues with several commercial and residential PAP magnitude in India. The World Bank’s safeguard associations by offering a range of resettlement policy requirement on involuntary resettlement options that included in situ redevelopment prompted the state government to adopt a new enabling the PAPs to retain their locational resettlement policy. Since this was one of the first advantage. Some 444 families living in multistory projects of this type handled by the agency, there residential blocks demanded to be resettled within was a steep learning curve. The capacity building of close vicinity of their original location. Some 120 of MMRDA took place over the life of the project. them opted for private redevelopment schemes; Despite experiencing initial challenges and MMRDA took responsibility for building new roadblocks in handling resettlement, the agency residential blocks to resettle the rest. Similarly, developed substantial capacity that extended about 380 shopkeepers including legal shop owners beyond the life of MUTP. affected by JVLR road were resettled in a Shopping Mall established at Powai. Of 550 large and medium Over time, the agency created a permanent Social shopkeepers, about 150 opted for a private Development Unit to manage resettlement impacts redevelopment scheme whereas about 100 opted of various projects in the city. The SDU in MMRDA for relocation to a nearby resettlement building. is headed by a chief officer who reports to the metropolitan commissioner. The chief officer is The participatory approach helped to re-establish a assisted by several officers working with the SDU number religious and community structures, including land acquisition officers, engineers, and including Mosques, Temples, Shrines and Welfare social development assistants. During the centers away from the roads. The custodians of implementation phase, a special Post-Resettlement these facilities were provided with construction Support Unit was created to plan and implement cost along with an alternative site, (which required postresettlement activities, including PAP housing resettlement of additional slum households) to cooperative registration, management training, rebuild their facilities. provision of services such as water and sanitation, schools, inner street lights, and economic The involvement of NGOs in collecting baseline empowerment of resettled women, etc. The social data in informal settlements, proactive consultation development unit has cells looking after livelihoods, with PAPs, forming PAP women groups, and human development index, and R&R management. providing them with mobilization support for The agency has reestablished the MUTP’s grievance shifting, helped to ensure that the relocation of redress mechanisms for its new project, MUTP-2B, slum dwellers to new resettlement colonies was which is funded from its own resources. largely peaceful and free from incidents. Nevertheless, the lesson learned from this approach The World Bank’s Task team worked with MMRDA was that even NGOs with many years of grassroots to enhance its resettlement capabilities experience in local informal settlements might not throughout the life of the project. As a result of the have sufficient capacity at the outset of a project to collaboration between the Government of handle large scale resettlement planning involving Maharashtra, the World Bank, and outside experts, complex baseline studies. In some instances, there the Bank published the “Guidance Note on Urban were gaps in data quality and complaints regarding Resettlement” (World Bank and Government of eligibility. Therefore, over the life of the project, Maharashtra 2009). This high-quality guidebook MUTP expanded its in-house capacity for social provides specific guidance for complex urban-to- mobilization, and worked with NGOs to strengthen urban resettlement operations related to 22 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits infrastructure projects in large cities, with a particular focus on impoverished areas and slums. Special attention is given to “the difficult issue of income restoration, including for business owners, as well as the longer term issue of sustainability of new (often multistory) communities of resettled people” (World Bank and Government of Maharashtra 2009, 8). The Women running their cooperative bakery; a resettled guidebook was developed woman in her new home based on consultations with civil society organizations held by the World Bank in India in September 2006 and an international resettlement Other Innovative Approaches workshop convened by the Bank a week later in Thailand, in which a number of Indian This section is based mainly on excerpts from the government agencies and experts participated. MUTP Implementation Completion Report (World The preparation of the guidebook was supported Bank 2011c). by additional workshops in 2008 that enabled other Indian cities—Hyderabad, Chennai, and Gender Inclusion Approaches Delhi—to share their experiences with urban resettlement programs. While MUTP did not prepare a standalone gender action plan, gender and social development The MUTP resettlement process has become a considerations were integrated into the overall worldwide example of successfully resettling project design and implementation process. The unprecedented numbers of project affected people, resettlement baseline survey was designed to mostly slum dwellers, in a densely populated urban generate gender-disaggregated data on the age, sex, area and, as a result, improving peoples’ lives. and income of affected persons. This helped to Lessons learned have equipped the MMRDA to identify women-headed and vulnerable households effectively deal with resettlement challenges in that could then be given preferential treatment in other infrastructure projects. In recognition of its the offering of alternative housing. Each capacity and experience, the Government of resettlement building had a women’s center, Maharashtra has designated MMRDA as the key providing a forum for activities for women, government agency for managing resettlement including self-help, thrift, and savings groups. operations for several new infrastructure projects in Women workers who lost their supplementary Mumbai, including Metro, Monorail, and MUTP-2A. incomes had access to microcredit groups, and The agency has mainstreamed the application of some were given vocational training. Over 10,000 the MUTP’s resettlement policy to resettlement women were engaged in these group activities. activities beyond the project. It has applied the MMRDA formed an industrial co-operative that MUTP’s resettlement entitlement framework to all provided income opportunities to approximately of its resettlement projects and has expanded the 1,000 women. MUTP’s postresettlement support strategy to all resettlement sites, irrespective of their funding Resettled women expressed greater satisfaction sources. MMRDA is now recognized in India and with their new homes than did men because they abroad for its innovative approach to resettlement. appreciated the increased privacy and enhanced personal security. Each building had a children’s center with preschool and day care services, allowing women to engage in productive activities. Women’s participation in the management of the Relocation of Informal Urban Settlements—Examples from India and Mauritania 23 resettlement buildings was ensured by reserving recommended remedial actions to be taken by membership for women in the housing cooperative MMRDA, which were submitted in the action executive committees. With the support of partner taken report. An independent study (TISS 2008) NGOs, a number of women formed community emphasized the positive contributions made by the police groups that focused on domestic violence panel to the monitoring of resettlement issues, marital conflicts, and financial transactions implementation and addressing of PAP’s concerns. among resettled PAPs—particularly those involving female recipients. The Mumbai police department The appeals procedure was streamlined and formally recognized the role of such groups. The incorporated into the MUTP R&R implementation 11-member community police committee has manual. The grievance redress mechanism process seven female members, who have all been issued was also circulated among PAPs. House allotment identification cards as social police officers by the letters informed the PAPs about the grievance Mumbai police. Women’s groups have played a key redress procedures, which allowed a person to file role in rebuilding lost social capital and in resolving a complaint and then submit evidence within five conflicts and differences in the resettlement working days. The independent monitoring panel buildings and colonies as a whole. was assigned the responsibility of stepping in where group interests or policy matters were Grievance Redress Mechanisms involved. The single member grievance redress committees were assigned the task of hearing and At the appraisal stage, the project established a resolving cases pertaining to eligibility for two-stage grievance redress process, which was entitlements (to alternative houses or shops). streamlined during implementation. The grievance redress committees—field and senior levels— In addition, MMRDA established a system for handled complaints and grievances from PAPs. The hearing and addressing a wide range of grievances, field-level grievance redress committee considered including postresettlement issues, with specific individual grievances, and a senior-level grievance weekdays set aside for this purpose. PAPs had redress committee considered appeals against access to these grievance hearings through field-level grievance redress committee decisions. MMRDA’s chief R&R office. They could also access Independent, well regarded citizens not associated the independent monitoring panel to resolve with project implementation administered broader policy issues, including those involving complaints. The field-level grievance redress group complaints. In order to address people’s committee heard and resolved 3,704 cases, of complaints in resettlement sites, MMRDA which 1,169 received favorable verdicts. The senior- constituted decentralized grievance committees in level grievance redress committee resolved 902 five key resettlement colonies, managed by its cases, of which 294 cases received favorable engineers. Under this arrangement, MMRDA verdicts. An independent resettlement impact engineers periodically held grievance hearings in assessment study carried out in 2007–08 (TISS, resettlement sites and took remedial actions. 2008) recorded a high degree of PAP satisfaction Complainants whose claims were declined by the with the grievance redress process. grievance redress committees retained the option of seeking recourse in court. MMRDA dealt with During the project implementation phase, the about 50 court cases filed by PAPs regarding Government of Maharashtra established an resettlement issues. independent monitoring panel composed of eminent citizens, including a former chief secretary Transparency Initiatives of the state as its chairman, a senior advocate, a senior journalist, a former vice chancellor of the MMRDA disclosed the resettlement action plan, University in Mumbai, and a noted academic. The summaries of resettlement implementation plans panel considered group complaints and policy- for specific subprojects, and lists of eligible PAPs related issues. It also visited resettlement sites with on its website. The agency also regularly disclosed officials, inspected the sites, interacted with the key resettlement documents on its website, such people to understand their concerns, and as the R&R implementation manual, a grievance 24 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits redress brochure, resettlement procedures in the event of a failure in negotiations with Summary of Innovative Practices shopkeepers, procedures for retaining partially affected structures, procedures for implementing the balance of resettlement activities for road over Good practices documented in the case bridges removed from MUTP as part of project study include the use of self-administered restructuring, and other notifications. MMRDA socioeconomic baseline surveys for resettlement ran a public information center out of its office. (with the assistance of local NGOs) and the The Right to Information Act of 2005 further successful capacity building strengthened transparency and accountability of Mumbai’s municipal resettlement authority. practices in MUTP. In response to this law, Other innovative practices included: MMRDA designated public information officers  he development of mechanisms and practices – T for resettlement and disclosed public information for the participation of affected people, through officer contact names and phone numbers on its consultation, participation, and engagement website. with civil society organizations  he recourse of market-based solutions – T 3.1.4 Results and Outcomes such as transfer of development rights as a tradable benefit in lieu of land compensation By the end of MUTP, MMRDA had developed for resettlement operations in urban slums about 30 new (often multistory) resettlement  he provision of free alternative housing – T townships or colonies for slum dwellers in the City with title, which had an empowering effect of Mumbai, including 13 sites earmarked for on resettled households that acquired new MUTP PAPs.3 Through World Bank loan closures, social status and gained wider access to all but six residential households and all but 40 employment in the formal sector shopkeepers had been resettled, including those  he use of periodic socioeconomic monitoring – T who opted for non-MUTP slum rehabilitation and evaluation that helped to measure the schemes, partial retention of structures, or in-situ adequacy and effectiveness redevelopment schemes. All religious structures, of resettlement solutions and to undertake except for three, had been relocated, and legal course correction if required to fill gaps. proceedings had been initiated for the remaining few cases. In addition, the implementation of a postresettlement support strategy ensured the 3.1.5 Conclusions registration of PAP housing societies, provided them with technical and financial assistance, and Overall, MUTP presents a good practice case study enabled them to responsibly manage their assets for urban resettlement because the project and surroundings. This strategy included exit introduced a number of innovative practices that indicators that enabled the handover of were subsequently applied to other urban projects management responsibilities to PAP housing in India. The project had a demonstration effect for societies. At the closure of MUTP, 95 percent of other large urban resettlement operations cooperatives had been registered and trained to elsewhere. Some of these innovative practices and responsibly self-manage their affairs. Resettled lessons learned were captured in the “Innovation people had slowly gained confidence in accepting Note on Urban Resettlement for the MUTP” (World the change and managing their own affairs.4 Bank and Ministry of Finance of India 2012) and are summarized to the right and on the next page. 3 It should be noted that over the years a number of issues have arisen related to the poor quality of construction of high rises built by private sector developers to resettle slum dwellers under the Mumbai Urban Transport Project. The rapid physical deterioration of resettlement buildings and attendant quality of life concerns for resettlers underscores the need for stringent construction supervision on similar projects in the future. 4 Drawn from World Bank and Government of Maharashtra 2009. Relocation of Informal Urban Settlements—Examples from India and Mauritania 25 Key Lessons Learned Transition from an administrative Assessing the capacity of Periodic socioeconomic compensation approach toward nongovernmental organizations monitoring and evaluation a win-win negotiated approach and understanding their helped to measure the by the government minimized approaches is key to effectively adequacy and effectiveness of opposition from several groups engaging them in resettlement resettlement solutions and of project-affected persons. In activities and avoiding task allowed course correction to fill some cases, the government overload and inefficiencies. The gaps to be undertaken when went beyond policy alternatives MUTP showed that even required. Following the 2008 to resolve resettlement issues. nongovernmental organizations impact evaluation, the MMRDA Introducing entitlements and with significant experience might took several remedial measures market-based solutions need capacity strengthening. to improve the quality of the contributed to the success of the A lack of adequate postresettlement support MUTP. The provision of free synchronization of resettlement strategy. alternative housing with titles activities with civil works caused The MUTP experience had an empowering effect on significant time and cost demonstrated that the use the project-affected persons overruns during the MUTP. Prior of transit resettlement should who acquired new social status to the commencement of civil be avoided to minimize and gained wider access to works, substantial land uncertainties with regard to formal sector employment. The acquisition and resettlement permanent resettlement and to market solution of offering should always be completed. minimize risks associated with transfer of development rights Interagency coordination issues people living in low-quality as a tradable benefit in lieu of posed a serious challenge to temporary facilities. land compensation provided smooth implementation of urban At permanent resettlement sites, more options for legal owners to projects. The delays faced by common amenities should be recover losses. the MMRDA in finalizing designs integrated into overall layouts Effective consultations and for Santa Cruz–Chembur Link and designs, including essential communication with PAPs Road Over Bridges with Indian common facilities to be helped with several issues, Railways and the ongoing developed prior to relocation of including checking negotiations between the affected people. misinformation, building trust, Mumbai Metropolitan Region Estate management should be and negotiating resettlement Development Authority and the integrated into resettlement options. Municipal Corporation of Greater planning and implementation to An effective grievance redress Mumbai regarding the fuller ensure a smooth transition to mechanism allowed the timely integration of resettlement sites new resettlement sites. resolution of entitlement-related into the urban services network complaints and reduced illustrate this point. transaction costs for both affected people and authorities. The independent monitoring panel enhanced trust and accountability by monitoring the resettlement process with field visits and by resolving complaints. Sources: World Bank and Government of Maharashtra 2009; World Bank 2013a. 26 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 3.2 Urban Development Project in • Construction of a public lighting network Nouakchott, Mauritania • Construction of facilities, including primary and secondary schools, health centers, sanitation 3.2.1 Rationale for Case Study facilities, and cemeteries Selection The freeing up of right-of-ways on the proposed The population of Nouakchott, the capital city of land that was needed for roads and public Mauritania, has grown at least five-fold over the facilities required the removal of about 2,300 past 30–40 years as a consequence of successive households from the El Mina slum and their droughts and conflicts in rural areas and rapid relocation to a properly serviced urban area urbanization. The city’s population, estimated at located less than a kilometer away. The urban about 560,000 in 2000 is now over 700,000. The city resettlement program conducted under this can now claim to be the largest in the Sahara. project began in 2000 with the preparation of a Many in the recent waves of arrivals have settled in resettlement action plan (AMEXTIPE 2000) and city slums, locally known as kebbe, or in slightly was successfully completed in 2004. better quality unauthorized city settlements known as gazra. The integrated urban planning and participatory approach adopted for this resettlement operation Over the past 20 years, the Government of was selected as an example of good practice Mauritania has tried to relocate slum dwellers to because its successful outcomes were confirmed by formally designated urban expansion zones. independent monitoring and evaluation, it was Nouakchott contains six slums with a total of widely disseminated on the basis of an urban approximately 250,000–300,000. The El Mina slum, resettlement guidance document, and it was with an estimated total of 40,000 inhabitants, is eventually replicated with local funding by the the largest kebbe in Nouakchott. This densely Government of Mauritania in other slums of the settled area is located immediately to the capital and in other cities. southwest of the city center and has significant economic potential. It is well served by major arterial roads, including the main road to the city’s 3.2.2 Project Background deep-sea port. In 2000, the government decided to restructure and upgrade this slum as a pilot Project Development Context operation within the context of the World Bank- funded Urban Development Project (UDP), with UDP was a two-phase adaptable program loan the aim of launching similar operations in other (APL) that was approved by the World Bank’s board city slums in the capital and elsewhere. of directors in 2001. As stated in the project appraisal document, the development and APL Under UDP Phase 1, several actions were planned objectives were to support Mauritania’s central and and implemented in the El Mina slum under the local governments in improving living conditions main supervision of the implementing agency—the and promoting employment opportunities in the Urban Development Agency (ADU) and with the main towns of Mauritania, especially in slums and support of central and local authorities and NGOs. strengthening the institutional framework and The operation consisted of enabling long-term capacity for urban and land management. The residents, many who had lived in the kebbe for more International Development Association and KfW than 20 years, to accede to an improved urban funding obtained by the Government of Mauritania environment on rationalized plot patterns with in 2002 under Phase 1 of UDP amounted to US$76 registered land titles. The main components million.5 These funds were allocated to improve the associated with upgrading the urban living quality of the urban living environment; promote environment involved: economic and employment opportunities; and • Construction of streets within the existing slum strengthen the institutional framework and • Upgrading of the existing water supply to greatly capacity for urban and land management, improved service standards 5 The World Bank granted an additional financing of US$25 million for the project in 2010. Relocation of Informal Urban Settlements—Examples from India and Mauritania 27 the implementation of UDP. In 2003, an attempted Box 3: Mauritania Urban coup undermined the constitutional stability of the country. In 2005, a second coup succeeded in Development Project At a Glance breaking down constitutional order, after which the country experienced a transition period, with The project development objective was to support legislative and municipal elections following in 2006 and 2007. Just as a large group of mayors and Mauritania’s central and local governments in UDP’s main stakeholders and partners started to improving living conditions and employment show stronger ownership for the project, another opportunities in the main towns of Mauritania, coup in 2008 disrupted the recently restored especially in slums and strengthening the constitutional order. In 2008–09, the World Bank institutional framework and capacity for urban and put disbursements related to the Mauritania on land management. hold for 15 months. A two-year extension was Phase 1 Components: Supply of basic municipal subsequently approved by the Bank to complete services in Nouakchott; supply of basic municipal Phase 1 activities. services in Nouadhibou and in 11 other regional capitals; servicing of urban lands in Nouakchott Resettlement Planning Context under the supervision of the National Agency for Land Management; supply of water and electricity Social surveys conducted for the project in 2000 services; subprojects under the “Twize” microcredit (AMEXTIPE 2001) confirmed that the El Mina program; institutional capacity building; and Kebbe was populated by over 40,000 of the project management, coordination and monitoring. country’s poorest inhabitants, including a large proportion of members of a marginalized group Project Implementation: 2002–11 known as Haratin who illegally occupied a 128 Project Costs and Financing: US$94.0 million hectare extension of an industrial zone in a highly (total). US$70.0 million International Development speculative and politically volatile environment. Association credit, KfW funding of US$ 4.0 million Most of the inhabitants had no fixed sources of and counterpart financing of US$20.0 million by the income (estimated average incomes were Government of Mauritania. approximately US$0.50 per day). Slum residents lived in temporary dwellings made of wood and recycled materials. There were no public streets, no access to electricity or public lighting, and very limited access to drinking water and latrines. Only management of urban environmental services, and five public water taps were available in the slum decentralization. and water supplies were mainly provided at a high cost (US$7 per cubic meter) by itinerant vendors UDP Phase 1 components implemented over a with donkey carts. Domestic power was provided nine-year period between 2002 and 2011 included: from charcoal, kerosene, and car batteries. The (1) the supply of basic municipal services in arduous lanes of the slum were inaccessible to Nouakchott; (2) the supply of basic municipal firefighting services, ambulances, public transit services in Nouadhibou and 11 other regional services, or waste collection services, and they capitals; (3) the servicing of urban lands in were devoid of drainage systems. Residents had Nouakchott under the responsibility of the National practically no access to public schools or health Agency for Land Management; (4) the supply of facilities. water and electricity services; (5) subprojects under the “Twize” microcredit program for financing Social surveys (CDHL/CP/I 2000) also revealed that social housing and revenue generating activities; (6) 70 percent of heads of households in the El Mina institutional capacity building; and (7) project slum had been living there for over 10 years and management, coordination, and monitoring. that 35 percent had been there for 20 years or more. The average number of persons per household was From the beginning of project implementation in 6.7 and the average number of children per 2002, political instability in Mauritania affected household was 4.4. The proportion of women heads 28 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Nouakchott, Mauritania: Slum Areas Shown in Color; El Mina Kebbe Indicated in Orange Relocation of Informal Urban Settlements—Examples from India and Mauritania 29 of households was 35 percent. About 88 percent of salary for the head of household (30,000 MU or heads of households were illiterate or had only US$120) attended Koranic schools. Only 30 percent of male • An officially recognized 120 square meter heads of households and 8 percent of female heads residential plot of households had a regular source of income. At • Specific assistance provided to vulnerable people least 25 percent of households were in need of by the ADU’s resettlement unit7 extreme food assistance. • Easy access to a grievance redress mechanism set up under the supervision of an independent third party—a mediator NGO recruited by the ADU.8 3.2.3 Thematic Analysis Resettled households were also provided with Slum Upgrading and Resettlement access to employment-generating schemes Principles through state-funded microcredit facilities and construction-trade training programs provided by The principles underlying the construction of a grid an international NGO. of public streets within the existing El Mina Kebbe were that no household would be located more Following reception of compensation payments, than 150 meters from a paved public street or more resettled households dismantled their makeshift than 125 meters from a public drinking water tap. shelters and reassembled them on their newly The 2,300 households (or 12,000 PAPs) that had to acquired plots. In addition to financial assistance be relocated as a result of this effort were to be toward the installation of a concrete slab and a pit moved to a designated resettlement zone known as for a latrine, they were provided with access to an Neheza along the western boundary of the kebbe on-site collective housing credit scheme (Twize on newly serviced lands that were still free of program). This state-subsidized credit scheme occupants. covered 70 percent of costs towards construction of a standard one-room 20 square meter cement- This 48-hectare zone was considered sufficiently block housing unit. Housing unit payments to be large to house the households to be resettled. Before covered by home owners were $US160 as a down the resettlement operation, it was leveled and payment and $US10 per month for 36 months. serviced with ten community buildings equipped Many resettled households made use of their with public latrines as well as with drainage compensation payments to cover the down systems, ditches, and cisterns. Construction of payment for construction of a new house on their public streets and street lighting would be carried plot, or for construction of an additional house on out on individual plots after the resettlement of their plot. As a result, the architecture of the households. Each resettled household received: Neheza resettlement zone is characterized by a • Compensation for the loss of their existing mix of new cement block housing units and of old housing structure on an unauthorized site, reassembled shelters. transportation costs to the resettlement site, and financial assistance toward the installation of a The culturally and socially adapted approach called concrete slab and a pit for a latrine (70,000 MU or “Twize” was developed in response to UDP’s US$280)6 objective of poverty reduction through access to • Compensation for transition costs estimated as decent housing. This approach was based on the equivalent of two months of a minimum collective community participation articulated with community or solidarity programs in order to 6 According to a 2004 World Bank resettlement supervision report for El Mina (World Bank 2004b), compensation for loss of housing was increased to 50,000 MU ($US200 in 2003) and compensation for transportation costs was increased to 20,000 MU ($US80 in 2003), enabling more resettled households to apply for subsidized housing credits under the Twize program. 7 According to the resettlement action plan (2000), vulnerable people included disabled people, people suffering from serious illnesses, and elderly persons. Assistance to be provided included moving assistance; building assistance; and health care as needed during the moving and transition period. 8 According to the El Mina sourcebook produced for the UDP task team (World Bank 2007a), there were only 30 complaints registered during the El Mina resettlement program, and these were all promptly resolved. 30 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Layout of Nezeha Resettlement Area for the El Mina Kebbe Mauritania Urban Development Project—Before and After Resettlement Relocation of Informal Urban Settlements—Examples from India and Mauritania 31 finance and build housing “modules” (room or plot areas where local inhabitants initially had very little enclosure and latrine) for poor families. Twize’s trust of outsiders. A national NGO assisted with the accomplishments in Nouakchott and Nouadhibou implementation of the public communication range from the local production of 5,900 cost- program during the first year of resettlement controlled quality housing modules, the granting of implementation. Socioeconomic baseline surveys 65,000 classic microloans destined to improve the were conducted at the beginning of the incomes and housing of inhabitants; microloans resettlement operation, particularly in the El Mina accessible to inhabitants organized in Twize Kebbe, in order to gain a proper understanding of groups; the training of 1,200 professionals, including the initial conditions and to support the subsequent 800 in the construction sector—a priority in the monitoring and evaluation of postresettlement project’s framework; and support for the changes (World Bank 2007a). implementation of 95 urban, economic, and social microprojects. The housing scheme’s success Institutional Framework and Local Capacity (satisfying 84 percent of targeted households) Building depended on the quality of the social, technical, and financial support throughout the entire process The quality and stability of the institutional (World Bank 2013b). framework established for the resettlement operation in the El Mina slum was an important Improved public street systems in the El Mina factor in ensuring the success of resettlement Kebbe were accompanied by electricity implementation. With the support of government distribution systems, street lighting, and improved authorities at the highest levels and in collaboration water supply systems built along new street right- with community representatives, the hakem of-ways. The upgraded street systems also led to (prefect) and the mayor of Nouakchott played improved public transit and to the construction of leading roles on the Resettlement and community buildings (mosques) by religious Compensation Commission (Commission groups inside the slum. d’attribution et de compensation) and were able to foster a durable climate of trust throughout the Additional public investments in the El Mina slum resettlement process. Lessons learned in the El included two new commercial market areas, includ- Mina resettlement operation were subsequently ing cattle and fish markets, serviced by three park- applied to other slums in Nouakchott and in other ing areas; five new elementary schools and three cities by local authorities. new secondary schools; and a new public health center. A number of public latrines were provided Resettlement Documentation near community facilities, and a new water tower was built in the center of the El Mina Kebbe. Documentation used for the resettlement operation in the El Mina slum proved to be highly useful. Resettlement Strategies Given the extent of speculative pressures in the slum and the mobility of slum residents, particular Public Information Program efforts were made to properly document the identities and status of PAPs during the preparation The public information program of the El Mina stage, minimizing the risk of fraud during the resettlement operation played an important role in resettlement census and ensuring that the list of the success of resettlement implementation. Public PAPs would remain the same throughout the information activities were adapted to the specific resettlement operation. Members of households content of disseminated messages, with a local being displaced were photographed during initial focus on affected households in order to minimize census surveys and officially listed in household opportunistic settling in the resettlement zones and resettlement files. fraud during the resettlement census. Activities targeting the identification of former landowners Household resettlement files produced in 2000 were were widely focused on a national basis. maintained as official reference documents from the beginning to the end of the resettlement Community representatives were recruited to serve process. The files were systematically included in as permanent information intermediaries in slum the resettlement action plan, in the official list of 32 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits households to be resettled, in the eligibility criteria entitled to a payment of approximately US$40 to for resettlement and additional compensation, in obtain a legal occupation permit from the the revised census data in 2003, and in the government land registry (Service des Domaines) resettlement database. They were officially sealed confirming their ownership of the residential with a bailiff to symbolically demonstrate the property. This strategy sought to ensure that government’s commitment to implementing the resettled households acquired some stability in their resettlement program. new living environments instead of being further marginalized by moving into other slums after Security of Land Tenure and Property accepting offers of cash for their plots.10 Ownership Vulnerable Persons In 2003, before proceeding with resettlement implementation, ADU commissioned an updated According to the resettlement action plan, eligible census of households to be resettled in the El Mina PAPs under the category of vulnerable persons slum.9 In compliance with the Resettlement included “households whose family heads were Operations Manual developed in 2003 and unemployed, and particularly those headed by subsequently approved by the Resettlement and women.” Due to the large number of potentially Compensation Commission, the resettlement plot eligible persons, eligibility criteria were revised attribution process was phased in at nine successive during resettlement implementation and were stages, with occupation of the resettlement site restricted to “very old or physically handicapped proceeding from north to south and freeing of right- heads of household, of either sex” (AMEXTIPE of-ways in the El Mina Kebbe proceeding from west 2000). The 25 vulnerable persons identified to east. The attribution of plots followed the order of according to these new criteria were exempted the resettlement census with the intent of enabling from formalities and provided with special moving neighbors in the slum to remain neighbors at the assistance. resettlement site. Monitoring and Evaluation In consideration of the extreme levels of poverty experienced by El Mina slum residents, the Large-scale socioeconomic household surveys were Resettlement and Compensation Commission conducted by UDP before (2000) and after the decided not to provide displaced households with resettlement program (2007 and 2012) to evaluate the right to sell resettlement plots until three years the extent to which resettlement outcomes in the El after the move. Instead, in 2004, each displaced Mina kebbe were successful and livelihoods were household received a numbered plastic color plot restored after project completion. The UDP attribution badge that could not be sold. After household survey on socioeconomic impacts on the completing formalities at ADU and receiving Kenna El Mina area conducted in September 2007 compensation from the bank branch set up on site was based on a population sample of 2,150 by ADU, badge recipients had easy access from the households selected among households resettled to resettlement plots to a housing credit office set up the Neheza site and households that remained in on site in order to benefit them. the kebbe (World Bank 2013b). This survey was followed up by an additional UDP household survey Subsequently, in 2007, displaced households able to conducted in 2012. prove occupation of a resettlement plot were 9 According to an independent resettlement monitoring and evaluation study conducted in 2007 for the World Bank, the second census revealed that a total of 31 households identified in the 2000 census were no longer living in the slum, while another 21 households that had been omitted in the 2000 census were registered as households to be resettled. Another 40–50 households settled in the area after the resettlement cut-off date and were considered ineligible for compensation and relocation to the resettlement site. However, these households were given assistance in finding other living sites in the El Mina slum by the ADU. 10 According to the RAP (AMEXTIPE 2000), although land attribution policy in Nouakchott is guided by social principles, with land occupation permits as cheap as US$0.25 per square meter, land speculation is taking place on a large scale on the outskirts of the city. The poorest people tend to sell the land occupation permits awarded to them by the government and remain squatting in kebbes and gazras, a practice that is widely tolerated. By law, land that remains unoccupied and undeveloped is supposed to revert back to the public domain, but this is not enforced and much titled land remains devoid of either occupation or development. Relocation of Informal Urban Settlements—Examples from India and Mauritania 33 3.2.4 Results and Outcomes households were never able to access the necessary funds to build cement block homes on their plots. According to the El Mina sourcebook (World Bank However, all of the resettled households were able 2007a) and an independent Bank-funded to build permanent structures on their sites in one resettlement monitoring and evaluation report for way or another. Approximately 20 vulnerable El Mina (World Bank 2007b), approximately 1,400– households benefited from targeted assistance by 1,500 of the resettled households participated in the Tenmyia, an independent NGO recruited by the subsidized housing credit system (i.e., 70 percent of Urban Development Agency to supervise housing costs covered by the government) and resettlement implementation, to rebuild homes on were able to build new permanent housing their allocated plots. structures with an almost 100 percent credit reimbursement rate over a 36-month period. Other Completion of works for infrastructure and services resettled households tapped into privately held on the resettlement site did not proceed on pace funds to build new permanent structures on their with the relocation of displaced households—a allocated plots. common problem for collective resettlement programs globally. While site leveling and laying out Because of their limited social capital and inability of roadways were completed before the allocation to find work, a small proportion of resettled of replacement residential plots in 2004, public lighting was not put in place until 2005. The system of drinking water taps connected to a new water tower and reservoir in the El Mina Kebbe was not completed until 2007. This was a deliberate approach of the project—the authorities were concerned about pressures by middle income households on settlements that benefited from infrastructure improvements, given the prevailing lack of infrastructure in Nouakchott. Their approach was to deliver infrastructure gradually as they built the community, to prevent rapid gentrification (Wahba, Sameh Naguib, 2002). Individual connections to the electrical distribution grid remained prohibitively expensive for most households, and in 2007, other options were under consideration. The community latrines were built at an early stage in the resettlement process and in 2007, were still in daily use, being regularly maintained by the community. Initially, individual private latrines were accepted among resettled households—with some misgivings—but they 34 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits seemed to have gained greater acceptance by 2007, even as they remained difficult to maintain. In Summary of Innovative Practices 2006–07, the markets, schools, and public health center opened as planned. The Urban Development Project was particularly According to the 2007 socioeconomic household noteworthy for its development of an integrated survey commissioned by UDP, among displaced urban planning approach in which resettlement households, 71 percent thought that housing operations conducted for displaced households in conditions had improved; over 62 percent believed the El Mina slum dovetailed with urban renewal that the project had a positive impact on their operations for the majority of households access to transport; 80 percent felt that the remaining in the slum. Other innovative practices program had helped people better organize included: themselves; 63 percent expressed the view that the  arge-scale socioeconomic household surveys – L project had increased cohesion among the conducted by UDP before and after the population; and about 60 percent reported an resettlement program to evaluate the extent to improvement in contact with other parts of which resettlement outcomes in the El Mina Nouakchott and the country at large.11 One of the kebbe were successful and livelihoods were most positive project outcomes identified by restored after project completion. displaced households was regarding school attendance by girls—more than 70 percent of  he culturally and socially adapted on-site – T interviewed households that had relocated state-subsidized collective housing credit thought there was an improvement in this area. scheme called “Twize” that was developed in response to UDP’s objective of poverty reduction through access to decent housing. 3.2.5 Conclusions This approach was based on collective community participation articulated with The pilot project in the El Mina Kebbe initiated a community or solidarity programs in order to process of participatory and integrated finance and build housing “modules” (room or development that was scaled up nationally by the plot enclosure and latrine) for poor families. government and that was gradually mainstreamed  evelopment of a specialized sourcebook on – D in all of the regional capitals. In El Mina, the largest urban slum rehabilitation and clearance and oldest of the capital’s slums, socioeconomic programs that was subsequently used by the household surveys conducted in 2007 confirmed Government of Mauritania for similar operations that the social impact had been positive because conducted in other slums of the capital city and slum upgrading actions had led to a relative other regional cities without donor support. improvement of living conditions and social cohesiveness among most inhabitants. The pilot in El Mina also had positive impacts on the attendance of girls at schools, an impact felt by all Resettled households were also provided with of the targeted populations. compensation for transition costs and with access to employment-generating schemes through Housing conditions after the relocation of 2,300 state-funded microcredit facilities and households to the new Nezeha resettlement site construction-trade training programs provided by adjacent to El Mina were also improved. All an international NGO. Vulnerable persons resettled households benefited from identified among displaced households were compensation for the loss of their existing housing exempted from formalities and provided with structure on an unauthorized site, transportation special moving assistance. costs to the resettlement site, and financial assistance toward the installation of a concrete Prior to resettlement, the Neheza site was leveled slab and a pit for a latrine on their officially and serviced with ten community buildings recognized 120 square meter residential plot. equipped with public latrines as well as with 11 Drawn from the summary of UDP’s household survey on socioeconomic impacts on the Kenna El Mina area—September 2007 (World Bank 2013b). Relocation of Informal Urban Settlements—Examples from India and Mauritania 35 drainage systems, ditches, and cisterns. Overall, UDP improved living conditions in the Construction of public streets and street lighting poor neighborhoods of Nouakchott through the was carried out on individual plots after the application of innovative participatory and resettlement of households. Approximately 1,400– integrated development approaches. Resettlement 1,500 of the 2,300 resettled households operations conducted for displaced households in participated in the subsidized housing credit the El Mina slum dovetailed with urban renewal system (Twize) and were able to build new cement operations for households remaining in the slum, block housing structures. Other resettled ensuring that everybody benefited from project households tapped into privately held funds to activities. In addition to its quantitative benefits, build new permanent structures on their allocated the project had important qualitative and plots. Displaced households able to prove sustainable benefits in terms of social progress, occupation of a resettlement plot over a period of with recipients reporting feeling pride about three years were entitled to obtain a legal “being at home” and belonging to a nation. The occupation permit from the government land project benefited from strong central and local registry confirming their ownership of the government commitment and from the support of residential property. local communities and beneficiaries. Ultimately, it offered citizens the means to participate in The success of the El Mina pilot and its related important decisions taken at the local level resettlement operation impacted communities in through the development of institutional other slums that started to demand the same frameworks and the intervention of associations treatment for their slums, pushing the government and community-based organizations. to begin implementation of its large slum rehabilitation program without waiting for donor support (World Bank 2013b). The urban resettlement sourcebook produced for the UDP task team in 2004 and updated in 2007 (World Bank 2007a) was a useful reference for these operations. Key Lessons Learned The public information program The quality and stability of the status of PAPs during the played an important role in the institutional framework preparation stage. success of resettlement established for the resettlement The success of resettlement implementation. Public operation was an important was predicated upon an information activities were factor in ensuring the success adapted strategy related to adapted to the specific content of resettlement implementation. security of land tenure and of disseminated messages. The quality of documentation property ownership in order to Community representatives used for the resettlement ensure that resettled were recruited to serve as operation proved to be critical. households acquired some permanent information Given the extent of speculative stability in their new living intermediaries in slum areas pressures and the mobility of environments instead of being and a national NGO assisted slum residents, particular efforts further marginalized by moving with the implementation of the were made to properly into other slums after accepting public communication program document the identities and offers of cash for their plots. during the first year of resettlement implementation. 36 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 4. Livelihood Restoration for Informal Urban Occupations Examples from Morocco and Pakistan 4.1 Artisan and Fez Medina Project sustain local handicraft industries. The square, in Morocco known as Place Lalla Ydouna (PLY), is located close to the Karaouiyine mosque and is renowned 4.1.1 Rationale for Case Study Selection as a historical center for artisanal copperware products—such as lamps and teapots—and as the With a population about one million, the imperial nexus of a complex artisanal production chain. city of Fez is the third largest urban area in Morocco. It is the capital of traditional Moroccan This case highlights an innovative urban culture and is renowned as a historic place of resettlement approach adopted to ensure the learning, an Islamic pilgrimage destination, and a transfer of a complex artisanal production chain center for traditional artisanal arts. from the Fez Medina to the Ain Nokbi industrial park located close to the medina. The overarching The site of the Artisan and Fez Medina Project is goals of the approach were to: located in Fès el Bali (or old Fez), the largest of the • Maintain livelihoods of copperware artisans and two historic medinas12 of Fez. The medina is listed employees during the transition period and as a UNESCO World Heritage Site. With a improve livelihoods after the transition through population estimated at 150,000, it constitutes a upgraded production facilities and an enhanced dense and intricate maze of open and covered working environment streets, winding paths, and intimate squares built • Ensure that owners and employees of other according to the medieval Islamic urban relocated artisanal production facilities and settlement pattern. It is considered one of the businesses received full support in the largest car-free urban areas in the world. The ninth restoration of their livelihoods century Karaouiyine mosque in the medina is • Provide improved housing conditions to among the most famous in the Islamic world. It relocated residential households houses a university that is thought to be the • Focus on the needs of the most vulnerable world’s oldest. The medina attracts about 170,000 artisanal employees (the elderly, women, tourists annually—about 10 percent of all foreign apprentices aged 15–18, and children under visitors to Morocco (World Bank n.d.). age 15) • Support the daily onsite presence of a local The Artisan and Fez Medina Project proposed to social nongovernmental organization (NGO) redevelop a small neighborhood abutting a square and make use of a credible grievance at one of the main entrances to Fès el Bali and mechanism to resolve issues during restore four historic Foundouks (commercial resettlement implementation hostels) along the well-trodden tourist trails to enhance local cultural and tourism attractions and 12 Medina is the old Arab or non-European quarter of a North African town. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 37 View of Fez Medina View of Bim Lamdoun Bridge and of Place Lalla Ydouna in Fez Medina 38 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Conceptual design of new Place Lalla Ydouna development Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 39 Artisan and Fez Medina Project—Before and After Resettlement at Ain Nokbi 40 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits • Provide flexible, adaptive, and well-funded The center of artisanal copperware production management of resettlement implementation in (dinanderie)—e.g., door ornaments, decorative a complex historical urban environment. lamps, platters, and teapots—in the Fez Medina was located in PLY. The neighborhood was divided in half by a small urban river (Oued El Jawahir), 4.1.2 Project Background forming an intricate network of dinandier producers, specialized and nonspecialized Resettlement Planning Context subcontractors, suppliers, and retailers as well as a number of related artisanal and commercial Funding for the Artisan and Fez Medina Project activities, such as warehouses, tanneries, leather was provided by the Millennium Challenge processing workshops, traditional fabric producers Corporation (MCC), a United States government (passementiers) and slipper producers, and vendors development agency, from 2009–13. Consistent (babouchiers). This network was loosely connected with MCC’s environmental and social to surrounding neighborhoods through a web of requirements, resettlement was planned and commercial relationships and was supported by a implemented in compliance with the World Bank’s variety of specialized and nonspecialized workers Involuntary Resettlement Policy (OP 4.12). The and apprentices whose numbers fluctuated project was jointly developed with the Government according to the type, volume, and number of of Morocco as part of a five-year compact signed orders and depending on the time of year. between the United States and Moroccan governments and was implemented in One of the driving forces behind the relocation of collaboration with UNESCO. It built on the World artisanal copperware production activities from the Bank-funded Morocco Cultural Heritage Project, medina was their incompatibility with neighboring which was implemented in the Fez Medina during residential uses. Copperware production workshops the 1990s. Funding for the resettlement component were tiny, unsafe, and poorly adapted to industrial of the project was jointly covered by the MCC for processes. A number of copperware production compensation and livelihood restoration costs workshops used polluting industrial processes such related to informal artisanal activities and by the as electrolysis. The policies of the Urban Commune Government of Morocco for all property of Fez required that the artisanal copperware acquisitions related to expropriation of PLY and production chain be relocated to a more two other Foundouks to be restored. appropriate industrial environment in the neighboring Ain Nokbi industrial park that had The institutional framework for resettlement rested been established for such purposes. Earlier efforts on two Moroccan government agencies, the Agence to resettle artisanal copperware producers to Ain de Partenariat pour le Progrès (APP) that reported Nokbi undertaken in 2000–05 by the commune had directly to the Prime Minister in Rabat, and a been largely unsuccessful, and only a few producers Project Management Unit (UGP) set up in Fez had relocated their units before the start-up of the under the Agence de Dédensification et de Fez Medina resettlement process. Those who had Réhabilitation de Fès (ADER-Fès), an urban renewal moved complained of being disconnected from the agency that had been previously set up with the production chain and of being relocated to a largely support of the World Bank. The resettlement empty and unsafe work environment. planning and implementation process was supported by national, regional, and local Other reasons behind the relocation of artisanal authorities, and by local artisan associations who copperware production to the Ain Nokbi industrial played a large role in resettlement planning and park included the need to provide artisans with the implementation. This was conducted notably necessary facilities and working conditions to through a regional steering committee (Comité de enable them to upgrade the quality of their pilotage) set up under the authority of the Wali products in an increasingly competitive (governor) of the Fès-Boulmane region and a Comité international market and to encourage young male de proximité established by order of the Wali in June and female apprentices to pursue traditional 2011 to handle local grievances during resettlement artisanal activities because the workforce was aging implementation. and becoming less capable of adjusting to new market conditions. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 41 Artisanal workshops in Place Lalla Ydouna before resettlement 42 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits New Foundouk for artisanal subcontractors at Ain Nokbi (external view) New Foundouk for artisanal subcontractors at Ain Nokbi (internal view) Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 43 Scope of Resettlement the medina. Only eight households in PLY were required to relocate due to the project. A key goal of the Artisan and Fez Medina Project was to attract tourists and highlight copperware Resettlement activities required in the four handicrafts through new construction and Foundouks included the permanent relocation of 21 restoration of historic buildings in PLY as well as warehouses and empty spaces from Foundouk through restoration of four historic Foundouks in Staounyyine and the temporary relocation of 11 the vicinity of PLY. The map on the following page artisanal workshops and businesses for the illustrates the proposed interventions in PLY. duration of its restoration. Resettlement activities Shaded buildings in pale grey were considered of required for the other Foundouks (Barka and lesser architectural value and were to be Chemaine-Sbitryyine) were limited to the demolished after completion of the resettlement temporary in situ relocation of 13 artisanal program. A number of artisanal workshops and workshops and businesses during the renovations showrooms, restaurants and cafes, and a small (opérations-tiroirs). boutique hotel were to be built in their place around redesigned public spaces created on either Ultimately, a total of 1,044 project-affected persons side of a reprofiled section of the Oued Al Jawahir.13 (PAPs) were identified in the context of the Fez In agreement with UNESCO, buildings shaded in Medina resettlement action plan (RAP). Households dark grey were considered to be of a higher to be relocated from PLY included two owners and architectural and heritage value and were to be six tenants. Artisanal and commercial activities restored after the completion of the resettlement employed a total of 682 mostly part-time informal program. Buildings highlighted in yellow had yet to employees, including specialized workers, be evacuated at the time the map was produced. apprentices, and helpers. Many artisans and most employees to be relocated were very poor. Most The project required moving a total of 194 informal employees were males aged 18–59 (549), but a sector “polluting” and “nonpolluting” artisanal and number of them were female (98), elderly (21 men commercial activities from PLY to a neighboring and three women aged 60 or older), underage (35 artisanal industrial park at Ain Nokbi without employees aged 15–18, including three girls), or disrupting artisanal activities and without affecting illegally employed children ( four employees aged 15 the historic character of one of the medina’s main or younger, including one girl). The 45 other entrances. This was accomplished by constructing artisanal workshops, businesses, and warehouses 22 new production units for 26 PLY copperware that had to be relocated from the four Foundouks producers and a new artisanal production center employed another 24 employees, including 23 men (Foundouk) for 77 PLY copperware subcontractors and one woman aged 18–59. at Ain Nokbi. A few other artisanal activities in PLY—a tannery, a 4.1.3 Thematic Analysis metal workshop, two leather processing workshops, and 11 trimming makers (passementiers)—were Preparation of Resettlement Action Plan considered to be too polluting to remain after the site’s rehabilitation; they were designated for per- Resettlement activities were planned out over a manent relocation. Another 16 vacant commercial period of two years, from July 2009 to July 2011, on spaces and storehouses were also designated for the basis of in-depth socioeconomic surveys and permanent relocation. A total of 47 “nonpolluting” asset inventories carried out in five historic sites in artisanal and commercial activities at PLY were the medina: PLY—located at one of the main considered appropriate for returning to PLY after entrances to the medina—and Foundouks Barka, project completion and were therefore designated Chemaine-Sbitryyine, and Staounyyine— for temporary relocation while work was being con- strategically located along tourist routes in the ducted at PLY. Very few artisans or workers at PLY medina. Because of the limited timeframe of the lived onsite; most commuted from within or outside compact, only two years remained after completion The architectural design concept for the reconfigured PLY was agreed to on the basis of an international competition funded by the 13 Millennium Challenge Corporation in 2009–10. 44 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Layout of Proposed Works in the Place Lalla Ydouna Neighborhood of the Fez Medina Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 45 of the RAP for resettlement implementation, Resettlement Strategies including construction of replacement workshops at Ain Nokbi and subsequent demolition works and The development of specific resettlement strategies construction/restoration works at PLY and in the in collaboration with the local associations of Foundouks. artisans constituted a critical—and time consuming—component of the RAP preparation. It Conducting the socioeconomic surveys required involved both the establishment of agreed upon the full support of local artisan associations that compensation and assistance principles for each explained the purpose and modalities of the surveys category of PAP and agreed upon relocation to initially reticent workshop owners (maalems). strategies, taking into account time constraints and The artisan associations also assisted surveyors the need to move all elements of the production throughout the process. Artisans had limited trust chain within a short time period. in the authorities, particularly in the aftermath of the unsuccessful resettlement program previously Compensation and Assistance Principles conducted by the Urban Commune of Fez, and they were uneasy about surveyors asking questions of A major element in establishing agreed upon their employees. The census of PAPs and related compensation and assistance principles was getting socioeconomic surveys served as the basis for local artisans to understand that the application of establishing a resettlement database of eligible the World Bank’s policy on involuntary resettlement artisans, businesses, and households. meant that compensation would be applied to informal sector activities on the basis of agreed A particular focus of the socioeconomic surveys upon, fair, and equitable principles that applied to was determining the footprint of the resettlement all. In the local Moroccan expropriation context, operation. There were concerns that the economic informal commercial activities had no official value impact of relocating part of the artisanal and were therefore ineligible for compensation. As a copperware production chain from PLY to Ain result, such activities were subject to case-by-case Nokbi could extend deep into the medina, negotiations during which the informal artisans disrupting long-term business relationships and were at a clear disadvantage. Once the applicable intricate social networks. The design of the surveys principles of OP 4.12 were fully understood by enabled the study team to confirm that commercial artisans and government agencies, a detailed relationships with other artisanal producers outside entitlement matrix was developed and agreed to by PLY were sporadic or occasional and that the all parties for each category of PAP. This included economic and social footprint of the resettlement complex cases such as: operation was mostly limited to the project area. • Artisanal workshops that were temporarily closed or used as temporary warehouses due to The socioeconomic surveys and focus groups slowdowns in business carried out with artisans and their employees also • Unregistered squatters and undocumented enabled the social team responsible for the RAP to residents who had occupied the square for a long determine the various categories of commercial period of time but were not recognized by the activities at PLY and in the Foundouks; to gain an authorities understanding of their economic and social • Owners of artisanal production units at Ain interrelations, strengths, and vulnerabilities; and to Nokbi who had moved under the previous find agreement with the artisanal associations on resettlement program and who felt that they levels of compensation and assistance required for should be compensated for the costs they had each eligible category of activity being relocated incurred in building their own workshops under the program. The principles for each category • Underage children working illegally in the of eligibility were agreed to jointly, and subsequently workshops as children of the owners or because served as a foundation for public information they had no other place to go meetings held with PAPs and for the deliberations • Women who were working without any rights as of the local grievance mechanism (Comité de replacements for child employees who had proximité) set up to review claims or complaints recently been barred by law from employment in that emerged during implementation. artisanal workshops 46 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits • Elderly persons (aged 60 or older) working in service, commercial amenities, police, and public difficult conditions in artisanal workshops who health services, among other services that were hoped to retire when they had enough money required at Ain Nokbi to ensure the viability of the • Workers who feared that their compensation site as a work environment for women and men. would be seized by the state because they owed back taxes. Given the brief Compact timeline, it was impossible to guarantee the return of 47 “nonpolluting” Given the levels of uncertainty involved in defining artisanal and commercial units at PLY considered the resettlement budget in a complex urban suitable for resettlement in the project site after environment, the contingencies defined in the RAP work was completed. Consequently, a US$1 million for compensation and livelihood restoration related contingency fund was set aside in the RAP to to artisanal and commercial activities were set at 35 compensate owners of these units for long-term percent, and the contingencies for the cost of commercial rent (pas de porte) in case they had to relocation residential households were established find replacement premises of equivalent value in at 50 percent. the medina. In this event, they would also be guaranteed priority access to the redeveloped Resettlement Measures square following project completion. The resettlement strategy adopted for the artisanal Security of Land Tenure and Property copperware production chain was comprised of Ownership three core elements: • Joint planning of individual and collective Individual and collective production units built and production units in the Ain Nokbi industrial park serviced for resettled artisanal producers and outside the medina and related facilities and subcontractors in the Ain Nokbi industrial park and services with the local associations of artisans the new location for the Association of Copperware (e.g., dedicated bus service, commercial Artisans were transferred to the beneficiaries with amenities, police, and public health services) full title, and related titling and registration costs • Construction of a new location for the were assumed by the project. The 77 subcontractors Association of Copperware Artisans to use as a relocated to the MCC-funded Foundouk at Ain place to showcase their wares and serve as an Nokbi were also to acquire title to their specific artisanal training center units inside the Foundouk and were to be provided • Temporary relocation of artisanal producers and with technical assistance to manage the building as subcontractors to two other Foundouks in the a collective unit.14 industrial park to allow for lengthier construction times for individual and collective replacement Vulnerable Persons and Gender units at Ain Nokbi. Specific assistance measures were put into place for Construction of the individual and collective the most vulnerable PAP employees (the elderly, replacement production units in the Ain Nokbi women, young apprentices, and underage children). industrial park and of a new location for the They included: Association of Copperware Artisans was funded by • Funding the return to school of four underage the MCC under the Artisan and Fez Medina Project. child employees The Fès-Boulemane region and the Urban • Functional literacy and vocational training Commune of Fez covered the building costs of the programs for vulnerable PAPs through two Foundouks to be used temporarily for the negotiation of an agreement with an artisanal relocation of PLY producers and subcontractors training center in Fez to provide vocational with the intent of using these two buildings for the training programs to eligible vulnerable PAPs (20 relocation of other artisanal producers and young women employees and 35 young subcontractors from the medina at a later time. The apprentices) and to provide specially tailored Urban Commune of Fez funded the dedicated bus functional literacy programs to 75 ineligible older A year after the end of the Compact, delays were still being experienced by subcontractors in acquiring titles to their units from the 14 Government of Morocco and in being provided with technical assistance to manage the building as a collective unit. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 47 women employees in collaboration with their due to the high turnover rate in artisanal employers workshops. • Payment of additional compensation for temporary loss of income to 21 men and three Payments of compensation packages to owners of women aged 60 or older given their greater artisanal workshops and businesses and to difficulty in adjusting to new work environments residential households were completed as planned • Financial assistance for increased transportation by mid-2012, prior to the clearance of all occupants costs to all PAP employees based on the value of a from PLY and the Foundouks. This included both two-year public transit bus pass. payments by the Government of Morocco for land acquisition under the national expropriation law Grievance Redress Mechanisms and payments funded by MCC for the loss of informal sector activities, in compliance with the A Comité de proximité was set up by order of the World Bank’s Involuntary Resettlement Policy. Fès-Boulmane region governor (Wali) in June 2011 However, the treatment of large numbers of small to handle local grievances. The committee compensation payments to the employees of comprised representatives of UGP/ADER-Fès, local resettled artisanal workshops and businesses by authorities, and local artisan associations. As central authorities at APP ran into significant delays required, it met throughout the two-year and was only completed after their relocation from resettlement implementation process, and PLY and the Foundouks. proceedings were made public by UGP/ADER-Fès. It successfully processed a number of cases during Compensation payments for long-term commercial resettlement implementation. rents, moving costs, and lost incomes were made to 15 “polluting” artisans and 13 temporarily closed Monitoring and Evaluation businesses for leaving PLY. Payments were also made to 47 “nonpolluting” artisans and business The social unit of UGP/ADER-Fès, with the owners who would probably not be able to return assistance of a locally recruited social non- to PLY after the construction and restoration work governmental organization (NGO), completed a was completed, with the caveat that these artisans number of field surveys to document post- and business owners would have to apply the resettlement conditions for several categories of compensation to the acquisition of replacement PAPs. Given limited resources and time constraints, long-term commercial rents in the medina. The these efforts mainly focused on: (a) the eight same conditions were set for 30 artisans and residential households relocated from PLY; (b) the business owners from Foundouk Staounyyine who 47 “nonpolluting” artisanal workshops and would probably not be able to return to the businesses that had to leave PLY on the basis of Foundouk after the restoration work was payment of their “pas de portes”; (c) the four PAP completed. UGP/ADER-Fès followed up with these employees aged 15 or younger assisted in returning artisans and business owners to ensure that they to school; and (d) the 98 female PAP employees and had all rented new artisanal or commercial sites 35 underaged PAP employees assisted in registering after receiving their compensation. in functional literacy programs or technical training programs provided through the Centre Batha-Fès or Implementation Challenges through other registered training centers. Unplanned construction delays for individual and Resettlement Implementation collective replacement units in the Ain Nokbi industrial park combined with production Management of Resettlement constraints for artisanal copperware producers Implementation necessitated that additional compensation be paid to producers and subcontractors for lost income Updating of the census of artisanal workshop and during the mid-2012 to mid-2013 transition period. business employees at PLY and in the four The public bus company in Fez went out of Foundouks was conducted in the spring of 2012. The business, and the new private bus service refused to 2010 census of employees was considered outdated honor agreements made with PAPs, requiring the resettlement implementation unit to find 48 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits alternative solutions in collaboration with artisanal workers. Negotiations with appropriate training Summary of Innovative Practices centers also took a long time and caused unpredicted delays. Joint funding of the resettlement by the MCC and Unforeseen permanent and temporary resettlement the Government of Morocco constituted an in and around the square and in the vicinity of the innovative approach that built on the respective historic Foundouks that were to be restored also strengths of Moroccan expropriation procedures required that additional compensation payments that are well adapted to the compensation of be paid out to new PAPs. A total of 25 artisanal formally registered land and property assets and workshops and businesses had to be permanently of the World Bank’s involuntary resettlement or temporarily relocated from the Foundouks or policy (OP 4.12), which is better adapted to the from their immediate vicinity for safety reasons. management of losses related to informal sector These activities employed an additional 11 persons. activities. Other innovative practices included: Three additional residential households had to be  lanning and implementation of the – P temporarily relocated from the vicinity of the resettlement census and socioeconomic Foundouks, including two that required an studies in close collaboration with the local additional year of rent at an alternate location to artisan associations cover the duration of the renovations.  efining the eligibility requirements for each – D Additional compensation was required for nine category of PAP in the RAP’s entitlement matrix cases at PLY that were submitted for review to the in close collaboration with all concerned parties local grievance committee and that resulted in  esigning the resettlement strategy, including – D some favorable decisions, including claims construction of temporary work units, in close submitted by the Coopérative des Tanneurs, whose collaboration with members of the artisanal workshops were inaccessible during the RAP production chain census surveys.  egotiation of an agreement with an artisanal – N training center in Fez to provide vocational Such unexpected events put a lot of pressure on the training programs to eligible vulnerable PAPs resettlement implementation team and required (20 young women employees and 35 young that previous agreements with groups of PAPs be apprentices) and to provide specially tailored renegotiated under difficult circumstances and that functional literacy programs to 75 ineligible additional rounds of compensation payments be older women employees in collaboration with programmed and implemented on their behalf. It their employers. also necessitated that additional resettlement surveys and negotiations be conducted with newly identified PAPs at the same time that monitoring and evaluation of the ongoing resettlement activities was being rolled out. producers to Ain Nokbi undertaken in 2000–05 by the Urban Commune of Fez had been largely Local Capacity Building for Resettlement unsuccessful. Only a few producers had relocated their units before the start-up of the Fez Medina At the onset of the project, local municipal capacity resettlement process. Previous resettlement for managing complex urban resettlement activities conducted by ADER-Fès in the context of programs was relatively limited. The institutional other urban renewal programs in the medina had framework for resettlement rested on two also met with limited success and had left a legacy Moroccan government agencies that had little to no of distrust among local artisans. experience with resettlement—APP, which reported directly to the Prime Minister in Rabat, and a Preparation and implementation of the project Project Management Unit (UGP) set up in Fez resettlement action plan was conducted over a under ADER-Fès, an urban renewal agency that had four-year period in close collaboration with local been established with the support of the World authorities and local artisan associations, requiring Bank. Earlier efforts to resettle artisanal copperware significant capacity building efforts on the part of Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 49 the partner agencies involved in terms of training, payment of their “pas de portes” were able to public awareness activities, and specialized reestablish themselves at other locations in the technical assistance. This was achieved by MCC medina. All affected underage child employees and APP through the deployment of specialized successfully returned to school. Financial assistance supervision/oversight resources throughout the for functional literacy programs or technical planning and implementation process. Oversight training programs provided through the Centre missions with international resettlement specialists Batha-Fès or other registered training centers for 98 were planned by MCC and APP every trimester female PAP employees and for 35 underage PAP throughout the planning process and even more employees (aged 15–18) proved highly successful, frequently during the two-year implementation with a 100 percent participation rate. Vocational process, enabling local municipal agencies and training programs and functional literacy programs concerned populations to gain a better enabled a number of female employees to opt for understanding of resettlement processes conducted new career paths. according to international standards and to compare obtained results with previously The permanent relocation of copperware artisans unsuccessful resettlement efforts. from PLY to modern individual and collective production units in the Ain Nokbi industrial park 4.1.4 Results and Outcomes outside the medina and the provision of related facilities and services have enabled the full Field surveys conducted to document post- restoration of the production chain. Construction resettlement conditions confirmed that the eight of a new locale for the Association of Copperware residential households relocated from PLY were Artisans at Ain Nokbi offered the artisans a successfully resettled inside and outside the showcase for their wares. An artisanal training medina. The 47 “nonpolluting” artisanal workshops center used for functional literacy programs and businesses that had to leave PLY on the basis of provided by the Batha-Fès Artisanal Training 50 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Center was designated for female PAP employees. addressing the health and safety concerns raised by Eight copperware producers from PLY benefited artisans during the preparation of the RAP. from the reimbursement of the production units already built or were in the process of being built Priority access to artisanal shops in the redeveloped at Ain Nokbi as well as for related moving costs square and restored commercial buildings still and lost income. await project completion, which is being pursued under Government of Morocco funding. Full ownership of individual workshops in the newly built subcontractor Foundouk at Ain Nokbi 4.1.5 Conclusions and the establishment of a functional association have provided greater security to subcontractors in The Artisan and Fez Medina Project now serves as a the copperware production chain. The Foundouk model for future urban resettlement operations in includes facilities specifically designated for women the City of Fez. While high urban resettlement costs as well as a day care center for women employees. are of concern to local and national authorities, the fact that the resettlement program conducted for Additional commitments made by the project the project was carried out in full collaboration with steering committee (Comité de pilotage) in the first the beneficiaries constitutes a notable half of 2012 to upgrade the quality of public services accomplishment in the context of the Arab Spring. available at Ain Nokbi had also largely been met, Resettlement procedures and public consultation including the provision by the Région de Fès- processes adopted for the project have since been Boulmane and the Urban Commune of Fez for a applied by the implementation agency ADER-Fès to dedicated public bus route to Ain Nokbi as well as other resettlement activities in the Fez Medina. regular police patrols, weekly visits by medical personnel, improved street lighting, and the right to operate a few food stalls at Ain Nokbi, largely Key Lessons Learned The complexity of relocating an The management of unplanned medina was largely due to: (1) artisanal production chain in a events required large the daily onsite presence of the historical urban setting was resettlement contingency funds social unit of UGP/ADER-Fès and compounded by external factors and substantial investments in the local social NGO recruited such as construction delays for the supervision of the for these purposes; (2) the replacement units, overall resettlement implementation. credibility achieved by the project delays, and unforeseen Going forward, planners of Comité de proximité, which was additional resettlement and similar urban resettlement set up to handle local grievances compensation, among other operations should emphasize throughout the resettlement factors. Some of these problems adaptability and flexibility in implementation process; (3) the were related to the specific resettlement plans, including availability of substantial challenges associated with providing for important contingency funds to cover working in a historic medina, contingencies in resettlement unforeseen construction delays where resettlement surveys can budgets and additional and additional resettlement be particularly prone to errors supervision resources during requirements; and (4) the and where buildings are often at resettlement implementation. supervision/oversight resources risk of structural failure during The successful resettlement of that MCC and APP deployed demolition and restoration work. an artisanal copperware throughout the planning and production chain from the implementation process. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 51 Sustainable Development of the Walled City of Lahore Project— Before and After Resettlement Before After 52 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 4.2 Sustainable Development of The most significant factor in the success of the Walled City of Lahore Project, SDWCLP’s urban involuntary resettlement was Pakistan the development and implementation of a robust RAP, that included a highly successful model of 4.2.1 Rationale for Case Study social mobilization; benefit-sharing through a Selection livelihoods lens; citizen-led regeneration; and a consistent and field-based monitoring and Lahore is one of the oldest living cities in Pakistan, oversight strategy. The lessons learned confirm documented by historians and geographers since that this type of approach can bring about positive 1021 AD. During the Mughal period (1524–1707), and sustainable urban involuntary resettlement Lahore experienced unprecedented development, outcomes, and it demonstrates the importance of becoming a center of architectural, cultural, and incorporating resettlement as an integrated economic activities. Over time however, the method of urban regeneration. historic core of the city—the Walled City of Lahore—has been neglected, evidenced by a progressive population decline, the pauperization 4.2.2 Project Background of residential areas in favor of rapidly expanding commercial districts, the rapid demolition or Cultural Heritage erosion of heritage assets by commercial interests, poor maintenance of infrastructure, and a resulting There is an old Pakistani saying, “A person who has decline in the quality of life. This has kept the vast not seen Lahore is not born” (Ebbe 1998, 14). Many tourism potential of the Walled City of Lahore Pakistanis consider WCL to be the cultural heart of (WCL) unrealized. the country. The walled city flourished as a regional center under the Mughals in the seventeenth and There has been a growing and widely shared eighteenth centuries, but fell into decline in the acknowledgment that Pakistan’s cultural heritage mid-nineteenth century when it came under British assets are rich in potential for contributing to the control. The colonial masters shifted their attention reduction of poverty and the triggering economic to the newly established cantonment for the activity if they can be appropriately tapped for garrison and estates for civil service officers. Today, cultural tourism. This, in turn, could contribute Lahore is the administrative capital of Punjab and toward a softer impression of Pakistan. an important industrial and commercial center. In 2006, recognizing the need to preserve and WCL, located in the northwestern corner of Lahore, restore the cultural heritage of the historic city and contains an astonishing array of historic cultural to promote tourism and adaptive reuse, the assets, including mosques, forts, gateways, Government of Punjab, in partnership with the residential buildings, palaces, tombs, alleyways, and World Bank, launched a pilot project called the open squares. In addition to this rich architectural Sustainable Development of Walled City Lahore heritage, an intangible heritage thrives in the form Project (SDWCLP). Its objectives were urban of traditional cultural activities, economic regeneration and restoration of the historic core of initiatives, and social relationships. However, WCL Lahore. The initiative was a component within a is also currently home to some of the poorest larger effort supporting performance-based people working in metropolitan Lahore. Results management—the Punjab Municipal Services from a baseline socioeconomic household survey Improvement Project. showed a gross monthly income of Rs. 16,222 (US$165) for an average family of 5.7 persons. This case study highlights SDWCLP’s innovative Moreover, about 5–17 percent of WCL’s population urban involuntary resettlement approach, which falls in the lowest-income quintile. Crime levels are took special care in assisting the resettlement of high and literacy rates low. For many of these WCL informal shopkeepers and their employees, as well inhabitants, crammed into four square as households and residents in the project area of kilometers—a fraction of Lahore’s seven million the Walled City of Lahore. Livelihoods were residents—quality municipal services are rare. sustained and community-level service delivery was improved. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 53 Sustainable Development Walled City of conditions, which had major negative sociocultural Lahore Project and economic impacts on the approximately 150,000 residents of WCL. Just prior to the board approval of the Punjab Municipal Services Improvement Project, the SDWCLP aimed to reduce poverty and initiate Government of Punjab requested that World Bank economic activity in WCL, to improve the quality management provide funding for a cultural heritage and standards of living for the residents; to project. Since cultural heritage work in Pakistan improve the municipal services; to restore, had experienced a long hiatus, it was agreed that a conserve and put into adaptive use cultural cultural heritage component should be added to heritage assets; and to enhance local ownership of the Punjab Municipal Services Improvement the cultural heritage. A particular focus was on Project to enable the undertaking of the complex nurturing cultural tourism with the development preparatory work needed for such an initiative. The of restaurants, hotels, tourist transport, and SDWCLP pilot would include preparatory activities handicrafts. Most importantly, the community and the piloting of methods for a full-fledged would be involved in the development process. cultural heritage project in the future. SDWCLP focused on undertaking studies to The Shahi Guzargah (Royal Trail) and the streets recommend a rationalization for institutional emanating from it were selected as the pilot for mandates regarding the management of heritage implementation in order to showcase methods and assets; proposing appropriate amendments to benefits of the conservation of cultural assets and existing legislative frameworks; and implementing their productive use and reuse. The Royal Trail was a pilot project that included the creation of a the route taken by the Mughal emperors to reach heritage trail to showcase methods and benefits of the royal fort palace when they were returning from the conservation of cultural assets and their Delhi to Lahore. They entered WCL through the productive use/reuse.15 Delhi Gate, bathed in the Shahi Hammam (Royal Bath), and prayed in the Wazir Khan Mosque en The pilot project included: (i) provision of new route to the fort. Over the years, many of the private municipal infrastructure and services (below buildings along the route had either fallen into ground as far as possible) including electrical, disrepair, had been replaced, or had the adjacent communication, water supply, storm drainage, public spaces encroached upon. sewerage, and gas supply networks which are obsolete, inadequate, or completely absent; and Neighborhoods along the Royal Trail—and the (ii) rehabilitation of the urban fabric through facade infrastructure serving them—were in serious peril. and street improvements. Overcrowding, inappropriate zoning, pollution, and decay threatened the historic fabric of the area. In In order to begin work on the conservation, 1947, with the birth of Pakistan, there was a mass rehabilitation, and infrastructure improvement, exodus of Hindus and Sikhs from WCL, and an even various preparatory activities were undertaken by greater influx of refugees from across the Indian SDWCLP, the Aga Khan Trust for Culture, and the border. Due to the desperate need for shelter, Bank teams, including a topographic survey of the property that had been vacated by earlier residents entirety of WCL to serve as the geographic was occupied by refugees. Historic houses, many information system spatial base and to be used for stories tall as generations of families built on top of the design of infrastructure; an inventory of all each other, remained neglected as multiple families historic buildings in WCL, including land use occupied them. Moreover, occupants began to records, ownership, age, and historic values; a encroach on public space, dictated by their need for strategic plan for WCL; detailed physical more room. This was compounded by municipal documentation of all buildings in the pilot area; negligence in service delivery, creating slum-like and a socioeconomic household survey across 15 The initiative was instrumental in attracting the interest of the Aga Khan Trust for Culture in mid-2008. The trust signed a private-public partnership agreement with GoPunjab. It provided technical assistance for preparatory activities with requisite experts on topics that included heritage restoration and strategic planning for historic areas. 54 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits WCL that included 1,757 households.16 The initiative also included capacity building of Box 4: Punjab Municipal Services government officials, professionals and paraprofessionals in specialist skills needed for the improvement Project At a Glance preparatory and implementation activities. The project development objective was to improve The Neighborhood Demonstration the viability and effectiveness of the urban services Projects provided by the participating Tehsil Municipal Administrations (TMAs) and to make such Once the preparatory activities were completed and investments sustainable and replicable in other detailed designs of the infrastructure networks, building facades, and street furniture and paving TMAs through the creation of a performance-based were developed, the complex nature of the task at management framework at both the TMAs and hand became even more evident. Such urban provincial levels. regeneration work had never been done before, Component 1—Support for Tehsil Municipal particularly in such a congested historic Administrations through Capacity and environment. Moreover, numerous encroachments Development Grants: Capacity grants were used to on public space had to be removed. support institutional development through improvements in urban planning (GIS-based land- Therefore, a decision was made to test the use and infrastructure mapping); financial implementation of the civil works through two management; investment planning for service neighborhood demonstration projects in Gali delivery; operation and maintenance of assets; Surjan Singh and Muhammadi Muhallah—small, computerized complaint tracking and resolution; densely populated neighborhoods with main streets and customer surveys to monitor TMAs’ emanating from the Shahi Guzargah. The objectives performance. Development grants were to finance pursued for the two projects were to implement infrastructure investments (subprojects) in the TMAs, and evaluate design details, methodologies, to be awarded based on performance. processes, and techniques to be employed in the pilot project to ensure that they were practical and Component 2—Support for Other Institutions implementable. Two of the main challenges faced through Capacity Building and Other Activities: by the neighborhood demonstration projects were This component supported capacity building of the to change stakeholder perceptions regarding Planning and Development Department (P&DD), heritage assets and to sustain community including the newly established Sustainable participation in a meaningful manner. Development of the Walled City of Lahore unit responsible for implementation Cultural Heritage initiative; and the Local Government and Rural 4.2.3 Thematic Analysis Development Department including the Punjab Municipal Development Fund Company. Preparation of Resettlement Action Plan Cost of Project: US$ 59 million. Because one of the cultural heritage component’s Project Implementation: 2006–13. objectives was to upgrade capacity of the local government authorities to develop and implement Source: PSMIP Project Appraisal Document 2003 a program to restore and enhance the existing tangible cultural assets, a separate cultural heritage plan was not required. Involuntary resettlement was therefore the principal World Bank safeguard policy triggered by the project. The original project scope included the relocation of shops that were encroaching on the right-of-way (ROW) and the 16 The sample represented 8 percent of the estimated population. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 55 demolition of extended portions of legal residential pilot project, its objectives, and its benefits constructions within the ROW. through a series of meetings and consultations • Support the formation of female and male The scope of the pilot was soon expanded on community-based organizations and activist technical grounds, as networks for water supply, groups to develop ownership and communication sewage, or drainage could not be restricted to one channels main street, but had to include secondary and • Network with all stakeholders, including civil tertiary networks based on slopes and topography. society organizations, nongovernmental The additional work mainly involved residential organizations, government officials, informal neighborhoods along the Royal Trail. Here, the shopkeepers, and encroachers working or living initiative included the removal, relocation, and in the pilot project area rebuilding of parts of structures that had • Share details of the plans and the direct impacts encroached onto the streets and public domain. on the communities • Develop a grievance redress mechanism The RAP was prepared in June 2010. The pilot • Train and mentor community youth through a project originally planned to undertake the removal skills enhancement program linked to income- of 147 shops along the Royal Trail and expected to generating opportunities. affect another 732 shops on a temporary basis. An addendum to the RAP was developed and approved The SMT was hired by SDWCLP before the RAP had in May 2011 to cover the expanded scope of the been formulated. Therefore, it was able to assist in initiative. It identified 264 kitchens and washrooms information gathering required for developing the constructed as encroachments onto the public RAP. In the process, the team acquired invaluable realm to be relocated. Key elements of the RAP on-the-job training and got to know the included public participation and consultation, communities well. This helped begin the process of baseline development of the project area, impact building lasting relationships between the SMT and assessment and mitigation, an institutional community members. Once the RAP was approved, framework to implement the RAP, mechanisms to the implementation work was initiated through address grievances by affected persons during preliminary consultative meetings. project implementation, and the budget and institutional capacity to implement the RAP. A The SMT conducted over 1,000 meetings to create detailed census preceded the RAP, taking place after awareness among the potential beneficiaries and information about it had been widely disseminated affected persons of the pilot, including local trade and an announcement had been made regarding associations. The SMT also identified and trained the census cut-off date. youth in negotiation and conflict management skills to become activists of a lane or neighborhood The census listed all properties and occupants in in the project area, allowing them to become a part the project area to ensure that new encroachments of social activist groups. did not appear after the word had spread about the generous compensation package under the World Social activist groups were established to liaise with Bank-funded initiative. affected households and to help implement the rehabilitation and resettlement process. They Social Mobilization interfaced between SDWCLP and community- based organizations. They assisted in the SDWCLP had to ensure appropriate skill sets in negotiation process with property owners on the negotiation, conflict management and infrastructure and façade designs; shared details participatory process for social mobilization teams about the extent of needed encroachment removal; and carefully designed processes for full community signed agreements with property owners about participation and implementation of the RAP. To their and SDWCLP’s roles and responsibilities; this end, it established a social mobilization team prepared activity schedules and timelines for the (SMT) whose objectives were to: removal of encroachments and the implementation • Build awareness by informing, educating, and of civil works; informed residents before work mobilizing stakeholder communities about the began on their streets; and provided avenues for 56 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Box 5: Entitlement Matrix Nature of Loss Definition of Entitled Entitlements Implementation Issues Person • Compensation for the lost • Cash compensation for Loss of shop/ Head of household structure per the assessed value or structure if recognized residence by illegally occupying shop/ price by the revenue department of by the Department of informal residential land or provided it was certified by the Revenue settler/ squatting on the landowners per World Bank OP • Verification of the encroacher or proposed right-of-way as 4.12 owner unauthorized identified by the census • Owner’s income is below the • Compensation for loss occupant survey or as per poverty line of structure documentary evidence of • Cash grant for shifting (Rps. 10,000) • Transfer or shifting payment receipts issued of the shop/house from the defined charges as per affected by the owner of the Right of Way Preferences in person property employment during construction activities as income restoration and rehabilitation measure. Source: World Bank 2010; 2011d. conflict resolution through the SMT and the • SDWCLP reviews the case and addresses the grievance redress committee. issue as per provisions of the RAP in 15 days; • If resolution is not reached, case referred to the The Grievance Redress Mechanism GRC; • If a response is not received from the project The Grievance Redressal Mechanism developed within 15 days of receipt, the complainant can under the RAP had two levels of redress. In the first send a reminder to the SDWCLP with 15 days’ level, the CBOs, SAGs, and SMT, received all written notice to take legal action. Affected persons are and verbal complaints which were recorded / exempted from legal fees. documented by the SMT. If the case was not resolved within 10 days the case was referred to the Compensation Grievance Redressal Committee (GRC)—the second level of redress. Some of the main concerns during the stakeholder meetings were related to the need to sustain The GRC was composed of the Director General of livelihoods. The majority—64 percent—of the the SDWCLP as the GRC chairperson, the Director informal shopkeepers/encroachers were provided of Infrastructure SDWCLP, the District Revenue with cash compensation. Other PAPs requested: Officer, and representatives of affected groups17 and • Shops inside WCL with the same market value or trade organizations. The GRC process entailed the an alternate space in the Shah Alami Market or following: the Pakistan Cloth Market which were major • Affectee submits his/her application to the regional markets SDWCLP; 17 Affected Groups included: resident owners who live in the area and have their own shop; non-resident owners who live outside the Walled City and have their own property on the Royal Trail; resident tenants who run their shops, pay rent and reside within the walled city; non- resident tenants who run their shop but do not reside inside the Walled City; and encroachers and informal occupants. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 57 • Shops in the Jinnah Market, a property privately Technical training was provided to 48 youth in owned by a widow that was in close vicinity of the partnership with the Technical Education and Royal Trail project area Vocational Training Authority,18 after which many • A formula to be developed for a compensation youth found sustainable employment. The Aga Khan package. Foundation and the SAVIORS Foundation—an NGO working in the health field—established medical The SMT and social activist groups first engaged camps for hepatitis B and C and also distributed with the encroachers of the Shahi Haman—the plants for gardening. The responsible local 380-year-old royal bath just inside the Delhi Gate, governments coordinated with the SMT for remedial where project implementation was to commence. activities to prevent the spread of dengue fever. After sustained efforts and difficult negotiations, they succeeded in getting encroachers to agree to Security of Land Tenure and Property relocate outside the WCL, following payment of a Ownership mutually negotiated compensation package. In keeping with the requirements of OP 4.12, an In the context of resettlement in the Walled City of entitlement matrix was developed as a part of the Lahore, properties encroaching in the public right- RAP, keeping in view the nature of losses, of-ways were owned by private individuals/families, entitlements, and implementation issues (see the Lahore Municipal Corporation, the Auqaf below). This set a precedent for subsequent Department, the Archealogy Department, or the negotiations with other encroachers. Evacuee Trust Property Board. Two types of land- based assets were involved: commercial and In the residential streets, a key issue was that residential/commercial structures. No land bathrooms and kitchens had been constructed on acquisition was involved, but approximately 147 encroached land at street level, or on balconies shops and 264 encroachments on these assets protruding onto public space on upper levels. Their needed removal. removal meant that alternate spaces for these critical household needs had to be found and the Before the enactment of the Walled City of Lahore facilities replaced before the encroachments could Act, 2012 and the establishment of the Walled City be removed. This issue had not been anticipated, of Lahore Authority (WCLA), the compensation of resulting in additional effort and costs. The land-based assets on cultural heritage sites raised a technical teams set out to carve out spaces for number of challenges. While establishment of these facilities in the tiny houses, while the SMT ownership claims was challenging, it was sought to convince the households to agree to undertaken to ensure that affectees were eligible for relocate their bathrooms and kitchens. Because the compensation payments either as owners or majority of households could not afford to pay for encroachers. In the end, shop occupancy and the costs involved in such an endeavor, it was ownership were established by census survey or agreed that they would contribute 5 percent of the through documentary evidence of receipts of cost and the project would fund the rest. During the payments issued by the owner agencies of the course of implementation, contributions from properties (i.e., the Auqaf Department etc.) . households were raised to 15 percent as the beneficiaries realized the benefits of these For compensation, SDWCLP followed the Land interventions. Acquisition Act of 1894 (LAA) and the entitlement matrix developed for project-affected persons in The social mobilization efforts resulted in a number compliance with OP 4.12. The law governs of multisectoral and sustainable development acquisition of land for government development outcomes. Ten community-based organizations projects, sets the procedures for acquiring private were formed and supported in the project area, land for projects, and mandates the payment of many of which were headed by community elders compensation. It allows for a preliminary survey, who were highly respected and listened to by others. provides for the declaration of intended acquisition, 18 The Technical Education and Vocational Training Authority was formed through an ordinance by the Governor of Punjab to enhance the global competitiveness of Punjab with a quality and productive workforce, developing demand-driven, standardized, dynamic, and integrated technical education and vocational training service. 58 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits deals with detailed surveys and plans, provides for inquiry by the land collector into claims and Summary of Innovative Practices values, and allows for grievance redress at the district level civil court; it also sets the compensation levels based on market values. The The main innovative practices highlighted in this entitlement matrix allowed for the following: case study include: • Loss of structure—land-based structures were  he emphasis put on systematic analysis of – T replaced regardless of ownership title to the land urban livelihoods in the project area • Loss of a shop by informal settlers/ encroachers—preference was given for  he extent of the social mobilization process – T employment in construction as income put into place to support urban livelihood restoration; cash compensation included shifting reconstruction during resettlement the shop and compensation for the lost structure implementation • Loss of access to infrastructure services—e.g.,  he efforts engaged in integrating gender – T water supply, gas, electricity, sewerage, and perspectives in resettlement design and telephone; compensation included restoration of implementation, including gender surveys and the infrastructure facilities at the project’s targeted training activities for women expense  he strengthening of local institutional capacity – T • Community facility/common property resources to implement the RAP through training of local of affected persons were replaced with the same authorities and community associations in or better quality at project cost. impact assessment and mitigation, grievance redress mechanisms, public participation, and With the passing of the Walled City of Lahore Act social mobilization. 2012, WCLA has the mandate to register properties and their owners, and maintain a record of owners and occupants of immovable property located within the WCL. The Walled City of Lahore Twenty women were randomly selected as Authority is also responsible to develop land use respondents from nine side streets along the Royal plans and building control regulations for the WCL, Trail. All survey participants wanted better business and give approvals for change of land use as well as opportunities; they identified training and capacity new constructions. building in stitching, teaching, computers, and cooking as their priority needs. Some were trained Gender Inclusion Approaches through the Technical Education and Vocational Training Authority skills development program in Gender was mainstreamed in the RAP; women were total station19 usage for the detailed survey of the included in the surveys, focus group discussions, and whole walled city and were subsequently hired by group trainings. This was particularly important SDWCLP and the Aga Khan Trust for Culture. because access to, affordability of, and use of infrastructure facilities by women and men were Monitoring and Evaluation linked to inequalities in intra-household relations, property rights, and cultural restrictions. In WCL, the In view of the special nature of the project, gender ratio was 53 percent male and 47 percent monitoring and evaluation was undertaken not so female. For livelihood improvement, the SMT worked much through a formal system, but more through to build trade skills in plumbing, masonry, multiple and frequent missions by the Bank team to electrification, and carpentry, and developed a the project area, ensuring that the needs and partnership with the Technical Education and complaints of the community were heard and Vocational Training Authority to provide training addressed. SDWCLP established a field office in the programs for local residents. project area where the SMT and technical supervision staff was based. This ensured that SMT A gender survey was conducted by female members members remained engaged with the community of the SMT for affected females in the project area. on a full-time basis, and that they responded to 19 A total station is an electronic/optical instrument used in modern surveying and building construction. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 59 issues in real time. If problems persisted, they project lanes and neighborhoods, so they could surfaced during the visits by the Bank task team support the implementation of the resettlement during its numerous site visits. Frequently, these process. were coordination issues between the SMT and the technical teams. Capacity building was also provided to community-based organizations, the district Because the SMTs and engineers would generally revenue officers, trade associations, and accompany the World Bank task team, issues were representatives of affected groups in order to immediately discussed. If management attention facilitate implementation of the grievance redress was needed, the issues were promptly raised with mechanism developed under the RAP. In addition, SDWCLP’s director general. This approach the SMT developed skills in adaptive management complemented regular social mobilization by visiting the project site with World Bank staff implementation activities in which the SMT and and taking corrective actions in areas needing project engineers worked side by side to take attention. corrective actions. Monitoring and evaluation activities conducted for the RAP were therefore Local government capacity was strengthened more informal than would normally be required by through the environmental and social policy. Implementation of the RAP, however, was management framework and the resettlement conducted meticulously and thoroughly. policy framework prepared for the project. Procedures for consultations with stakeholders, Local Capacity Building for including vulnerable groups, were institutionalized Resettlement in project activities (World Bank 2014). As noted earlier, the scale of encroachment on the public space in WCL was significant and 4.2.4 Results and Outcomes represented the greatest challenge to the implementation of the pilot project. A large-scale Continuous stakeholder engagement around social mobilization effort was undertaken to contentious issues led to the identification of ensure a careful community-centered innovative solutions and effective implementation implementation of the RAP. Local institutional of the RAP. SDWCLP has left in place a living model capacity to implement the RAP was strengthened of citizen engagement in heritage restoration, by the training officials of local authorities and which can serve as a platform for citizen-led members of community organizations in public regeneration and tourism in the area. In participation, and social mobilization, grievance undertaking the resettlement action plan for the redress mechanisms, and impact assessment and SDWCLP pilot project in the Walled City of Lahore, mitigation. “the SDWCL unit was able to successfully pilot SDWCLP provided training to the SMTs to assist resettlement planning and benefit sharing in information gathering for the development of initiatives in a complex urban environment. the RAP. Team members were trained in field Some 147 shops and 264 encroachments were survey tools including data collection, data entry, removed, and 732 shops were provided and data analysis. Socioeconomic and project temporary support. The scale of consultations information from the surveys were used to was significant, with more than a thousand determine the potential project impacts and meetings conducted during RAP mitigation measures. The SMT was subsequently implementation. Through creating a replicable trained in social mobilization, conflict model of resettlement and citizen engagement management, and negotiation to ensure in urban cultural heritage conservation, the ownership of the resettlement process, and to project created a demonstration effect and determine compensation through participatory built staff capacity to manage social issues in a processes. In turn, the SMT provided training in complex setting” (World Bank 2014). conflict management and negotiation to social activist groups comprised of youth from the 60 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits “Social mobilization has been the key,” said Ahmad 4.2.5 Conclusions Bentarik, a sociologist running the Walled City of Lahore Authority’s20 effort to win the consent of the SDWCLP undertook a systematic analysis of urban local community for the project. “The aim is not to livelihoods in the project area (McMahon 2013). create a museum. Here we have to tackle all issues” Social mobilization processes ensured that urban (Burke 2013). livelihood reconstruction was informed by baseline studies and by detailed meetings with PAPs, which The results of the social mobilization process put led to an understanding of their needs and into place for the pilot project included: motivations. Most urban involuntary resettlement • Improved municipal services projects do not give adequate consideration to • Restored building facades and improved urban livelihood issues—a critical aspect in the lives of the streetscape urban poor. In fact, a relative neglect of livelihood • Historic dwellings conserved and upgraded with issues has long been noted as one of the most serious modern facilities shortfalls of urban resettlement policy (Choi 2013). • Increased owner equity participation in successive years—5 percent in 2010; 15 percent An understanding of livelihood concerns was as in 2011 critical as that of physical assets like housing and • Community representatives involved in the shops that were to be restored. The livelihood lens maintenance and upkeep of the street contributed to the fine-tuning of policy responses • Youth engaged in all aspects of voluntary work and reconstruction attempts in a way that was more • Youth willing to pursue or continue higher relevant to urban involuntary resettlement. For the education urban poor, the most acute issue can be the loss of • An increased sense of civic responsibility—e.g., physical assets—such as an investment in a structure no informal connections for power supply for over time—as well as their productive functioning at illumination during festivals. the sites of their livelihoods, the true value of which is usually neglected. The main innovative practices and lessons learned from the case study and are summarized above and opposite page. Key Lessons Learned A multisectoral approach is  ood social mobilization pays G Multiple interactions and site important huge dividends visits for learning on the job A paradigm shift is required in A livelihoods lens beyond mere provide invaluable insights into the perception of cultural land acquisition is necessary the needs and priorities of heritage assets beneficiaries and affected There are important persons Heritage conservation needs to interdependencies between a focus on both tangible and historic core and the Piloting and testing processes in intangible heritage assets surrounding metropolitan area complex settings before scaling up can pay huge dividends Insights into socioeconomic Public sector officials can feel aspects are critical to success challenged by new ideas  uccess depends greatly on S institutional capacity in requisite H  eritage-related initiatives fields require patience and perseverance Source: Arshad 2012. In the later years of the project, SDWCL was transformed into the Walled City of Lahore Authority, established under the Walled City of 20 Lahore Act of 2012 and developed with the project’s assistance. Livelihood Restoration for Informal Urban Occupations—Examples from Morocco and Pakistan 61 62 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits 5. Conclusions and Recommendations Addressing the Challenges of additional challenges to resettlement Urban Resettlement implementation. The urbanization trend of the last 50 years will Some of the issues specific to urban resettlement surely continue. It is anticipated that 2.7 billion have to do with the rural-urban transition itself. people will move to cities by 2030. Areas This is true both in terms of transition of rural experiencing slower urbanization will probably populations to urban areas and economic catch up with more urbanized cities, and a activities and in terms of the transformation of significant part of the new or expanding urban rural/periurban spaces into urban ones. areas will be in Asia and Africa. Urbanization and Evaluation, compensation, and replacement value the need for complex land acquisition and take on new levels of complexity. Similarly, involuntary resettlement will follow hand in hand. because of the density of urban areas The challenges of managing dense urban areas, with characteristics of transportation networks, land the accompanying need for transportation, water situated in adequate locations for resettlement management, and social services, will be significant. destination areas is scarce. It is difficult to separate the strict resettlement of Delays, budget overruns, and other unexpected project-affected people from programs and policies occurrences are compounded by challenges of benefiting urban spaces and social services in scale. This is to be expected. Everything that is contemporary urban areas. Resettlement is often challenging in the resettlement process, including intertwined with housing programs, blurring enumerating the affected population, defining boundaries between affected peoples and eligibility for compensation and assistance, and beneficiaries. Urban planning and the managing civil works, becomes more difficult displacement of poor urban populations to city when the numbers affected are large and when outskirts through gentrification processes also economic activities and land occupation are raise important issues related to social exclusion informal. Unforeseen circumstances commonly and marginalization. create difficulties. Because of this, significant variations in initial projected resettlement budgets Because of the density of areas to be resettled, for a single project can be considered good practice urban resettlement often involves challenges of when integrated into overall project planning. scale. The numbers of people to be resettled, the financial and human resources needed, and the This report covered several aspects of urban difficulties involved in managing projects of such involuntary resettlement in each case study. magnitude make resettlements complex However, the cases in the report focused on three endeavors. Nevertheless, urban resettlements differ main issues or areas of innovation in urban from rural resettlements in a number of ways involuntary resettlement: innovative country beyond the issues of magnitude and spatial density. systems, relocation of informal urban settlements, Urban settlements densely occupy space in a way and livelihood restoration for informal urban that is characterized by specific social networks occupations. The three sections below summarize and complex economic relations. Often, the main conclusions drawn from the case studies informality of tenure and economic activities for each of these issues. The final section figures prominently as a concern, adding summarizes the findings and recommendations of the report. Conclusions and Recommendations 63 Innovative Country Systems policies play an important role in resettlements— and always will—they need to be applied in Resettlement is a development issue that goes tandem with large-scale policy approaches. The beyond safeguard policies. There is a growing development of country systems is part of the recognition that urban issues go beyond questions wider view on how to address problems relating to of policy management. This is clearly indicated by resettlements. A good example of this is presented the use of housing programs as a solution to in the case study on the 2013 Brazilian ordinance resettling populations, including infrastructure on involuntary resettlement that seamlessly development, disaster risk management, and the connects with the Brazilian federal housing tackling of the existing gaps in housing solutions for program with its complementary approach to the low income citizens, as illustrated in the Brazilian provision of social services. case study included in this report. What does it mean to support the development of Globally, there has been progress in the adoption of country systems for social and environmental legal frameworks that are aligned with international management? Following the successful example of resettlement standards, such as in the cases of India the cooperation between the World Bank and the and Brazil, but there is still a great deal to be Ministry of Cities of Brazil, it means developing achieved in most countries to change approaches organic relationships. It means helping to create that rely mainly on compensation toward more innovative solutions for a country’s problems. It comprehensive processes capable of ensuring the requires persistence throughout the length of the restoration of living conditions and livelihoods for process, allowing time for the development of resettled populations. relationships, the engagement of stakeholders, and maturing of the dialogue. Beyond this, there Some of the benefits of adopting good practices at remains the challenge of helping build capacity for the national level are: resettlement in the context of the relative regulatory • Obvious benefits in terms of social development and administrative autonomy of a large number of and poverty alleviation municipalities, each with their own issues and • Mitigation of reputational risks capacity challenges. The significant results that can • Mitigation of social risks and avoidance of be achieved at a very low cost through such conflicts linked to land acquisition and capacity building efforts justify the effort. resettlement • Minimization of risks of project delays and cost overruns Relocation of Informal Urban • Facilitated access to international public and Settlements private financing because resettlement has become a requirement of most international Both case studies reviewed under this theme reveal financing institutions and large commercial bank the importance of participative resettlement signatories of the Equator Principles. censuses and surveys in large informal settlements and World Bank efforts to support capacity building It is clear that, as a notion, resettlement presents for relocation of informal urban settlements. limitations to understanding the complex phenomenon of causes, solutions, and policies The highly challenging Mumbai Urban connected to urban displacement. Displacement Transportation Project in India was remarkable for caused by diffuse changes like gentrification—or its use of participatory slum enumeration and even displacement that is triggered by resettlement planning with the assistance of local infrastructure projects—is clearly connected to nongovernmental organizations. This was also the public policies, housing gaps in urban areas, and case for the Urban Development Project in social services. The problem of displacement by Nouakchott, Mauritania, which was particularly development projects and resettlement of project- noteworthy for its development of an integrated displaced people exists in contexts of urban spatial urban planning approach in which resettlement and social services planning and implementation. operations conducted for displaced households in Multidimensional problems cannot be solved with the El Mina slum dovetailed with urban renewal one-dimensional solutions. While safeguard 64 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits operations for the majority of households remaining has, in fact, been noted as one of the most serious in the slum. shortfalls of urban resettlement for some time. The MUTP supported the development of a The combination of continuous stakeholder guidance note urban resettlement (World Bank and engagement and adaptive management led to Government of Maharashtra 2009) that was agreement on contentious issues, innovative prepared based on workshops with representatives solutions, and effective implementation of the from other Indian cities involved in urban slum resettlement action plans. Both projects highlight clearance programs (Chennai, Delhi, and the important requirements of complex urban Hyderabad). The UDP sponsored the development resettlement activities in terms of supervision/ of a specialized El Mina sourcebook (World Bank oversight resources that must deployed by funding 2007a) on urban slum rehabilitation and clearance agencies throughout the planning and programs that was subsequently used by the implementation process. Government of Mauritania for similar operations conducted in other slums of the capital city and Both projects also offer fascinating perspectives on other regional cities without donor support. These resettlement operations conducted in heritage capacity building initiatives are creditworthy and urban centers. They have each left in place living have contributed to the development of better models of citizen engagement in heritage country systems for involuntary resettlement. restoration, which can serve as platforms for citizen-led regeneration and tourism. Livelihood Restoration for Informal Urban Occupations Main Findings and Recommendations The two case studies reviewed under this theme demonstrate the importance of quality Although the challenges of each urban resettlement socioeconomic baseline surveys for identifying project are somewhat unique, there are livelihood restoration needs related to informal commonalities between successful approaches, urban occupations, the critical role played by social some of which have been promoted by resettlement mobilization and grievance mechanisms in the specialists for a long time. These factors of success management of complex operations involving the are summarized below: restoration of informal sector livelihoods in urban environments, and the need for adapted monitoring Transparency and participation. Sometimes seen and evaluation processes to assess the outcomes of by resettlement implementers as weakening their livelihood restoration measures and make negotiating position, transparency and adjustments as needed. participation actually increase the likelihood of successful outcomes. The Mumbai case study was Both the Artisan and Fez Medina Project funded by remarkable for its use of participatory slum the Millennium Challenge Corporation in Morocco enumeration and resettlement planning with the and the Sustainable Development of Walled City in assistance of local nongovernmental organizations. Lahore Project in Pakistan funded by the World The Lahore case study featured a highly successful Bank undertook systematic analyses of urban model of social mobilization for attaining buy-in livelihoods in the project areas. Social mobilization and engagement from project-affected persons. processes ensured that there was a grasp of urban livelihood reconstruction through baseline studies Understanding of informal economic and social and detailed meetings project-affected persons that networks. All four of the project-specific case led to an understanding of their needs and studies in this report highlight the need to motivations—a critical aspect of the life of the properly understand informal economic and urban poor that is frequently does not receive the social networks affected by resettlement and to consideration and attention it deserves in the define areas of influence and impacts of planning of urban involuntary resettlement resettlement operations. This is largely done projects. This relative neglect of livelihood issues through participatory studies carried out in informal residential and commercial Conclusions and Recommendations 65 communities, including through systematic implement the resettlement action plan was analysis of informal urban livelihoods—as strengthened through training of local authorities illustrated in the Fez and Lahore case studies—or and community associations in impact assessment through self-administered surveys with local and mitigation, grievance redress mechanisms, nongovernmental organizations—as illustrated in public participation, and social mobilization. The the Mumbai case study. development of specialized resettlement sourcebooks for informal urban settlements in the Adaptive management of resettlement Mumbai and Nouakchott projects also contributed operations. Backed by contingency budgeting and to the dissemination of best practices in other integrated activity scheduling, adaptive Indian and Mauritanian cities. management of resettlement operations can help address unforeseen challenges related to the high Integrating the planning of urban resettlement level of complexity of urban areas and their related into a wider municipal urban planning and economic and social networks. Equally important housing policy context. As illustrated by the are additional supervision resources during Mumbai and Nouakchott case studies, the success of resettlement implementation. The need for urban resettlement programs is largely linked to thorough planning is central, but a resettlement their successful integration into the wider context of plan cannot be expected to cover all outcomes at urban development and renewal. This was this level of complexity. Successful urban illustrated in the Mumbai case study when the resettlement projects are generally supported by Maharashtra state government encouraged private flexible and adaptive planning and implementation sector participation in the resettlement program by processes and by appropriate financial resources. offering additional development rights or transfer of development rights/floor space index to private Postresettlement socioeconomic surveys and developers willing to resettle slum dwellers in independent monitoring and evaluation. While modern buildings at their own cost. This was also resettlement monitoring activities were regularly illustrated in the Nouakchott case study, which was conducted for all four of the project-specific case particularly noteworthy for its development of an studies covered in this report throughout integrated urban planning approach in which resettlement implementation, large-scale resettlement operations conducted for displaced socioeconomic surveys to evaluate the extent to households in the El Mina slum dovetailed with which resettlement outcomes were successful and urban renewal operations for the majority of livelihoods were restored after project completion households remaining in the slum. was only done for one of the case study projects— the Mauritania Urban Development Project. These Strengthening of country systems. While most surveys were complemented by independent countries have well enshrined eminent domain and monitoring and evaluation. Such good practices expropriation laws and procedures, only a very should be encouraged and budgets provided for in limited number of countries have legal frameworks complex urban resettlement operations. and procedures aimed at ensuring that land acquisition and involuntary resettlement go beyond Local capacity building and dissemination of compensation for lost assets and require that good urban resettlement practices. The case affected livelihoods be restored or even improved. studies highlighted the importance of local capacity Efforts at strengthening country systems aim to building in ensuring successful outcomes in urban address these gaps. Although the application of resettlement. Training, public awareness, and international resettlement standards continues to specialized technical assistance funded through the be of central importance in development projects, Artisan and Fez Medina Project enabled local initiatives to strengthen country systems for urban municipal agencies and concerned populations to resettlement and urban planning also allow for a gain a better understanding of resettlement more systemic approach at the national level, processes conducted according to international building capacity and integrating involuntary standards and to compare the results obtained with resettlement and land acquisition into the larger previously unsuccessful resettlement efforts context of urban development and housing policies conducted in compliance with national standards. and programs. In Lahore, Pakistan, institutional capacity to 66 Urban Land Acquisition and Involuntary Resettlement: Linking Innovation and Local Benefits Clearly, there is a need to further establish linkages measures—such as affordable land and housing between urban planning and housing policies on the development through formal channels to address one hand and urban involuntary resettlement the flow of new housing demands. This report has practices on the other. This could involve, for not touched on important issues related to the instance, promoting innovative in situ approaches to functioning of urban land markets and housing urban resettlement or combining curative market dynamics in cities and historic centers or measures—such as slum upgrading to address their linkages to urban involuntary resettlement. 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