Page 1 1 Draft Islamic Republic of Afghanistan E NVIRONMENTAL AND S OCIAL M ANAGEMENT F RAMEWORK ( MAIN REPORT ) For the Irrigation Restoration and Development Project January 8, 2011 The Director Project Coordination Unit Ministry of Energy and Water Islamic Republic of Afghanistan E2635 Page 2 2 Contents A CRONYMS .............................................................................................................................................................4   EXECUTIVE SUMMARY.......................................................................................................5   I.   BACKGROUND AND PROJECT CONTEXT .............................................................7   I.1   P ROJECT O BJECTIVE ...............................................................................................................................8   I.2   P ROJECT D ESCRIPTION ...........................................................................................................................8   I.3   I MPLEMENTATION A RRANGEMENTS .....................................................................................................10   I.4   P OTENTIAL N EGATIVE I MPACT .............................................................................................................10   II.   PURPOSE OF THE ESMF............................................................................................17   II.1 ESMF G ENERAL G UIDELINES ......................................................................................................................17   II.2   A SSESSMENT OF ESMF IMPLEMENTATION IN OTHER PROJECTS ........................................................18   II.3   W ORLD B ANK O PERATION P OLICIES TRIGGERED IN IRDP ................................................................18   III. POLICY, LEGAL AND REGULATORY FRAMEWORK.........................................20   III.1   E NVIRONMENT L AW OF A FGHANISTAN , 2007......................................................................................20   III.2   N ATIONAL E NVIRONMENTAL P ROTECTION A GENCY (NEPA)............................................................20   III.3   I MPLICATIONS OF THE E NVIRONMENT L AW AND THE EIA R EGULATION FOR IRDP PROJECT ........21   III.4   W ATER L AW AND THE W ATER S ECTOR S TRATEGY (WSS).................................................................21   III.5   L AW ON L AND E XPROPRIATION , (LLE) 2005 ......................................................................................22   III.6 C OMPARISON BETWEEN THE L AW ON L AND E XPROPRIATION AND WB OP 4.12...................................24   III.7   L AW ON P RESERVATION OF A FGHANISTAN ’ S H ISTORICAL AND C ULTURAL A RTEFACTS , 2004........29   III.8   M INE R ISK M ANAGEMENT ....................................................................................................................29   IV. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)...29   IV.1 S TAKEHOLDER IDENTIFICATION , CONSULTATION AND PARTICIPATION ...................................................29   IV.2 E NVIRONMENTAL AND S OCIAL B ASELINE ..................................................................................................30   IV.3   I NSTITUTIONAL A RRANGEMENTS .........................................................................................................32   IV.4   I NSTITUTIONAL C APACITY B UILDING ...................................................................................................32   IV.5   C APACITY B UILDING OF M IRABS AND CDC S ......................................................................................33   IV.6   M ONITORING AND E VALUATION ...........................................................................................................33   IV.7 G RIEVANCE AND C OMPLAINTS R EDRESS ...................................................................................................34   IV.8   B UDGET FOR E NVIRONMENTAL AND S OCIAL S AFEGUARDS C OMPLIANCE .........................................34   IV.9 C OMMUNICATION ........................................................................................................................................35   IV.10. D ISCLOSURE ..............................................................................................................................................36   V. PROCESS AND RESPONSIBILITIES OF SOCIAL AND ENVIRONMENTAL SCREENING/ASSESSMENT ...............................................................................................36   V. 1. O VERVIEW :..................................................................................................................................................36   V. 2. O RGANIZATIONS S TRUCTURE AND R ESPONSIBILITIES ..............................................................................39   ANNEX 1 – NEGATIVE LIST OF SUB-PROJECT ATTRIBUTES................................45   ANNEX 2A – PUBLIC ANNOUNCEMENTS.....................................................................46   ANNEX 2B – ALIGNMENT DETAILS FOR DISCLOSURE...........................................47   ANNEX 2C – OUTPUTS OF TRANSECT WALK.............................................................48   ANNEX 3 – SUB-PROJECT SCREENING CHECKLIST................................................49   Page 3 3 ANNEX 4 – PROTECTION OF CULTURAL PROPERTY..............................................53   ANNEX 5 (A) – TYPICAL ENVIRONMENT IMPACTS AND MITIGATION MEASURES SUB-PROJECTS..............................................................................................55   ANNEX 5 (B) – TYPICAL SOCIAL IMPACTS AND MITIGATION MEASURES SUB-PROJECTS.....................................................................................................................59   ANNEX 6 (A) –ACTIONS UNDER THE RPF ....................................................................64   ANNEX 6.B. – COMPENSATION ENTITLEMENTS AND RATES UNDER THE RPF ...................................................................................................................................................68   ANNEX 7 – TEMPLATE FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP).........................................................................................................................74   ANNEX 8 – ENVIRONMENTAL IMPACT ASSESSMENT PROCEDURE AT NEPA75   ANNEX 9A – TRAINING ACTION PLAN FOR ENVIRONMENTAL AND SOCIAL SAFEGUARDS........................................................................................................................76   ANNEX 9B – TRAINING AND CAPACITY-BUILDING ACTIVITIES AT DIFFERENT LEVEL.............................................................................................................77   ANNEX 10 A – WORKING WITH NGOS TO MITIGATE/RESOLVE LAND AND WATER CONFLICTS ...........................................................................................................79   ANNEX 10 B - SELECTED NGOS ENGAGED IN LOCAL PEACE BUILDING IN AFGHANISTAN.....................................................................................................................80   ANNEX 11 – SCHEDULING AND REPORTING BY PCU REGIONAL ENVIRONMENTAL AND SOCIAL ASSISTANTS...........................................................81   ANNEX 12 – PROCEDURES FOR MINE RISK MANAGEMENT IN WORLD BANK- FUNDED PROJECTS IN AFGHANISTAN ........................................................................82   ANNEX 13 - EIRP: ESMF ASSESSMENT CONSULTATIONS.....................................87   ANNEX 14 – FORMAT FOR LIMITED ENVIRONMENTAL ASSESSMENT (LEA).89   ANNEX 15 – GENERIC TERMS OF REFERENCE FOR A FULL ENVIRONMENTAL ASSESSMENT...................................................................................91   ANNEX 16 – SAMPLE TERMS OF REFERENCE FOR SOCIAL IMPACT ASSESSMENT ........................................................................................................................98   ANNEX 17: LAND ACQUISITION AND RESETTLEMENT POLICY FRAMEWORK.....................................................................................................................104   ANNEX 18 – PRELIMINARY ENVIRONMENTAL AND SOCIAL ASSESSMENT OF SMALL DAM SITE THROUGH REMOTE SENSING...................................................166   ANNEX 19: COMMUNITY CONSULTATION SUMMARY FOR TWO DAM SITES .................................................................................................................................................170   Page 4 4 Acronyms AP Affected Person CDC Community Development Council CWDA Community Water Development Assistant EIA Environmental Impact Assessment EIRP Emergency Irrigation Rehabilitation Project EMP Environmental Management Plan ESS Environmental and Social Safeguards Staff of the PCU ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESSO Environmental and Social Safeguards Officer FAO Food and Agricultural Organization GPs General Policies GOA Government of Afghanistan HDI Human Development Index HLP Horticulture and Livestock Project HQ Headquarters IDA International Development Association IEC Information Education & Communication IA Irrigation Association LARAP Land Acquisition and Resettlement Plan LARPF Land Acquisition and Resettlement Policy Framework LEA Limited Environmental Assessment MACA Mine Action Center for Afghanistan MAIL Ministry of Agriculture, Irrigation and Livestock MAPA Mine Action Program of Afghanistan MEW Ministry of Energy and Water NRVA National Risk and Vulnerability Assessment NGOs Non Government Organizations NEPA National Environmental Protection Agency NERAP National Emergency Rural Access Project NSP National Solidarity Program OP Operational Policies O&M Operation and Maintenance OM Operational Manual PCU RPF Project Coordination Unit Resettlement Policy Framework RAP Resettlement Action Plan RBOs RPF River Basin Organizations Resettlement Policy Framework SIA Social Impact Assessment UNEP United Nations Environment Program WB World Bank WHO World Health Organization WUA Water Users Association Page 5 5 Afghanistan Irrigation Restoration and Development Project Environment and Social Safeguards Management Framework Executive Summary Project Objective The project objective is to increase agriculture productivity and production in the project areas. Project Components The project would have the following four components: (i) rehabilitation of irrigation infrastructure, (ii) small dams development; (iii) establishment of Hydro-Meteorological Facilities and services; and (iv) support for project management, construction supervision, monitoring and evaluation and institutional strengthening Environment and Social Management Framework The IRD project would build upon and scale up activities supported under the on-going Emergency Irrigation Rehabilitation Project (EIRP). In addition, it would also support MEW in making a modest start towards developing Afghanistan’s water resources for irrigation comprising a small dams development program in closed river basins that are free of trans- boundary riparian issues. While bulk of the project investment will be in rehabilitation of existing irrigation systems the small dams component and large rehabilitation schemes may involve land acquisition and resettlement. The project has, therefore been categorized in Environmental Category A. Since the precise scope and design of large schemes and small dams is not yet known an Environmental and Social Management Framework (ESMF) has been prepared in lieu of a full environmental and social assessment. The ESMF includes a Resettlement Policy Framework that would be applied to prepare site/scheme specific resettlement action plan (RAPs) if land acquisition and/or resettlement are involved. In addition baseline surveys of ten potential dam sites have been prepared through remote sensing using remote sensing technology and digital elevation modelling to make a preliminary assessment of the social and environmental impact. During preparation of the present ESMF, the experience of implementation of ESMFs in several projects (NSP, NERAP, HLP, EIRP and other projects) in Afghanistan was reviewed and good practices and lessons learned have been incorporated into the present ESMF including guidelines regarding grievance redressal and community consultations. The project has also developed a comprehensive matrix of all anticipated adverse environmental and social impacts of supported activities, as well as their monitoring and mitigation measures. The ESMF prescribes guidelines and procedures that would avoid, mitigate, or minimize adverse environmental and social impacts of supported activities and interventions. The ESMF was prepared by the Government of Afghanistan (GoA) in accordance with definitions provided in the World Bank Policies on Environmental Assessment (OP 4.01), Involuntary Resettlement (OP4.12), Dam Safety (OP 4.13), and Projects on International Waterways (OP/BP 7.50) as well as relevant national laws and legislations. The ESMF is based on the following principles: Page 6 6 The proposed project will support multiple sub-projects, the detailed designs of which may not be known at appraisal. To ensure the effective application of the World Bank’s safeguard policies, the Framework provides guidance on the approach to be taken during implementation for the selection and design of sub-projects, and the planning of mitigation measures. All proposed sub-projects will be screened to ensure that the environmental and social risks are adequately addressed through the application of standardized guidelines; The ESMF includes screening checklists to help identify potential subproject social and environmental impacts and to avoid, reduce and/or to mitigate these impacts of subprojects such as: Environmental and Social Screening & Assessment Procedure; Subproject Screening Checklist; typical impacts and mitigation measures; community participation and consultation; environmental and social management plan (ESMP); and monthly progress reports. Project design and sub-project selection will aim to maintain regional balance along gender, ethnic and religious groups, considering variations in population density. Employment opportunities within the projects will be available on an equal basis to all, on the basis of professional competence, irrespective of gender, or ethnic or religious group. In all subprojects which require consultations with local communities or beneficiaries, consultations will be conducted to elicit the views of both the male and the female population; and Environment and Social safeguards are not only donor-driven requirements but are also required by national legislation such as Environment Law, EIA regulation, EIA policy and other related laws. As with many regulations, the challenge is to apply them and monitor their implementation and ensure that they are mainstreamed in the project’s operations. Consultation and disclosure requirements will be simplified to meet the special needs of this project. This Environmental and Social Management Framework will be disclosed in Afghanistan in Dari and Pashto, and at the World Bank InfoShop. The project will deploy social and environmental staff at the headquarter level as well regional field offices of the project coordination unit (PCU) to implement the provisions of the ESMF. Related training and capacity building is an essential element of the project design. A technical assistance team supplied by FAO would provide technical assistance, oversee, monitor and report on compliance with the ESMF. In addition an independent third party would be employed to report on compliance with the ESMF. Where any land acquisition and resettlement is involved detailed Social Impact Assessment (SIA) and Resettlement Action Plans (RAP) would be prepared with appropriate arrangements for independent monitoring. Page 7 7 Afghanistan Irrigation Restoration and Development Project Environment and Social Management Framework I. Background and Project Context Agriculture –the main stay of the Afghanistan economy- has suffered due to the long conflict. There has been strong, though slowing, economic growth in Afghanistan since 2002, with the GDP growth varying between 9 percent and 16.2 percent 1 . The per capita annual income has increased from US$189 in 2002/03 to US$426 in 2008/09. However, despite ongoing reconstruction efforts Afghanistan remains one of the poorest countries in the world. In 2009, Afghanistan ranked 181 out of 182 countries on the global Human Development Index (HDI). According to the 2008 National Risk and Vulnerability Assessment (NRVA), 36 percent of the population was below the poverty line. Over 70 percent of the population lives in rural areas largely dependent on agriculture and livestock, which together account for approximately 40 percent of the total GDP. Improved agricultural performance offers significant prospects for raising farmer incomes, improving food security, providing rural employment, and reducing vulnerability. However, agriculture and livestock productivity has declined significantly as a result of decades of conflict, systematic destruction of productive rural infrastructure, insufficient basic services, low availability of inputs and a major reduction in irrigated area as compared to pre-war levels. Irrigation is key to agriculture recovery. With only 12 percent of the total land being arable 2 and the country’s arid climate 3 , irrigation is essential for reliable agricultural production in most of the country. Irrigated agriculture -which accounts for bulk of the total production of cereals and other crops 4 -was the worst affected by the continuing insurgency, as maintenance was neglected leaving the irrigation systems in a state of disrepair. Irrigated area decreased by almost 70 percent and crop productivity fell below 50 percent of the pre-war levels. In 2008, the wheat crop failed because of delayed and low precipitation (rain and snow) resulting in a wheat deficit of over two million tons, further highlighting the critical importance of irrigation supplies for food security in the country. The need for rehabilitation remains large. While Afghanistan needs to invest in developing new water resources for irrigated agriculture and other multi-sector needs, restoration of existing systems remains a high priority. Despite significant achievements in rehabilitation to date, Afghanistan's remaining needs for irrigation rehabilitation are still large. The total irrigated area in the country prior to 1979 was about 3.2 million ha but in 2007 it was only 1.8 million ha although water availability in the rivers was good. Until now only about 0.9 million ha has been rehabilitated. The Government is rehabilitating irrigation systems all over the country under the Emergency Irrigation Rehabilitation Project (EIRP) since 2004. This project is due to close on March 31, 2011. The overall performance of this project has been satisfactory with over 750 irrigation schemes of varying sizes covering about 0.65 million ha rehabilitated, 105 hydrological stations installed, and a capacity building program 1 World Bank World Development Indicators 2 A major part of the country comprises of mountains and deserts. 3 The average annual precipitation (rain and snow) is approximately 250 mm and varies from 60 mm in the south western parts of the country to 1200 mm in the north eastern Hindu Kush Mountains. Evapo- transpiration (a proxy for plant water requirements) ranges between 1200 mm in the Hindu Kush to more than 1800 mm in the south west. 4 Yields from irrigated lands are manifold higher than rain fed areas. Page 8 8 initiated in the Ministry of Energy and Water (MEW) supported by one IDA Credit and three IDA grants amounting to US$ 127.5 million. Monitoring data indicate that the rehabilitation interventions have resulted in an increase of over 130,000 ha in irrigated area; substantial increases in crop yields, and a substantial reduction in water related disputes. In view of this, the proposed IRD project is being formulated to continue the rehabilitation program as well as to initiate a small dams program to develop water resources together with necessary capacity building activities. I.1 Project Objective The project objective is to increase agriculture productivity and production in the project areas. The strategy for achieving the PDO would include: (i) assisting local communities/farmers to rehabilitate irrigation schemes; (ii) re-establishing hydro- meteorological services in the country to provide improved access to hydro-met data to enable preparation of improved and more cost effective designs of rehabilitation and development works; and (iii) continuing capacity building in MEW for preparing and implementing irrigation/water resource development projects I.2 Project Description The project would build upon and scale up activities supported under the on-going EIRP. In addition, it would also support MEW in making a modest start towards developing Afghanistan’s water resources for irrigation comprising a small dam development program in closed river basins that are free of trans-boundary riparian issues. The project would have the following components. Component A: Rehabilitation of Irrigation Infrastructure (US$70 M): This component would support the rehabilitation of medium and large irrigation schemes 5 covering a total irrigated area of about 300,000 ha that would benefit approximately 230,000 households and increase irrigated area by about 87,000 ha. This component will be designed and implemented using the successful model6 that is being followed under the EIRP all over the country. However, greater involvement of existing institutions (e.g. CDCs or clusters of CDCs) will be sought to facilitate project activities. Typical rehabilitation works would include improving canal intake structures, conveyance channels (main canals), wash structures (water bridges/super passages to allow safe passage of hill torrents over canals), siphons, aqua ducts and other river crossing structures, culverts, and control structures. Mini/micro-hydro- electric generation, drinking water supply and small roads needed for construction and operation and maintenance would be considered where feasible. Irrigation scheme designs would be closely coordinated with on-farm development works that would be implemented by the Ministry of Agriculture Irrigation and Livestock (MAIL) under the proposed On-farm Water Management (OFWM) Project that is currently under preparation 7 . Component B: Small Dam Development (US$30 M): This component would support the design and construction of a limited number of multi- purpose small dams and appurtenances, and associated irrigation conveyance and distribution 5 Including completion of contracts started under the EIRP. 6 The EIRP responds to requests from local communities for rehabilitation of community managed irrigation schemes all over the country. Communities are closely involved in design, implementation and quality control. 7 The Afghanistan water law assigns responsibility for on-farm water management interventions to MAIL, while interventions in the upstream parts of the irrigation system (canal intakes, main canals and associated structures) are the responsibility of MEW. Page 9 9 systems. The selected dams would be located in closed river basins that are free of trans- boundary riparian issues. Twenty two potential sites have been identified based on requests from local communities for dam construction in the northern closed river basins and preparation of feasibility studies 8 is proceeding and would be completed by May 2012. Subsequently detailed design would be prepared under a design and construction supervision contract. Actual construction of small dams would commence in 2013 allowing three full construction seasons before the project closing date. This component would also support development of the capacity in MEW and local institutions [ Mirabs (community water managers), CDC and clusters of CDCs] to carry out operation and maintenance. Component C: Establishment of Hydro-Meteorological Facilities and Services (US$5 M): Under the ongoing EIRP hydro-met facilities, including 105 hydrological stations, 60 river flow measurement stations, and 56 meteorological stations are being established, and a start has been made in building capacity for hydro-met data collection and collation. This component of the IRD project would build upon the work done under the EIRP and support the establishment of an efficient and effective hydro-meteorological service, including the provision of hardware 9 and software, field equipment and transport facilities, as well as training of MEW staff in data collection, analysis and dissemination. Twinning arrangements would be considered with countries with well developed hydro-meteorological services to help develop capacity of MEW’s hydro-meteorological department. Component D: Project Management, Construction Supervision, Monitoring and Evaluation and Institutional Strengthening (US$40 M): This component would include the following five sub-components: D1. Support for project management and supervision. This would include support for overall project management, procurement, contract management, financial management, survey, preparation and design of irrigation schemes and small dams, construction supervision and quality control, implementation of environmental and social management plans, performance based financial incentives for project staff, salaries of contract staff and incremental operating costs. Support for construction supervision would be of two types: (a) consulting services for oversight of supervision 10 of the construction of medium schemes; and (b) consulting services for resident supervision11 of small dams. FAO has been successfully providing technical assistance under the EIRP. Based on this good experience and to maintain continuity, FAO would be single sourced to provide consulting services for this sub-component except for the design and construction supervision of small dams that would be carried out by a consulting firm selected through competition following Bank guidelines for selection of consultants. For the small dams a Panel of Experts would be appointed for the review of dam safety aspects in accordance with OP/BP 4.37 during design and construction. 8 Including detailed social and environmental assessments. 9 Including completion of contracts started under the EIRP. 10 The primary responsibility for supervision would be with the staff of PCU and provincial water management department while the consultant/FAO would carry out periodic sample checks and report back on any deviations from the specification or other quality issues. 11 Resident supervision means that the consultant/FAO would have primary responsibility for contract management, supervision and quality control and would have the formal role of the “the Engineer” or “Project Manager” with powers for issuing variation orders/change orders up to a certain value. Page 10 10 D2. Support for building capacity in MEW in various technical fields, including the proposed small dams program, as well as in procurement, contract management, financial management, internal audit, monitoring and evaluation, various technical fields, and management of environmental and social and gender issues. D3. Support for building capacity of local institutions, including Mirabs (traditional community appointed water managers), CDCs, farmer/community groups, university faculties, local engineering institutes, libraries, and local construction industry. D4. Support for monitoring and evaluation activities, including input, output, process, and outcome monitoring, as well as monitoring of implementation of the ESMF, ESMP and SMF, land acquisition and resettlement plans. D5. Support for future project preparation and strategic studies (e.g. impact of climate change). I.3 Implementation Arrangements The implementation arrangements for the EIRP have worked well and the same would be used for the IRD with some modifications. The EIRP implementation arrangements include a PCU in MEW assisted by a technical assistance team supplied by FAO- responsible for overall project implementation, including procurement and financial management. The PCU has six regional offices that provide nationwide coverage for preparation and supervision of rehabilitation schemes. Based on the EIRP experience, staff with specific responsibility for implementing the ESMF provisions during subproject identification, preparation, and construction has been added to the PCU team at headquarters as well as at the field level. Similarly, the FAO technical assistance would have social and environmental specialists for oversight and internal monitoring compliance with the ESMF. An independent third party reporting directly to the Deputy Minister MEW would be hired to monitor and report on compliance. For the small dams the Land Acquisition and Resettlement Action Plan (LARAP) would have a robust and independent monitoring arrangement. Finally, the IRD Project training plan also includes training in social and environmental aspects for project staff, local communities including Mirabs , CDC, and contractors. I.4 Potential Negative Impact The preparation of the IRDP was informed by a comprehensive assessment of compliance with environmental and social safeguards in the current EIRP. During this process a range of project and other relevant documents were studied, detailed meetings were held with project technical staff to understand fully various aspects of the project and field visits made to several sub-projects in four regions to collect and check data. In addition, consultations were held with different groups in local communities as well as other stakeholders, including representatives from local government and NGOs, to receive their comments and recommendations on social and environmental issues related to sub-projects. See Annex 13 for summary list of consultations. Based on the information collected through the process described above, environmental and social management matrices were developed which identify potential negative impacts that may be encountered in each phase of IRD sub-projects. Most of the latter will be similar to the current EIRP subprojects and therefore would not have any large scale, significant and /or Page 11 11 irreversible impacts. However, there would be some potential small scale and temporary impacts on the local environment and the communities Environmental impacts may include soil erosion, degradation of borrow areas, damage to natural vegetation, siltation and contamination of soil and water. Soil erosion would be controlled/avoided through a combination of employing sound engineering practices and planting appropriate vegetation on hill slopes and other potentially erodible places along embankments. Significant deforestation is not expected in the IRDP but should there be a need for felling trees along water channels, twice as many new trees would be planted in a nearby location. Pre-feasibility studies of 22 potential dam sites would be carried out, and based on the findings the sites would be ranked according to economic, social, environmental criteria. Sites involving major adverse social and environmental impacts will be dropped. The ten top ranked sites would be selected for preparing detailed feasibility studies, including preparation of full ESIAs/EMP, LARAP through international consulting firms. Finally, two or three sites would be selected for preparation of detailed design and construction Soil and water contamination would be controlled through employing a sound waster management system which would include safe disposal of solid wastes, provision of impervious base to storage areas to prevent contamination through hazardous materials leaching into ground water. The project would ensure uninterrupted traffic of humans and animals by building bridge structures where appropriate and also provide for “community structures” to allow safe use of off-channel laundry basins, ablution places by the local populations through the construction of small diversions. Communities and Water management associations would be trained to deal with any water logging and pollution from fertilizer and pesticide runoffs. Social impacts of the proposed project may include increased incidences of disease, migration of workers into communities, increasing inequities between upstream and downstream communities and conflict related to land acquisition/donation. Mitigative measures to reduce adverse effects on communities’ health, particularly water- borne and vector borne communicable diseases such as cholera and malaria, would include effective drainage of project areas and liaison with health authorities on early warning communication. Contractors will provide amenities in construction camps to cater for inflows of construction workers and reduce stress on already overstretched community infrastructure. The project would take care to avoid increasing inequities between downstream and upstream communities by ensuring the equitable sharing of employment opportunities. The project would also strengthen the capacity of village leaders and local government bodies, as well as traditional and new water management associations, to manage local level land and water conflicts that may arise from, or be exacerbated by, project activities. Social and Environmental Impacts related to Small Dam Development The most significant social impact associated with the small dam components could be the loss of land/assets/livelihoods, disruption of community life and networks as a result of the unavoidable resettlement of people. Page 12 12 A Land Acquisition and Resettlement Policy Framework (LARPF), based on the Afghan legal framework and compliant with the requirements of OP.4.12, has been approved by the Government of Afghanistan and will be applied where it is not feasible to avoid land acquisition and/or resettlement. The LARPF clarifies resettlement principles, organizational arrangements and design criteria to be applied to sub-projects to be prepared during project implementation. In this way a consistent approach to resettlement practice will be ensured over the course of the project. A fundamental principle of the LARPF is the need to ensure social justice and equity for those people directly affected by the project by making certain that they are not impoverished by displacement and at the very least their livelihoods are restored to their pre-project levels. Under the LARPF host communities would be involved in the consultations on the resettlement process and offered opportunities to participate in the development of resettlement action plans thus limiting potential conflict between the settled and settling communities. Pre-feasibility studies of 22 potential dam sites would be carried out, and based on the findings the sites would be ranked according to economic, social, environmental criteria. Sites involving major adverse social and environmental impacts will be dropped. The ten top ranked sites would be selected for preparing detailed feasibility studies, including preparation of full ESIAs/ESMP, LARAP through international consulting firms. Finally, two or three sites would be selected for preparation of detailed design and construction. Additional impacts likely during construction of small dams include diversion of river, construction of cofferdams, access roads and air and noise pollution, Measures to mitigate these effects would include allowance of adequate water downstream to meet existing demands during construction, effective use of construction machinery and minimization of increased turbidity in the river due to construction activities. With small dams the filling of reservoirs should be done in such a manner as to avoid disruption of rights of downstream users. Similarly flood-handling facilities should be operated in such a manner as to minimize downstream losses while ensuring the safety of the structure. These aspects would be written up in the operating rules of the dam and reservoir complex. A preliminary assessment of the possibility of the need for resettlement of people as well as potential loss of livelihoods such as grazing access due to the creation of these small storage reservoirs was undertaken with Google Earth Imageries (December 2007) supplemented by tools from ArcMAP geographic Information System (GIS). All the 22 proposed sites (shown in Figure 1 below) were analyzed for Land Use/Land Cover and 10 representative sites were analyzed for submergence impacts for an assumed dam height of 20 meters. Detailed report of this assessment work is provided as an Annex to the main report. Page 13 13 Figure 1. Location of proposed dam sites in closed basin Land Use and Land Cover (LU/LC) classification was carried out based on visual interpretation of the imageries for 10 km radius (buffer) around each of the 22 dam locations. The most dominant land cover across all the 22 dam sites is the barren and fallow lands. Contributions from land use such as settlement and agriculture are far less and so also the vegetation. Dense vegetation is virtually absent in all buffer areas. Settlement areas are prominent in the buffer areas around Pasha and Bato Baba dams. But settlement areas which might require resettling or moving people based on final impoundment heights appear only in the case of Masjet Sabz, Fayz Abad, Darz Ab and Shah Abdullah dam sites. Of these sites, it is possible that the settlements may actually fall outside the submergence zone in Fayz Abad, Darz Ab and Shah Abdullah sites. Digital Elevation Model (DEM) was sourced from Shuttle Radar Topography Mission (SRTM) with 90m resolution. A 90 meter spatial resolution gives elevation information (elevation in meters) for area 90 m x 90 m. For each dam location, DEM was generated at 1 m interval by interpolation algorithms available in Arc MAP. Watersheds were generated for 17 of the 22 dams based on DEM and locations of small dams. Estimation of submergence area was done for 10 of the 22 dams assuming impoundment resulting from 20m dam heights using tools available in Arc MAP. It has been concluded that for the 10 dam sites analyzed, environmental and social impacts due to submergence may be considered as nil or negligible, except for Masjet Sabz dam. The existence of barren lands in the catchment area of all dam sites would require a thorough review of impact on sedimentation in the proposed storage reservoirs. This aspect would be studied in detail during the pre-feasibility/feasibility stage. The watershed area estimates when compared to storage volumes of impoundments for an assumed 20 meter dam height are at least two orders of magnitude higher. This indicates availability of water would not be an issue. Agricultural land and settlements exist downstream of the proposed dam sites in most cases which is an indication that developing storages would assist and enhance agricultural activity in the area. Assessment for the ten representative sites regarding this is given below. Page 14 14 Figure 2: Distribution of Settlement and Agricultural Land across 10 dams in the buffer of 10 kms Based on this analysis, it can be concluded that environmental and social impacts due to submergence would be nil in eighty percent of the potential sites and probably negligible in another fifteen percent of the potential sites to be taken up for pre-feasibility studies. The above preliminary assessment has helped in screening and scoping of possible social and environmental impacts for the 22 dam sites proposed for further investigation. For detailed assessment at feasibility level, it is proposed that satellite stereo imageries are used and extraction of Visible and Infrared (VIR) data is done using software such as ERDAS. Such data can be sourced from SPOT, IRS, ASTER, IKONOS or QuickBird. This approach will be considered for the final list of dams chosen for feasibility studies and detailed designs as an aide to detailed ground investigations required. This technology would be used during implementation as well as later in the monitoring and assessment phase. Sites that are representative of geographical and ecological features; size of dams; hydrology and geology; potential impact on upstream and downstream riparian etc have been chosen for the Baseline analysis. Detailed findings of the preliminary assessment are included in Annex 18. In addition to the above baseline surveys, despite poor security situation in the areas, preliminary consultations with the local communities 12 were carried out at 12 of the 22 potential dam sites. Community representatives included local elders, members of CDCs, 12 It is noted that the proposed 22 dam sites have, in the first place, been proposed by the local communities. Page 15 15 Mirabs , women and nomads. In these consultations the community representatives were given the opportunity discuss the positive and negative impact of the proposed dams on their lives and environment. Some community representatives at two dam sites (Dahan Dara and Pasha Dara) in the Faryab Province and one site in Aybak Samangan (Shamar) raised concerns relating to possible submersion of rain fed agricultural land. Similar concerns were not raised by the community representatives at the other 9 sites. A summary of the consultations at two sites is attached as Annex 19. Further and more detailed consultations will be carried out during the preparation of pre-feasibility/feasibility studies. Abe Keli Dam Site in Samangan Province Dahane Dara Dam Site in Faryab Province Page 16 16 Unanticipated Environmental and Social Impacts: Where unanticipated environmental and social impacts become apparent during project implementation the MEW/PCU will either update the environmental and social assessments or commission new assessments to assess the potential impacts and outline mitigation measures to address those impacts. Public consultation at Gardara Dam Site in Sarepol Province Tangi Shadian Dam Site in Balkh Province Page 17 17 II. Purpose of the ESMF It is acknowledged that social and environmental management in Afghanistan currently faces critical capacity constraints. Proposed project activities may have potential adverse impacts, albeit limited, on the physical and social environment. The mitigation and management of these impacts is key to sound and sustainable development of the areas where irrigation facilities are rehabilitated. Hence, a framework approach is adopted which recognizes the existing management capacity, and permits the necessary flexibility to take account of demand led investments unknown at the time of project appraisal, This approach provides for early identification of potential adverse impacts, without the requirement of rigorous analysis through quantification, and also provides broad guidance for their effective mitigation. Consistent with existing national legislation, the objective of the Framework is to help ensure that activities under the project will: · Protect human health; · Prevent or compensate any loss of assets and livelihood; · Prevent environmental degradation as a result of either individual sub-projects or their cumulative effects; · Prevent a widening of the gap between the better off and the poor as a result of either individual sub-projects or their cumulative effects; · Enhance positive environmental and social outcomes; · Support gender equality principles and · Ensure compliance with World Bank safeguard policies. The ESMF has been developed to effectively address environmental and social concerns and opportunities. The ESMF builds upon the generic safeguard framework developed for emergency operations in Afghanistan and used for all emergency operations. II.1 ESMF General Guidelines The ESMF provides general policies, guidelines, codes of practice and procedures for the management of environmental and social issues to be integrated into the implementation of the project. It contains the following guidelines: All proposed sub-projects will be screened to ensure that the environmental and social risks can be adequately addressed through the application of standardized guidelines: · A negative list of characteristics that would make a proposed component ineligible for support, as indicated in Annex 1 · Public Announcements and Transect Walk, Annex 2 · Sub-project screening, Annex 3 · Procedures for the protection of cultural property, Annex 4. · Typical Measures for Environment Impact Mitigation in IRDP sub-projects, Annex 5a · Typical Measures for Social Impact Mitigation in IRDP sub-projects, Annex 5b · Actions, Measures and Compensation categories under the Resettlement Policy Framework(RFP), Annex 6a · Compensation, Entitlement and Rates under the RPF, Annex 6b · Template for Environmental and Social Management Plan, Annex 7. · EIA Procedures in NEPA, Annex 8 Page 18 18 · Training Action Plan for Environmental and Social Safeguards, Annex 9 a · Training and Capacity-Building Activities at different levels, Annex 9 b · Working with NGOs to resolve land and water conflicts Annex 10 a · Selected NGOs engaged in Local Peace Building in Afghanistan, Annex 10.b · Monthly reporting schedule for regional environmental and social safeguards officers, Annex 11 · Procedures for Mine Risk Management in World Bank-funded Projects in Afghanistan, Annex 12 · EIRP: ESSMF consultations Annex 13 · Generic formats for Limited Environment assessment (LEA) (Annex 14) and full environmental assessment Annex 15 · Generic format for Social Impact Assessment, Annex 16 · Full Resettlement Policy Framework, Annex,17 II.2 Assessment of ESMF implementation in other projects The implementation of the ESMF in other projects in the country (HLP, EIRP, NSP, NERAP) was reviewed and the main lessons learned and incorporated in the present ESMF are: 1. Trained staff with clear job descriptions and conducting environmental and social audits has given good results. Exposure visits to similar projects inside and outside the country can greatly enhance the understanding and attitude of the staff in terms of safeguards issues. Repeated training in relevant fields is important considering staff turnover. 2. Regular and timely engagement of the World Bank team with the senior leadership of the line ministries helps to focus attention on, and compliance with, ESMFs. 3. Allocation of budget and resources with clear implementation arrangements for the ESMF are essential. 4. It is important to ensure availability of ESMF documents, including all guidelines, in local languages at project sites. 5. ESMF provisions must be incorporated in bidding/contract documents with accompanying translation in local languages and must be reviewed with contractors by PCU management prior to start of construction work. 6. Contractors need training in understanding and complying with ESMF provisions. II.3 World Bank Operation Policies triggered in IRDP Safeguard policies Safeguard Policies Triggered by the Project Yes No Environmental Assessment ( OP / BP 4.01) [X ] [ ] Natural Habitats ( OP / BP 4.04) [ ] [X] Pest Management ( OP 4.09 ) [ ] [X] Physical Cultural Resources ( OP/BP 4.11 ) [ ] [X] Involuntary Resettlement ( OP / BP 4.12) [X] [ ] Indigenous Peoples ( OP / BP 4.10) [ ] [X] Forests ( OP / BP 4.36) [ ] [X] Safety of Dams ( OP / BP 4.37) [X] [ ] Projects in Disputed Areas ( OP / BP 7.60) [ ] [X] Projects on International Waterways ( OP / BP 7.50) [X] [ ] Page 19 19 1. Environmental Assessment (EA OP/BP 4.01): The project is rated Category A. An ESMF has been prepared for the project for the reasons explained earlier. When specific sites are identified for the small dams, full ESIAs, and EMPs will be prepared by competent consulting team. 2. Involuntary Resettlement (OP/BP 4.12) is triggered because the larger schemes may involve land acquisition. The overall objectives of the Bank's policy on involuntary resettlement are to avoid land acquisition and involuntary resettlement where feasible, or minimize, exploring all viable alternative. Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. The ESMF for the IRD is supplemented with a Resettlement Policy Framework (RPF). Any sub-project involving relocation and land acquisition will have a separate Social Impact Assessment (SIA) and a Resettlement Action Plan (RAP). 3. Safety of Dams (OP 4.37). The dam safety policy is triggered. An independent panel of experts (POE) would be recruited to review the engineering designs and advise the PCU during construction. 4. Projects on International Waterways (OP/BP 7.50). Since most major rivers in Afghanistan on which the IRD sub-projects would be located cross international boundaries, this policy is triggered. However, IRD essentially involves rehabilitation of existing irrigation systems. It does not involve works and activities that would exceed the original scheme, change its nature, or alter or expand its scope and extent to make it appear a new or different scheme. The small dams will be located on closed basin rivers that are not international waterways. Therefore, given the nature of works envisaged under the proposed project: (a) the project will not adversely affect the quality or quantity of water flows to other riparians; and (b) it will not be adversely affected by other riparians' water use. Therefore, the Project falls within the exception to the notification requirements of OP 7.50, set forth in paragraph 7(a) of OP 7.50. A waiver for notification under OP 7.50 was obtained in the context of EIRP processing and a waiver will be sought in the context of IRD as well. Page 20 20 III. Policy, Legal and Regulatory Framework The primary relevant laws and legislations framing social and environmental issues are: · The Environment Law of Afghanistan (2007) · Land Expropriation Law (2005) · Law on the Preservation of Afghanistan’s Historical and Cultural Heritages (2004); · Water Law (2009) and Water Sector Strategy III.1 Environment Law of Afghanistan, 2007 The Environment Law is based on international standards that recognize the current state of Afghanistan’s environment while laying a framework for the progress of governance leading to effective environmental management. With respect to multilateral environmental agreements and regional cooperation, Afghanistan has primarily concentrated on “green” trans-boundary issues concerning protection and preservation with NEPA and the Ministry of Agriculture and Irrigation dividing duties as the respective focal points. Afghanistan has signed but not ratified the Basel Convention regarding trans-boundary movement and disposal of hazardous waste, and is in the process of acceding to the Convention on Migratory Species (CMS) and the Ramsar Convention on Wetlands. The Ministry of Agriculture and Irrigation is the focal point for the UN Convention on Biological Diversity (UNCBD), the UN Convention to Combat Desertification (UNCCD) and the Convention on International Trade of Endangered Species (CITES). Afghanistan has also ratified the ozone treaties, the Vienna Convention and the Montreal Protocol, and the UN Framework Convention on Climate Change (UNFCCC) with NEPA as the focal point (NEPA Environmental Policy Paper). The Environmental Law of Afghanistan promulgated in 2007 is quite comprehensive and covers most of the aspects of natural resources management. The law requires inter alia that planning for sustainable use, rehabilitation and conservation of biological diversity, forests, rangeland and other natural resources, prevention and control of pollution, and conservation and rehabilitation of the environment from adverse effects shall be an obligatory element of all national and local land-use plans and natural resources plans developed by all relevant ministries and national institutions. (art.23). Furthermore, it stipulates local communities should be involved in decision-making processes regarding sustainable natural resource management (art. 23, para 10), and that affected persons must be given the opportunity to participate in each phase of the project. (art. 19, 1) III.2 National Environmental Protection Agency (NEPA) NEPA was constituted in 2005 and it is the prime environmental regulatory and approval authority in the country. The Act under which NEPA was established specifies that the proponents of any project, plan, policy or activity must submit to NEPA a preliminary Environmental Assessment, in order to allow NEPA to determine the associated potential adverse effects and possible impacts. After reviewing the preliminary assessment, NEPA can either authorize - with or without conditions – the project, plan, policy or activity, provided that the potential adverse effects of the proposed activities on the environment are unlikely to be significant. Otherwise, NEPA may require the proponents to submit a detailed Page 21 21 environmental impact statement including a comprehensive mitigation plan for its review and approval. NEPA EIA Board of Experts review, assess and consider applications and documents of the sub-project submitted by the proponent. Acting on the advice of the EIA Board of Experts, NEPA has the option of either granting or refusing permission. Once permission is granted the proponent needs to implement the project within three years of the date of which the permission has been granted, otherwise, it will lapse. EIA Board of Expert decisions can be appealed (Art. 19). A detailed EIA procedure has been laid out by the NEPA for the proponents to follow for mandatory environmental compliance. (Please see Annex 8). III.3 Implications of the Environment Law and the EIA Regulation for IRDP project It is envisaged that all subprojects and activities of the IRD project fall under Category 2, which comprises activities with potentially adverse, site specific impacts, primarily of non- irreversible nature. The only component of the IRDP that would be Category 1 is the small dams. The Afghan EIA Regulation requires for Category 2 that the project proponent and owner should submit an application form and a screening report to NEPA. The documents should be meeting the agency’s required technical guidelines for the screening report, e.g., description of the activities, completion of Rapid Environmental Assessment (REA) to identify potential impacts and their sources and the relevant mitigation measures, public participation in the assessment process and etc. Once the application form and other relevant documents are submitted to NEPA according to the agency EIA regulation NEPA would: (i) issue a Certificate of Compliance, with or without conditions, (ii) advise the applicant in writing to review the technical reports and address the concern of NEPA. According to the EIA regulation NEPA would grant a Certificate of Compliance or would refuse to do so and provide written reasons for the refusal to the applicant. The EIA regulations are silent on NEPA rules during implementation of the activities and projects. III.4 Water Law and the Water Sector Strategy (WSS) Both the new Water Law and the Water Sector Strategy (WSS) promote an integrated water resources management (IWRM) approach based on a transition towards river basin development and a strong role for local stakeholder participation. The WSS has an explicit commitment to poverty reduction and stresses the need to build the capacity of all stakeholders and support farmers and other poor water users to achieve sustainable livelihoods. It urges that at the same time as physical infrastructure is repaired ongoing discussions and training should be held with communities, not just to improve on-farm water management but, crucially, to determine viable options for different agricultural systems and alternative crops. In particular, ‘end-user’ participation in decision making relating to water resource management, operation and maintenance of water supply systems and agreeing water use allocations is stressed. Throughout the years of conflict, NGOs developed and maintained strong links with rural communities in all provinces and the WSS proposes ‘broadening’ their role to ‘coach’ Water Users Associations and members of Community Development Councils (CDCs) in conservation techniques and water management systems. Likewise, the Water Law encourages stakeholder involvement in overall IWRM planning and Page 22 22 management and recognizes that participation is especially important at local level when problems faced by water users can be resolved more easily. NGOs are seen as having a vital role in supporting the participation of end-users through appropriate training and capacity development initiatives. The Law recognizes the key role of local water users associations in the protection and management of water resources. MEW and MAIL both have responsibility for setting up association. Article 10 assigns MEW the task of establishing water users associations and under Article 11 MAIL is charged with establishing irrigation associations. The role of irrigation associations is further elaborated under Article 23 which states that MAIL can delegate responsibility for the distribution of water within irrigation networks in designated areas to registered Irrigation Associations. In the same Article an explicit link is made between these new associations and the traditional management of irrigation systems which allows Irrigation Associations to delegate the management and responsibility of water rights to a Mirab Bashi or Mirab designated by the irrigation association (IA). III.5 Law on Land Expropriation, (LLE) 2005 The Law sets out the provisions governing the expropriation or acquisition of land for public interest purposes, such as the establishment/construction of public infrastructure or for acquisition of land with cultural or scientific values, land of higher agricultural productivity and large gardens. It declares, inter alia, that: a) acquisition of a plot or portion of a plot land for public use is decided by the Council of Ministers and is compensated at fair value based on current market rates (Article 2); b) the right of the owner or land user will be terminated three months prior to the start of civil works on the project and after the proper reimbursement to the owner or person using the land has been made. (Article 6); c) the value of land, value of houses and buildings on the land and value of trees and other assets on the land will be considered for compensation ( Article 8; and f) compensation is determined by the Council of Ministers. The Law, however, is silent on resettlement. It makes no special provision for a resettlement plan or indeed any arrangements for resettlement. A detailed comparison between the provisions of the LLE and WB OP 4.12 is provided in section III.6. Page 23 23 Page 24 2 4 I I I . 6 C o m p a r i s o n b e t w e e n t h e L a w o n L a n d E x p r o p r i a t i o n a n d W B O P 4 . 1 2 L a w o n L a n d E x p r o p r i a t i o n ( L L E ) W B O p e r a t i n g P r o c e d u r e 4 . 1 2 ( O P 4 . 1 2 ) G a p s b e t w e e n L L E a n d O P 4 . 1 2 w i t h c o m m e n t s P o s s i b l e s o l u t i o n s t o g a p s W h a t R P F s h o u l d p r o v i d e P A R T O N E : P R E A C Q U I S I T I O N P R O C E D U R E S 1 . N o l e g a l o p p o r t u n i t i e s p r o v i d e d t o p o t e n t i a l A P s a n d o t h e r s t o c h a l l e n g e o r d i s c u s s p r o p o s e d a c q u i s i t i o n a n d r e s e t t l e m e n t o r f o r a n y p u b l i c d e b a t e a n d a p p r o v a l o n p r o p o s a l s . I n p r a c t i c e e a r l y d i s c u s s i o n s d o t a k e p l a c e . P r i n c i p l e t h a t i n v o l u n t a r y r e s e t t l e m e n t t o b e a v o i d e d w h e r e p o s s i b l e i m p l i e s d i s c u s s i o n o f n e c e s s i t y f o r a n d a l t e r n a t i v e s t o a c q u i s i t i o n a n d r e s e t t l e m e n t T h e p r i n c i p l e b e h i n d O P 4 . 1 2 i s f o l l o w e d i n p r a c t i c e i n K a b u l b u t t h e l a w i s s i l e n t o n t h e m a t t e r . N o r e a s o n w h y p r a c t i c e i n K a b u l c o u l d n o t b e a p p l i e d i n t h e p r o j e c t a r e a s P o t e n t i a l A P s m u s t b e a b l e t o d i s c u s s n e e d f o r a c q u i s i t i o n w i t h o f f i c i a l s f r o m t h e P I U a n d t h e M i n i s t r y 2 . O f f i c i a l s v i s i t a r e a b e f o r e a n y o f f i c i a l a c t i o n t o a s s e s s l a n d v a l u e s ; v a l u e s s o a s s e s s e d a r e t h e b a s i s o f c o m p e n s a t i o n . T h i s i s p r a c t i c e a s t h e L L E i s c o m p l e t e l y s i l e n t o n p r e - a c q u i s i t i o n p r o c e d u r e s a n d p r o c e s s e s . L a n d v a l u e s a s s e s s e d a s a t p r e - p r o j e c t o r p r e - d i s p l a c e m e n t v a l u e w h i c h e v e r i s h i g h e r N o r e a l g a p s ; j u s t d i f f e r e n t a p p r o a c h e s t o t h e s a m e n e e d t o l i m i t c l a i m s a n d c o m p e n s a t i o n . N o g a p s A d a t e s e t p r i o r t o t h e c o m m e n c e m e n t o f a c q u i s i t i o n s h o u l d b e f i x e d f o r l a n d v a l u e s . T h i s s h o u l d b e t h e c u t - o f f d a t e 3 . A s a m a t t e r o f p r a c t i c e i n K a b u l e f f o r t s a r e m a d e t o d e t e r m i n e t h o s e e n t i t l e d t o c o m p e n s a t i o n a n d r e s e t t l e m e n t C e n s u s c o n d u c t e d o f p e r s o n s i n t h e a r e a t o d e t e r m i n e e l i g i b i l i t y f o r a s s i s t a n c e , a n d t o l i m i t i n f l o w o f p e o p l e i n e l i g i b l e f o r a s s i s t a n c e ; e n c r o a c h e r s N o r e a l g a p h e r e . G i v e n t h e p r a c t i c e i n K a b u l , t h e r e w o u l d b e n o p r o b l e m i n a d o p t i n g O P 4 . 1 2 a s t h e p r a c t i c e t o b e f o l l o w e d i n t h e p r o j e c t . A l e g a l f r a m e w o r k w i l l r e q u i r e a c e n s u s o f e l i g i b l e A P s t o b e u n d e r t a k e n a t t h e i m m e d i a t e p r e - p r o j e c t s t a g e . 4 . B y a r t i c l e 6 o f L L E , t h e r i g h t t o o w n o r u s e l a n d i s t e r m i n a t e d t h r e e m o n t h s p r i o r t o t h e a c t u a l s t a r t o f t h e p r o j e c t . S o i n f o r m a t i o n o n l a n d t o b e a c q u i r e d i s s e n t t o A P s t h r e e m o n t h s b e f o r e a c q u i s i t i o n . I n f o r m a l d i s c u s s i o n s a n d n e g o t i a t i o n s o c c u r b o t h o n l a n d t o b e a c q u i r e d a n d o n c o m p e n s a t i o n . P r e p a r e r e s e t t l e m e n t p l a n o n h o w p r o j e c t t o b e i m p l e m e n t e d a n d r e s e t t l e m e n t e t c p r o v i d e d f o r . E m p h a s i s o n p a r t i c i p a t i o n b y A P s i n p r e p a r a t i o n o f p r o c e s s a n d i n p r o j e c t i m p l e m e n t a t i o n E m p h a s i s o n e a r l y i n f o r m a t i o n t o b e g i v e n t o p o t e n t i a l A P s o f p o s s i b l e r e s e t t l e m e n t L L E d o e s n o t p r o v i d e f o r w h a t O P 4 . 1 2 r e q u i r e s . S o m e p r e - p l a n n i n g o f p r o j e c t w i l l e x i s t a n d i n f o r m a l d i s c u s s i o n s w i t h A P s i n v o l v e s p a r t i c i p a t i o n . 3 m o n t h s n o t i c e m a y b e t o o l i t t l e w h e r e r e l o c a t i o n i s l i k e l y b u t n o t r i g i d l y a d h e r e d t o . T h e r e i s n o t h i n g i n L L E t o p r e v e n t a m o r e p a r t i c i p a t i v e a p p r o a c h t o a c q u i s i t i o n a s i s c a l l e d f o r i n O P 4 . 1 2 . T h e t h r e e m o n t h r u l e c o u l d b e i n t e r p r e t e d t o m e a n “ n o t l e s s t h a n t h r e e m o n t h s ” w h i c h w o u l d a l l o w f o r d i s c u s s i o n s o n a c q u i s i t i o n a n d i t s c o n s e q u e n c e s . A l e g a l f r a m e w o r k w i t h i n t h e R P F a l l o w i n g f o r a p a r t i c i p a t o r y a p p r o a c h t o a c q u i s i t i o n a n d r e s e t t l e m e n t p l a n n i n g a n d i m p l e m e n t a t i o n w o u l d n o t c o n t r a d i c t t h e L L E a n d i s t h e b e s t w a y f o r w a r d . Page 25 2 5 I t i s a t t h i s p o i n t t h a t d o n a t i o n s o f l a n d m a y b e ‘ i n v i t e d ’ . 5 . N o s p e c i a l p r o v i s i o n i n L L E f o r a r e s e t t l e m e n t p l a n o r a n y s p e c i a l a r r a n g e m e n t s f o r r e s e t t l e m e n t P r e p a r e r e s e t t l e m e n t p l a n : c o n t e n t s t o i n c l u d e – I n v o l v e m e n t o f a n d e n s u r e A P s t h e i r r i g h t s t o c o m p e n s a t i o n r e l o c a t i o n a s s i s t a n c e d e v e l o p m e n t a s s i s t a n c e i n n e w l o c a t i o n . D i s t i n c t i o n d r a w n b e t w e e n s h o r t a n d f u l l p l a n s , d e p e n d i n g o n n u m b e r s t o b e r e s e t t l e d . M a j o r g a p o f s u b s t a n c e 1 . T h e L L E i s s i l e n t o n r e s e t t l e m e n t b u t t h e r e i s n o t h i n g i n t h e l a w t o s u g g e s t t h a t a r e s e t t l e m e n t p l a n o r a c t i o n t o i m p l e m e n t a r e s e t t l e m e n t p l a n w o u l d b e i l l e g a l . 2 . P r o v i d e f o r r e s e t t l e m e n t p l a n a d m i n i s t r a t i v e l y b u t 3 . B a c k e d u p b y s o m e r e g u l a t i o n s 2 a n d 3 t h e p r e f e r r e d o p t i o n . P A R T T W O : A C Q U I R I N G T H E L A N D 6 . T h e C o u n c i l o f M i n i s t e r s a p p r o v e s e x p r o p r i a t i o n o f l a n d . U n l i k e t h e f o r m e r l a w , t h e r e i s n o p r o v i s i o n f o r t h e o w n e r / u s e r a n d o r a g e n t t o b e p r e s e n t t h r o u g h o u t a l l s t a g e s o f a c q u i s i t i o n . I t f o l l o w s t h a t a c q u i s i t i o n m a y p r o c e e d w h e t h e r t h e o w n e r e t c i s p r e s e n t o r n o t . H o w e v e r u n d e r a r t i c l e 5 L L E , a c o m m i s s i o n i s t o b e f o r m e d “ b y t h e M u n i c i p a l i t y ” o n w h i c h t h e o w n e r i s r e p r e s e n t e d t o “ d e t e r m i n e d a m a g e i n c u r r e d d u e t o l a n d e x p r o p r i a t i o n ” w h i c h i s d i f f e r e n t i a t e d f r o m c o m p e n s a t i o n . D a m a g e i s e x p l a i n e d i n a r t i c l e 1 8 L L E . U n d e r a r t i c l e 2 2 , t h e o w n e r e t c o b l i g e d t o h a n d o v e r a l l d o c u m e n t a r y e v i d e n c e r e l a t i n g t o l a n d t o t h e a c q u i r i n g N o s p e c i f i c p r o c e d u r e s r e q u i r e d b y O P 4 . 1 2 b u t c o n t e n t o f r e s e t t l e m e n t p l a n i m p l i e s A P s w i l l b e i n v o l v e d i n a l l s t a g e s o f a c q u i s i t i o n T h e s p i r i t o f O P 4 . 1 2 c o n f l i c t s w i t h L L E ’ s n o n - p r o v i s i o n o f i n v o l v e m e n t o f t h e o w n e r a p a r t f r o m t h a t p r o v i d e d f o r i n a r t i c l e 5 . i t i s n o t c l e a r w h y t h a t i s c o n f i n e d t o “ t h e M u n i c i p a l i t y ” . G i v e n m a n y a b s e n t e e o w n e r s , i t m a y b e u n a v o i d a b l e t o a l l o w a b s e n t e e a c q u i s i t i o n . S p i r i t o f O P 4 . 1 2 c o u l d b e m e t b y m o r e p r o t e c t i v e p r o v i s i o n s a n d o r p r a c t i c e o n d e a l i n g w i t h a b s e n t e e a c q u i s i t i o n . T h e s i l e n c e o f L L E o n t h e d e t a i l s o f a c q u i s i t i o n m a y b e t a k e n q u i t e l e g i t i m a t e l y a s p r o v i d i n g a g a p w h i c h c a n b e f i l l e d b y a p p r o p r i a t e p a r t i c i p a t o r y a r r a n g e m e n t s . T h e r e i s n o r e a s o n w h y t h e d a m a g e p r o v i s i o n s o f a r t i c l e 1 8 s h o u l d n ’ t e q u a l l y a p p l y t o a l l a c q u i s i t i o n s o f l a n d . I n v o l v e m e n t o f o w n e r s p r e s e n t o n t h e l a n d t o b e a c q u i r e d a n d g r e a t e r p r o t e c t i o n f o r a b s e n t e e o w n e r s s h o u l d b e p r o v i d e d b y a l e g a l f r a m e w o r k d e v e l o p e d a s p a r t o f t h e R P F w h i c h c o u l d a l s o s e r v e a s a p r o t o t y p e f o r r e g u l a t i o n s m a d e u n d e r a r t i c l e 2 2 ( 5 ) o f t h e n e w l a w . Page 26 2 6 a u t h o r i t y 7 . U n d e r a r t i c l e 6 L L E a f t e r t r a n s f e r o f o w n e r s h i p , o w n e r m a y e n t e r a c q u i r e d l a n d a n d h a r v e s t c r o p s e x c e p t w h e r e u r g e n t u s e o f l a n d p r e v e n t s t h i s N o t m e n t i o n e d L L E a h e a d o f O P 4 . 1 2 o n t h i s : A g o o d p r o v i s i o n N o c h a n g e P A R T T H R E E : C O M P E N S A T I O N P A Y M E N T P R O C E D U R E S 8 . T h e b u l k o f L L E d e a l s w i t h c o m p e n s a t i o n b u t s a y s n o t h i n g a b o u t w h o i s e n t i t l e d t o c o m p e n s a t i o n . T h e a s s u m p t i o n i s t h a t “ o w n e r s ” a r e e n t i t l e d t o c o m p e n s a t i o n b u t t h e l a w d o e s n o t d e f i n e “ o w n e r s ” . T h e o l d l a w d r e w a c l e a r d i s t i n c t i o n b e t w e e n t h o s e w i t h l e g a l t i t l e a n d t h o s e w i t h c u s t o m a r y t i t l e o r n o t i t l e w i t h r e s p e c t t o t h e p a y m e n t o f c o m p e n s a t i o n . P r a c t i c e i n r u r a l a r e a s w a s q u i t e a c c o m m o d a t i n g t o t h o s e w i t h c u s t o m a r y t i t l e s . P r a c t i c e i n K a b u l i s t o a c q u i r e d o c u m e n t a r y e v i d e n c e f o r a c l a i m f o r c o m p e n s a t i o n . F u n d a m e n t a l p r i n c i p l e o f O P 4 . 1 2 i s t h a t a l l t h o s e o n l a n d a r e t o b e e n t i t l e d t o f a i r c o m p e n s a t i o n a n d a s s i s t a n c e w i t h r e s e t t l e m e n t i r r e s p e c t i v e o f t h e i r t i t l e t o l a n d . M a j o r g a p o f s u b s t a n c e i n t h e l a w b u t g i v e n p r a c t i c e i n r u r a l a r e a s , i t i s n o t u n b r i d g e a b l e . A c c o m m o d a t e O P 4 . 1 2 b y c h a n g i n g p r a c t i c e s w h e r e n e c e s s a r y . A d v a n t a g e m a y b e t a k e n o f a b s e n c e o f l e g a l d e f i n i t i o n o f “ o w n e r ” t o a c c o m m o d a t e t h o s e w i t h c u s t o m a r y t i t l e s w h i c h i s l i k e l y t o b e t h e m a j o r i t y i n p r o j e c t a r e a s . G i v e n h u g e n u m b e r s o f p e o p l e n o t h a v i n g a n d n o t g o i n g t o g e t f o r m a l l e g a l t i t l e s t o t h e i r l a n d i n t h e f o r e s e e a b l e f u t u r e , L L E s h o u l d b e i n t e r p r e t e d s o t h o s e l i v i n g a n d o r w o r k i n g o n l a n d a t t h e c e n s u s d a t e r e c e i v e f a i r c o m p e n s a t i o n a n d r e s e t t l e m e n t a s s i s t a n c e . A s w i t h 6 a b o v e , t h e R P F c a n d e v e l o p a l e g a l f r a m e w o r k f o r c o m p e n s a t i n g a l l t h o s e o n t h e l a n d a n d t h i s c a n b e a m o d e l f o r f u t u r e r e g u l a t i o n s t o b e m a d e u n d e r L L E . T h i s i s t h e o n e m a j o r a r e a w h e r e t h e r e i s c o n s i d e r a b l e d i v e r g e n c e b e t w e e n L L E a n d O P 4 . 1 2 . I t w i l l b e n e c e s s a r y t o c o m p l y w i t h O P 4 . 1 2 . 9 . T h e C o n s t i t u t i o n p r o v i d e s f o r p a y m e n t o f p r i o r a n d j u s t c o m p e n s a t i o n . ( E n g l i s h t r a n s l a t i o n ) . T h e L L E a t a r t i c l e 2 p r o v i d e s f o r t h e p a y m e n t o f p r i o r a n d a d e q u a t e c o m p e n s a t i o n . I f t h e r e i s a d i s t i n c t i o n b e t w e e n j u s t a n d a d e q u a t e , t h e n t h e c o n s t i t u t i o n a l p r o v i s i o n o f j u s t c o m p e n s a t i o n p r e v a i l s . A r t i c l e 8 p r o v i d e s t h a t O P 4 . 1 2 r e q u i r e s p r o m p t a n d e f f e c t i v e c a s h c o m p e n s a t i o n s u f f i c i e n t t o r e p l a c e t h e l o s t l a n d a n d o t h e r a s s e t s a t f u l l r e p l a c e m e n t c o s t i n l o c a l m a r k e t s . C o m p e n s a t i o n f o r l o s t l i v e l i h o o d s r e q u i r e d D i s t u r b a n c e c o m p e n s a t i o n r e q u i r e d L a n d f o r l a n d c o m p e n s a t i o n e n c o u r a g e d . T h e r e d o e s a p p e a r t o b e a g a p b e t w e e n t h e L L E a n d O P 4 . 1 2 . T h e L L E h a s a l o t o f g a p s i n i t . S e n s i b l e n o t t o i n s i s t o n m a r k e t v a l u e i n t h e a b s e n c e o f r e l i a b l e f u n c t i o n i n g m a r k e t s . B i g g e s t g a p i s c o m p e n s a t i o n f o r s q u a t t e r s a n d e v e n t h e r e b e s t p r a c t i c e d o e s p r o v i d e s o m e c o m p e n s a t i o n t o t h o s e w i t h n o l e g a l t i t l e . P r a c t i c e o f p a y i n g 1 . O P 4 . 1 2 m u s t b e a c c o m m o d a t e d . O t h e r r e s e t t l e m e n t p l a n s d e v e l o p e d i n c o n n e c t i o n w i t h A D B p r o j e c t s m o r e o r l e s s i g n o r e t h e L L E a n d p r o v i d e d e t a i l e d f r a m e w o r k s f o r a s s e s s m e n t a n d p a y m e n t o f c o m p e n s a t i o n . 3 . T h e A D B m o d e l s s h o u l d b e a d a p t e d f o r u s e i n t h e p r o j e c t . T h e l a c k o f a n y d e t a i l i n L L E o n h o w t o a s s e s s c o m p e n s a t i o n A r t i c l e 4 0 o f t h e C o n s t i t u t i o n s u g g e s t s t h a t o p t i o n 3 s h o u l d b e t h e p r e f e r r e d o n e . I t s h o u l d b e s u p p l e m e n t e d b y g u i d a n c e o n h o w t o a p p l y t h e c o d e i n p r a c t i c e . Page 27 2 7 c o m p e n s a t i o n s h a l l b e “ t h e p r i c e ” o f l a n d o r h o u s e s o r t r e e s e t c a n d a r t i c l e 1 0 p r o v i d e s t h a t t h e C o u n c i l o f M i n i s t e r s s h a l l d e t e r m i n e t h e p r i c e . B u t a r t i c l e 1 5 p r o v i d e s t h a t t h e m u n i c i p a l i t y a n d t h e a d m i n i s t r a t i o n f o r a g r i c u l t u r e d e t e r m i n e t h e c o m p e n s a t i o n f o r t r e e s e t c . A r t i c l e 1 3 s e t s o u t d e t a i l e d p r o v i s i o n s f o r o b t a i n i n g r e s i d e n t i a l p l o t s w h e r e a p e r s o n h a s h a d l a n d a c q u i r e d ; t h e m o r e l a n d a c q u i r e d t h e m o r e r e s i d e n t i a l p l o t s a r e p a i d a s c o m p e n s a t i o n . D i s t u r b a n c e c o m p e n s a t i o n n o t p r o v i d e d f o r . C o m p e n s a t i o n c a n b e l a n d f o r l a n d U n l i k e t h e f o r m e r l a w w h i c h p r o v i d e d f o r c o m p e n s a t i o n m a y b e p a i d i n t o a b a n k , L L E i s s i l e n t o n t h e m e c h a n i c s o f p a y i n g c o m p e n s a t i o n . N o a s s i s t a n c e f o r A P s t o a c c e s s b a n k f o r t h e i r c o m p e n s a t i o n . P r a c t i c e o n t h e g r o u n d i s c a r e f u l a n d p a i n s t a k i n g . R e s e t t l e m e n t c o s t s a n d ‘ s t a r t u p ’ e x p e n s e s r e q u i r e d . c o m p e n s a t i o n i n t o a b a n k e v e n w h e n A P s n o t a b s e n t e e d i f f i c u l t t o r e c o n c i l e w i t h p r o m p t p a y m e n t o f c o m p e n s a t i o n . a n d t h e c o n t e n t o f c o m p e n s a t i o n ( a p a r t f r o m a r t i c l e 1 3 ) a l l o w s f o r t h e c r e a t i o n o f a c l e a r c o m p r e h e n s i v e a n d f a i r c o d e o n c o m p e n s a t i o n a p p l i c a b l e t o a l l a c q u i s i t i o n s i n c l u d i n g r e s e t t l e m e n t c o s t s w h i c h c a n b e a p a r t o f t h e R P F w i t h o u t d o i n g v i o l e n c e t o t h e e x i s t i n g l a w . 1 0 . N o p r o v i s i o n i n t h e l a w o n r e s e t t l e m e n t s u p p o r t . P r a c t i c e s e e m s a l i t t l e h a p h a z a r d a n d t e n d s t o t u r n o n l e g a l i t y o f o c c u p a t i o n o f A P s w h o a r e t o b e r e l o c a t e d O P 4 . 1 2 r e q u i r e s i m p l e m e n t a t i o n o f r e s e t t l e m e n t p l a n t h e c o n t e n t s o f w h i c h a r e n o t e d a t 4 a b o v e M a j o r g a p o f s u b s t a n c e a s n o t e d i n 4 a b o v e . I f p r e f e r r e d o p t i o n a t 4 a b o v e a c c e p t e d , r e s e t t l e m e n t p l a n i m p l e m e n t a t i o n i s i s s u e : . C h o i c e i s b e t w e e n f o r m a l t o p - d o w n a n d p a r t i c i p a t i v e i n v o l v e m e n t o f A P s w h i c h O P 4 . 1 2 r e q u i r e s . T h e R P F s h o u l d p r o v i d e f o r t h e m a k i n g o f a r e s e t t l e m e n t p l a n ( 5 a b o v e ) w h i c h s h o u l d b e b a s e d o n a g u i d e d p a r t i c i p a t i v e a p p r o a c h t o i m p l e m e n t a t i o n . P A R T F O U R : A D M I N I S T R A T I V E & J U D I C I A L P R O C E D U R E S 1 1 . L L E p r o v i d e s f o r a d m i n i s t r a t i v e a g e n c i e s t o O P 4 . 1 2 s i l e n t o n j u d i c i a l a n d a d m i n i s t r a t i v e a r r a n g e m e n t s . A m a j o r g a p o n g r i e v a n c e m e c h a n i s m s a n d c u r r e n t D e v e l o p g r i e v a n c e h a n d l i n g p r a c t i c e s b u t k e e p t h e m A c o m b i n a t i o n o f l a w a n d p r a c t i c e g u i d a n c e w o u l d b e t h e Page 28 2 8 m a n a g e a c q u i s i t i o n p r o c e s s e s a n d d e a l w i t h c o m p e n s a t i o n . A P s a r e p a r t o f s o m e c o m m i t t e e s d e a l i n g w i t h c o m p e n s a t i o n . N o p r o v i s i o n f o r c o u r t s t o b e i n v o l v e d o r f o r a p p e a l s . I n p r a c t i c e , c o m m i t t e e s m a y a c t t o s o l v e g r i e v a n c e s N o p r o v i s i o n s f o r e . g . l e g a l a i d t o a s s i s t A P s t o m a k e c l a i m s . P r a c t i c e a t l e a s t i n K a b u l d o e s a p p e a r t o t r y a n d h e l p P A P s . I t r e q u i r e s a p p r o p r i a t e a n d a c c e s s i b l e g r i e v a n c e m e c h a n i s m s t o b e e s t a b l i s h e d f o r t h o s e b e i n g r e s e t t l e d . L o g i c o f O P 4 . 1 2 ’ s r e f e r e n c e s t o ‘ m e a n i n g f u l c o n s u l t a t i o n ’ w i t h A P s a n d m a k i n g u s e o f C B O s a n d N G O s s u g g e s t s p r e f e r e n c e f o r d e c i s i o n - m a k i n g p r o c e s s w h i c h i s n o t j u s t p a r t o f t h e a d m i n i s t r a t i o n . a d m i n i s t r a t i v e a r r a n g e m e n t s i n L L E d i f f i c u l t t o r e c o n c i l e w i t h t h e p a r t i c i p a t i v e a p p r o a c h o f O P 4 . 1 2 . E a r l i e r l a w s i n v o l v e d p a y m e n t o f c o m p e n s a t i o n i n t h e p r e s e n c e o f a j u d g e a n d a l l o w e d a n a p p e a l a l b e i t f r o m t h e j u d g e t o a M i n i s t e r . a d m i n i s t r a t i v e r a t h e r t h a n l e g a l . M a k e l e g a l p r o v i s i o n f o r a p p e a l s f r o m a d m i n i s t r a t i v e d e c i s i o n s a n d d e c i s i o n s o n c o m p e n s a t i o n t o a n i n d e p e n d e n t b o d y . b e s t w a y f o r w a r d . G r i e v a n c e m e c h a n i s m s t o p r o v i d e f o r c o - o p e r a t i o n w i t h s h u r a s a n d c o m m u n i t y c o u n c i l s i n a r e a s w h e r e A P s a r e . R P F t o p r o v i d e f o r t h e s e 1 2 . L L E d o e s n o t p r o v i d e f o r a n y e x t e r n a l m o n i t o r i n g b o d y o r p r o c e s s O P 4 . 1 2 s t a t e s t h a t t h e b o r r o w e r i s r e s p o n s i b l e f o r a d e q u a t e m o n i t o r i n g a n d e v a l u a t i o n o f t h e a c t i v i t i e s s e t f o r t h i n t h e r e s e t t l e m e n t i n s t r u m e n t . M a j o r g a p o n p r o c e d u r e s b u t a r g u a b l y , m o n i t o r i n g i s n o t p a r t o f l a n d a c q u i s i t i o n s o n o l e g a l i m p e d i m e n t t o p r o v i d i n g f o r s a m e . P r o v i d e m o n i t o r i n g f o r W B p r o j e c t s a s r e q u i r e d b y O P 4 . 1 2 E s t a b l i s h s p e c i a l i s t m o n i t o r i n g a g e n c y f o r a l l p r o j e c t s i n v o l v i n g a c q u i s i t i o n a n d r e s e t t l e m e n t E m p o w e r p r o v i n c i a l a n d l o c a l i n s t i t u t i o n s t o m o n i t o r p r o j e c t s . M e a n i n g f u l m o n i t o r i n g i s r e q u i r e d b y O P 4 . 1 2 . N e w i n s t i t u t i o n s s h o u l d b e k e p t t o a m i n i m u m . C o n s i d e r a t i o n s h o u l d b e g i v e n t o u s e p r o v i n c i a l a u t h o r i t i e s a n d N G O s . R e g u l a r r e p o r t s s h o u l d b e m a d e a n d p u b l i s h e d Page 29 29 Various eligibility of compensation entitlements, such as for landowners, squatters, agricultural tenants, sharecroppers and house owners/renters are available under the Resettlement Policy Framework. For details, please refer to Annex 6.b. III.7 Law on Preservation of Afghanistan’s Historical and Cultural Artefacts, 2004 According to The Law on the Preservation of Afghanistan’s Historical and Cultural Artifacts operations which causes destruction or harm to the recorded historical and cultural sites or artifacts is prohibited (art .11, art. 16). The law provides guidelines for how to deal with chance finds – see Annex 4. III.8 Mine Risk Management Subprojects will not be implemented without appropriate mine-risk management. Procedures for mine risk management are in Annex 11. IV. Environmental and Social Management Framework (ESMF) The ESMP sets out specific mitigation and enhancement measures to address the social and environmental aspects of project interventions, including safeguards screening guidelines for sub-projects. Each subproject will undergo a review process to screen for sensitive environmental/social issues. Sub-projects with attributes registered on the ‘negative list’ will be ineligible for support. (Annex 1). IV.1 Stakeholder identification, consultation and participation As a first step stakeholders will be identified. These will fall into two categories: (i) Primary stakeholders who will be directly affected by the project and (ii) Secondary stakeholders who will be indirectly affected by the project ( or who could influence its outcome) . Following stakeholder identification and categorisation, participatory methods such as focus group discussions and semi structured interviews will be used by regional safeguards officers to conduct meetings with representatives from each group. These will be arranged through key people in the community, usually the head of the CDC and the leader of the Women’s CDC. These meetings will be arranged at times to ensure the maximum participation of stakeholders. Project management will ensure the availability of either female safeguards officers or women working with NGOs in the locality to meet and talk to women. Initial meetings with stakeholders provide a forum not just for dissemination of information about the project and its potential impact, but also constitute an important opportunity to hear people’s concerns and take on board their recommendations to the extent possible in project design. They also will lay the foundations for systematic consultation and participation of the community in all subsequent stages of the project’s development. Priority will be given to meeting and seeking the views of the most disadvantaged and marginalized groups e.g. women, landless, disabled and the elderly. Particular attention will be paid to female-headed households, both those with and without land, as they are generally amongst the most vulnerable in communities and risk having their rights ignored. Page 30 30 Consultations with secondary stakeholders will be conducted in parallel to those being conducted within communities. These will include meetings with regional representatives from relevant government departments and agencies including Ministry of Agriculture, Irrigation and Livestock (MAIL), National Environment Protection Agency (NEPA), Department of Water Management, National Solidarity Programme as well as district government officials. Meetings will also be held with NGOs working in the locality. The quarterly regional NGO meetings may prove a useful forum for such consultations. A particular set of public and stakeholder consultations will apply to those sub-projects in which land acquisition and resettlement of people is required and will be conducted by the implementing NGO and PCU regional staff. The consultation process with affected persons (APs) will include the disclosure of the resettlement policy framework through various meetings and distribution of informative material aimed at creating awareness among APs regarding their entitlements, compensation payment procedures and grievances redress mechanisms. This process will also ensure that anyone voluntarily donating land is made fully aware of his or her right to receive compensation for any land which he or she is losing to a project and the specific waiving of that right is properly documented. Meetings will also be held with provincial and local officials to ensure that they are informed and regularly updated on the implementation of the Land Acquisition and Resettlement Action Plan (LARAP). The PCU will coordinate with land valuation committees, district governors, who have jurisdiction over the sub-project areas, and village leaders. Information about the entitlement provisions and compensation packages will be shared with these government officials and other stakeholders. IV.2 Environmental and Social Baseline A socio-environmental survey will be coordinated by PCU regional safeguards officers across all identified stakeholder groups at local level as a core element of subproject preparation activities. A screening tool (Annex 3), together with generic plans for managing Environmental and Social impacts (Annex 5) will help identify potential impacts of environmental and social issues on each group. Survey findings will be used to select the most relevant mitigation measures which will be integrated into an ESMP (Annex 7), the development of which will form an integral part of the preparation of each sub project. Where findings indicate that voluntary land donations and/or land acquisition will be required to enable proposed irrigation rehabilitation to proceed, the ESMF will include a land acquisition plan that will comply with the requirements of the LARPF with regard to eligibility criteria for identifying Affected Persons (APs) and compensation categories and rates. See Annexes 6a and 6b. If the relevant Safeguard Focal Officer and the site engineers come to the conclusion that more study is needed they will undertake a Limited Environmental Assessment (LEA) (Annex 14) and prepare the relevant EMP. The LEA and the EMP would be reviewed and approved by the relevant designated staff. Where a specific site is selected for a small dam a full environmental assessment (annex 15) and social impact assessment (SIA) will be carried out (annex 16). These assessments will be reviewed and approved by both the Government of Afghanistan and the World Bank before a decision is made to proceed with the structure. A SIA will include a land acquisition and Page 31 31 resettlement action plan (LARAP) which will comply with the resettlement principles and organizational arrangements set out in the Land Acquisition and Resettlement Policy Framework (annex 17). Environmental and Social Screening & Assessment Procedure for Sub-Projects High risk Application for subproject by community/CDCs Step 1: Subproject Screening ¾\03 Identification of subproject ¾ \03 Reject requests based on exclusion list is explained Subproject Appraisal Process Corresponding Safeguard Requirements Subproject Appraisal No risk Low risk ¾\03 Develop generic mitigation and monitoring measures for subproject sectors (e.g. rural roads, irrigation etc) ¾\03 Apply environmental and social conditions in contract ¾\03 Carry out subproject specific EA and SIA studies ¾\03 Develop subproject specific ESMPs ¾\03 Apply environmental and social conditions in contract (construction Subproject Approval ¾\03 ESMPs reviewed by Project Authority/Social & Environmental Focal Points ¾\03 Subproject approved on the basis of environmental and social review findings Subproject implementation Step 4: Subproject implementati on ¾\03 Implementation measures under the ESMP for subprojects ¾\03 Training of IRDP safeguard officers, engineers and CDCs/communities in ESMP implementation Monitoring ¾\03 Monitor environmental and social compliance, pollution abatement, and ESMP implementation ¾\03 Carry out annual environmental and social audits for subprojects Step 5: Environmen tal & social monitoring Step 3: Environmental & social review Step 2: Impact assessment Page 32 32 IV.3 Institutional Arrangements Environmental and Social Safeguards Officers with specific responsibility for implementing the ESMF provisions during subproject identification, preparation, and construction would be added to the PCU team at headquarters as well as at the regional level. Similarly, the FAO technical assistance would have social and environmental specialists for oversight and internal monitoring compliance with the ESMF. A social/gender organizer will also be recruited in each regional office to facilitate the involvement of women in project activities. An independent third party reporting directly to the Deputy Minister MEW would be hired to monitor and report on compliance. A partnership would be formed with an NGO to work with the PCU on the implementation and monitoring of Land Acquisition and Resettlement Action Plans (LARAP). The process and responsibilities for social and environmental screening/assessment and monitoring re included in paragraph IV.4 Institutional Capacity Building The overall objective will be to strengthen the institutional capacity of the PCU to better support the development and integration of social and environmental measures into projects at regional level and their implementation at community level. Details on institutional capacity building, including budgeting, are presented in Annexes 9a and 9b. The institutional capacity building strategy will bear in mind the need to: · Develop organizational mechanisms to ensure that environmental and social policies of the World Bank and Afghanistan are followed in all sub-projects. · Ensure coordination of all implementing agencies like EIRP, OFWMP and regulating agency like NEPA on environmental issues · Improve networking among various government departments at the regional or provincial level, irrigation associations, PCU, CDCs, River Basin Organizations (RBOs) and supporting NGOs · Assure follow-up to the National Strategy for the Environment and the Environmental Action Plan as laid out under Environmental Law of Afghanistan. · Assist MEW in strengthening their own capacity to deal with social and environmental issues and develop socially and environmentally sound investment programs. · Define overall needs for environmental education, information, promotion and training. The National Environmental Protection Agency (NEPA) is a relative new agency which has been given cabinet level status by the government and has departments in all provinces. NEPA’s institutional capacity is evolving and it has with the help of its international partners and donors developed Environmental Law, EIA regulations, National Environmental Impact Assessment Policy, Administrative Guidelines for the Preparation of Environmental Impact Assessments. However, NEPA needs trainings and capacity building efforts from the donor community to help implement and mainstream the mentioned laws, regulations and policies in letter and spirit into the national policies, strategies, plans and programs. As per the Environment Law, NEPA has established an EIA Board of Experts to the review EIA/SIA reports submitted by major national projects in the country. Currently, the capacity of the EIA Board of Experts is low but NEPA is trying to obtain donor support, including from the WB, to build the capacity the EIA Board of Experts. The IRD project team and MEW will establish contacts with the relevant NEPA departments to cooperate and coordinate in the implementation of the environmental laws, policies and regulations as well as the World Bank safeguards policies. During the project implementation Page 33 33 a joint IRDP - NEPA assessment would be conducted to identify short term training needs in NEPA and develop a program for training delivery (see Annex 8a for Training Action Plan for Environmental and Social Safeguards and Annex 8b Training and Capacity-Building Activities at Different Levels. IV.5 Capacity Building of Mirabs and CDCs Emphasis will be placed on developing practical, hands-on training for community groups including men and women’s CDCs, water users associations, Mirabs, village organizers and farmers based on a thorough assessment of local needs. Capacity development efforts will also be targeted towards local government staff, particularly water management department and NEPA personnel, whose ongoing support to local communities is vital for the sustainability of project activities. Trainings will include · Building knowledge and skills of farmers through training in appropriate technologies and, improved water management practices, · Strengthening the institutional capacity of Mirabs and the CDCs · Building village organisers’ awareness of social and environmental issues and enhancing their capacity to monitor mitigating measures. · Assessing the impacts of project activities, e.g. canal lining, building diversion works on environmental flow and water flow regimes and their relevant mitigation measures in small valleys irrigation. · Using/managing dispute resolution mechanisms and consider best practices in similar projects both in Afghanistan and other countries. · Assessing the potential impacts of the project activities on the nearby wetlands (if any) and their relevant mitigation measures. · Assessing and managing environmental health and hygiene issues, eradicating stagnated waters near human settlements, using water courses for human drinking purposes and other domestic purpose, e.g., washing clothes, bathing, watering and washing animas and etc. · Improving communities’ awareness of financial, material and technical aspects of water management. There should be a regulatory body to adjudicate any conflict or breach of contract between CDCs/IAs and the MEW. IV.6 Monitoring and Evaluation Implementation of the ESMF will be subject to internal monitoring at two levels. At local level, PCU regional safeguards officers, together with a regional social/gender organizer, will be responsible for monitoring to ensure that all required environmental and social measures are satisfactorily implemented. Information collected from their various village-level meetings and observations of sub-projects together with information provided by village organizers will be reported monthly to the national PCU team using standard reporting forms. (see Annex 11). Village organizers, identified by communities will be trained by regional safeguards officers to monitor social and environmental safeguards compliance. Women organizers will be accompanied by a male family member (Mahram) where they experiences difficulty in going out alone in villages to perform this role. Page 34 34 At national level PCU and FAO Safeguards staff will take overall responsibility for overseeing progress in implementing the ESMF and assessing the effectiveness of mitigation measures against agreed indicators. They will be responsible for developing/ updating reporting forms to be used by regional safeguards officers and for preparing quarterly reports which will inform both the Government and the World Bank on progress. External assessment of compliance with mitigation measures will also be carried out on a regular basis by an external agency to be appointed by the MEW with the results communicated to the PCU and the World Bank. The external monitoring agency (EMA) will also be responsible for the preparation of the bi- annual compliance report on LARAPs which will review how compensation and related resettlement assistance in cash or kind are being delivered to affected households. The EMA will use the compliance report specifically to assess the status of project- affected vulnerable groups such as female-headed households, landless, disabled/elderly and poor families. Based on the results of the compliance report, the EMA will recommend to MEW/the World Bank if the necessary civil works on irrigation rehabilitation and dam building with resettlement impacts can commence. IV.7 Grievance and Complaints Redress The Technical Assistance Unit, Regional Safeguards Officers and implementing/partner NGO will have an important role in ensuring that communities have a full understanding of the concept of just compensation for land and/or assets and the procedures to be followed in filing complaints. The Land Acquisition Committee (LAC), established by the Council of Ministers under the Law on Land Expropriation, will also perform the task of a grievance redress committee in relation to the value of land or assets acquired. The five member LAC consisting of the affected person, representatives from each of the Ministries of Energy and Water, Finance and Justice and a local government representative, will seek to reach a consensus on the replacement value of land and assets lost. If the negotiated approach fails the AP may bring this matter to a Grievance Redress Committee (GRC), established under the IRDP, to try and resolve the issue. The GRC does not have any legal mandate or authority but acts as a facilitator to try and resolve issues between the affected household and the MEW/PCU which would implement the valuation based on the decision of the LAC. The GRC will consist of the affected person, representative from local government, representative from the PCU- Technical Assistance Unit, representative from the local legal department and a representative from the implementing NGO. The GRC would meet to try and resolve the matter and make a recommendation within 7-10 working days. If there is no decision after 10 days the affected person may seek recourse through the legal system as a last resort. However, every effort would be made to avoid this costly alternative for the AP. IV.8 Budget for Environmental and Social Safeguards Compliance An amount of US$525,000 is earmarked in the project cost for ESMF related training and capacity building of staff, Mirabs, CDC, contractors, training manuals, awareness materials, exposure visits, preparation of site specific EMP and third party monitoring. The cost of LARAP preparation and implementation (if applicable) will be estimated as part of the Page 35 35 feasibility studies of small dams. This cost will be met from the allocation for the small dam component. Table: Budget for Environmental and Social Safeguard Compliance No. Activities Unit Cost (US$) 1 Independent Third party monitoring 250,000 2 Various ESMF related trainings 8 35,000 3 Land Acquisition and Resettlement Plans To be determined during feasibility study preparation for small dams 4 a) Preparation of Environmental & Social Safeguards Training Manual (local languages) 1 20,000 5 b) Preparation of Environmental & Social Safeguards Operational Manual 1 10,000 6 c) Sub-Project-wise Preparation of Environmental and Social Management Plan (ESMP) 125 125,000 7 Training and awareness (IA & Community) a) Development of IEC/Extension Materials in Local Languages 1 25,000 8 b) On-site training program on safeguards for IA members/Community 5 x 2 10,000 9 Exposure visits for staff and community members 50,000 Total 525,000 IV.9 Communication As IRDP sub-projects are expected to be demand-driven, communities have to be supported to take ownership of operations and accept responsibility for ensuring they these meet all the safeguard measures. Effective information-sharing and communication play a vital role in empowering communities to assume these roles. A communication for development strategy to increase the overall effectiveness of the project will be developed by the Technical Assistance Team and will be implemented principally by environmental and social safeguards officers. Its key objectives will include: · providing relevant information to communities about the project through appropriate communication channels, · facilitating a meaningful two way exchange of information with different groups of stakeholders throughout the course of the project · building trust between project staff and communities and promoting collaboration among all stakeholders. · Facilitating collaborative relationships with other development agencies The strategy will include: a) Involvement of policy makers: The PCU will make presentations to, and hold briefing sessions, with relevant Government Ministries including the MEW, MAIL, on a regular basis. They will be invited to participate in ongoing consultation processes to ensure transparency and gain public support. b) Communication through relevant media: The Safeguard specialists will assess community and other stakeholders access to, and use of, broadcast and print media and explore how the most appropriate outlets might be used to raise awareness of the Page 36 36 project. During sub-project preparation a public awareness campaign will make use of relevant media to inform communities of their legal entitlements, rights and responsibilities in respect of water resources management at community level. c) Communication through locally relevant channels. Regional safeguard officers will identify trusted ways in which different groups within communities, particularly poorer groups, receive and communicate information (e.g. Village meetings, mosque, water users associations, women CDC, market etc.) and will make use of these channels to convey information and receive information. d) Involvement of regional government departments: Regional PCU staff will meet regularly with government staff in key regional departments such as the Water Management Department and NEPA staff, Department of Health, Agricultural Extension Services etc to explore possible programme linkages. e) Communication through NGOs. The implementing/partner NGO will also disseminate project information about the LARP and other aspects of the project through its own communication mechanism. f) PCU participation in various regional fora. Where possible, regional Safeguards officers will participate in regional NGO meetings to inform local NGOs about the work and explore possible areas of synergy with the IRDP for community level work. IV.10. Disclosure This Environmental and Social Management Framework (ESMF) was developed by the MEW on the basis of the generic Framework for World Bank-funded reconstruction operations, a review of the ESMF implementation in related WB-funded projects and a review of the specific requirements of the planned project. Prior to approval of the project by the World Bank, it was disclosed on INSERT DATE OF DISCLOSURE by MEW in Afghanistan in both Dari and Pashto in relevant places in the country and the English version of the ESMF at the World Bank’s InfoShop on INSERT DATE OF DISCLOSURE . V. Process and Responsibilities of Social and Environmental Screening/Assessment V. 1. Overview: All schemes/sub-projects identified for implementation under the Project will be subjected to the screening process to ensure compliance with the provisions of this ESMF and to determine whether they are permissible and abide by all the legal requirements of the government and safeguard policies of the World Bank. · Schemes requiring detailed assessment will be subjected to a LSEA or full ESIA. · Proposals for schemes involving voluntary land donation or involuntary acquisition and resettlement or serious environmental issues would be subject to World Bank’s prior review and clearance. · NEPA’s approval would be sought where required under the Law. · An independent third party would monitor implementation of scheme/sub-project specific land acquisition and resettlement plans and EMPs. The independent third party will submit periodic reports on compliance with the ESMF. Page 37 37 Environmental & Social Management Procedures Sub-Project Cycle Environment & Social Management Procedure Sub-Project Identification by Community Detailed Sub-Project Preparation Sub-Project Approval Detailed Design & Tendering Sub-Project Implementation Annual Review Preparation of ESMP/ Social Assessment and Regional Director PCU World Bank approval for sub projects Consultation for Environmental Management Work Continuous Consultations with Community and PAP Management Plan (S-E survey) Execution of ESMP / LARAP: · Land acquisition , Resettlement, Compensation, Livelihood Restoration · Public Consultation · Community Development Programs · Community Development Programs Annual ESMP Review E & S I s s u e I d e n t i f i c a t i o n E & S A s s e s s m e n t E & S C l e a r a n c e E S M P I m p l e m e n t a t i o n Environmental & Social Screening and Scoping Project details from PCU regional office Environment & Social Screening – included in Sub- project Proposal · Social & Environment Baseline Information · Identification of need for land donation / acquisition · Consultation with stakeholders Implementation of ESMP: · Crop / Tree Compensation · Public Consultation · Re-plantation of trees Approval of NEPA (where Environmental & social Screening Third Party Operation & Maintenance Page 38 3 8 O R G A N I S A T I O N A L S T R U C T U R E B a m y a n S u b - R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n M i n i s t r y o f E n e r g y a n d W a t e r D e p u t y M i n i s t e r M E W F A O T e c h n i c a l A s s i s t a n c e T e a m ( T A T ) S a f e g u a r d s S t a f f : E n v i r o n m e n t & S o c i a l S p e c i a l i s t + E n v i r o n m e n t & S o c i a l s t a f f i n e a c h r e g i o n I n d e p e n d e n t t h i r d p a r t y m o n i t o r i n g o f E S M F R e g i o n a l P C U O f f i c e s : P r o j e c t C o o r d i n a t i o n U n i t ( P C U ) ( K a b u l M a n a g e m e n t O f f i c e ) S a f e g u a r d s S t a f f : S o c i a l & E n v i r o n m e n t S p e c i a l i s t K a b u l R e g i o n S a f e g u a r d s s t a f f : C o m m u n i t y W a t e r A s s i s t a n t E n v i r o n n e n t & S o c i a l A s s i s t a n t H e r a t R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n K u n d u z R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n M a z a r R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n + A d d i t i o n a l s t a f f f o r S m a l l D a m s c o m p o n e n t . K a n d a h a r R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n J a l a l a b a d R e g i o n S i m i l a r s t a f f i n g a s i n K a b u l R e g i o n L a r g e S c h e m e U n i t S a f e g u a r d s S t a f f : E n v i r o n n e n t & S o c i a l A s s i s t a n t M & E U n i t S a f e g u a r d s S t a f f : E n v i r o n m e n t a n d S o c i a l A s s e s s o r F A O T A T e n v i r o n m e n t & s o c i a l s t a f f E n v i r o n m e n t & S o c i a l s t a f f o f D e s i g n & C o n s t r u c t i o n S u p e r v i s i o n C o n s u l t a n t s f o r s m a l l d a m s F a r m e r / C o m m u n i t y P a r t i c i p a t i o n t h r o u g h M i r a b s a n d C D C s F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f F A O T A T e n v i r o n m e n t & s o c i a l s t a f f Page 39 39 V. 2. Organizations Structure and Responsibilities The PCU offices at Kabul and in the regional offices will have social and environmental staff. The FAO technical assistance will have environment and social management specialists at Kabul. These environmental and social staff at Kabul will have the following key responsibilities: ¾ reviewing adequacy of the screening/appraisal reports prepared by the regional staff. These reports will be an integral part of the scheme/sub-project proposal. ¾ Coordinating environmental and social commitments and initiatives with relevant government agencies including the Afghanistan Land Authority and NEPA. ¾ Coordination of all social and environmental activities through-out the sub-project cycle from conceptualisation to operation and maintenance. Monitor ESMP implementation across all stages of sub-project implementation. ¾ Advising and coordinating with the PCU regional offices to carry out environmental and social surveys for all sub-projects. ¾ Following up to expedite environmental clearances and the land acquisition processes, where applicable. ¾ Training of regional staff, mirabs, CDCs on environment and social issues and implementation of management plans. ¾ Training of staff of other departments in MEW to familiarize them with the ESMF document. ¾ Coordinating with, and receiving feedback from the Independent Third Party Monitoring Agency Responsibilities of regional social and environmental and social staff. The social and environmental officers and the community water development assistants (CWDA) of the regional offices will have the primary responsibility for: (i) Carrying out environmental and social screening/appraisal in accordance with the provisions of the ESMF in close consultation with the local communities, Mirabs and CDCs. The screening/environmental appraisal will: · Identify the specific prevention/mitigation measures that will be implemented to prevent/mitigate the adverse environmental impacts of the proposed activity. · Assess the requirements of various resources (financial, technical, institutional, and so on) to implement the mitigation measures. · Identify the relevant institutes/government departments, which can support the resource requirements for implementation of the mitigation measures. · Revise the budget (if necessary) considering all the above three points. (ii) Conduct surveys on sites being considered for land acquisition (100 % HH socio-economic survey of all potential PAPs in vase of land acquisition – except for small dams component, where Consultant will be contracted). (iii) Interact with Revenue Authorities for land acquisition and follow up with authorized agencies for implementation of ESMP (iv) Supervise and Monitor ESMP implementation and produce periodic reports Page 40 4 0 R E S P O N S I B I L I T I E S F O R E N V I R O N M E N T & S O C I A L A S S E S S M E N T P R O C E S S R E S P O N S I B I L I T Y I N T E R N A L E X T E R N A L P R O J E C T C Y C L E A C T I V I T I E S / P R O C E S S O U T P U T / I N D I C A T O R S P R E P A R A T I O N / E X E C U T I O N R E V I E W A P P R O V A L P R E P A R A T I O N I . P r o j e c t I d e n t i f i c a t i o n 1 . I r r i g a t i o n R e h a b i l i t a t i o n S u b - P r o j e c t s : E n v i r o n m e n t a l & S o c i a l S c r e e n i n g a n d S c o p i n g 2 . S m a l l D a m s : E n v i r o n m e n t a l & S o c i a l S c r e e n i n g a n d S c o p i n g · S c r e e n a n d s c o p e s u b - p r o j e c t s i t e s f r o m a n e n v i r o n m e n t a l & s o c i a l p e r s p e c t i v e · P r e f e a s i b i l i t y s t u d y o f 2 2 s m a l l d a m s i t e s b y c o n s u l t a n t s · E & S s c r e e n i n g a n d s c o p i n g d o c u m e n t s a s p a r t o f s u b - p r o j e c t p r o p o s a l · 2 2 p r e f e a s i b i l i t y s t u d i e s · P C U R e g i o n a l O f f i c e · I n t e r n a t i o n a l C o n s u l t a n t · R e v i e w b y T A T E & S S t a f f · P C U & T A T · P C U R e g i o n a l D i r e c t o r · W o r l d B a n k r e v i e w 3 . I r r i g a t i o n R e h a b S u b - p r o j e c t : E n v i r o n m e n t a l & S o c i a l a p p r o v a l 4 . S m a l l D a m s : E n v i r o n m e n t a l & S o c i a l a p p r o v a l · S u b m i t s u b - p r o j e c t p r o p o s a l ( w i t h E & S S c r e e n i n g & s c o p i n g d e t a i l s ) f o r R e g i o n a l P C U A p p r o v a l · R a n k i n g o f s i t e s b a s e d o n s o c i a l , e n v i r o n m e n t , a n d t e c h n i c a l c r i t e r i a a n d c o m m u n i t y a c c e p t a n c e t h r o u g h c o n s u l t a t i o n · C o m m u n i t y a c c e p t a n c e · A c c e p t a n c e o f W o r l d B a n k · P C U R e g i o n a l O f f i c e E & S S t a f f · C o n s u l t a n t s · R e v i e w b y F A O E & S S t a f f · P C U & T A T · P C U R e g i o n a l D i r e c t o r · D e p u t y M i n i s t e r M E W · W o r l d B a n k r e v i e w I I . P r o j e c t P r e p a r a t i o n 1 . I r r i g a t i o n R e h a b i l i t a t i o n · S c r e e n a n d s c o p e s i t e s f r o m a n e n v i r o n m e n t a l · S u b - p r o j e c t p r o p o s a l r e p o r t · P C U R e g i o n a l · P C U & T A T · P C U R e g i o n a l Page 41 4 1 R E S P O N S I B I L I T Y I N T E R N A L E X T E R N A L P R O J E C T C Y C L E A C T I V I T I E S / P R O C E S S O U T P U T / I N D I C A T O R S P R E P A R A T I O N / E X E C U T I O N R E V I E W A P P R O V A L P R E P A R A T I O N S u b - P r o j e c t s : E n v i r o n m e n t a l & S o c i a l S c r e e n i n g a n d S c o p i n g 2 . S m a l l D a m s : E n v i r o n m e n t a l & S o c i a l S c r e e n i n g a n d S c o p i n g & s o c i a l p e r s p e c t i v e · C o m m u n i t y C o n s u l t a t i o n · S e l e c t i o n o f 1 0 s i t e s f o r p r e p a r a t i o n o f d e t a i l e d f e a s i b i l i t y r e p o r t s O f f i c e · I n t e r n a t i o n a l C o n s u l t a n t · P C U & T A T D i r e c t o r · D e p u t y M i n i s t e r M E W · W o r l d B a n k r e v i e w 3 . I r r i g a t i o n R e h a b S u b - p r o j e c t : E n v i r o n m e n t a l A s s e s s m e n t & M a n a g e m e n t P l a n n i n g 4 . S m a l l D a m s : E n v i r o n m e n t a l A s s e s s m e n t & M a n a g e m e n t P l a n n i n g · P r e p a r a t i o n o f E S M P · P r e p a r a t i o n o f E S M P · E S M P · E S M P · P C U R e g i o n a l O f f i c e · C o n s u l t a n t s · P C U & T A T · P C U & T A T · P C U R e g i o n a l D i r e c t o r · D e p u t y M i n i s t e r M E W · N E P A & W o r l d B a n k I I I . P r o j e c t A p p r o v a l 1 . I r r i g a t i o n R e h a b S u b - p r o j e c t s : G o A A u t h o r i t i e s A p p r o v a l s · S u b m i t s u b - p r o j e c t p r o p o s a l ( w i t h E S M P a n d s o c i a l S c r e e n i n g & S c o p i n g r e p o r t s ) f o r a p p r o v a l s · S u b - p r o j e c t p r o p o s a l i n c l u d i n g E S M P a p p r o v e d b y P C U · P C U R e g i o n a l O f f i c e · P C U & T A T · P C U R e g i o n a l D i r e c t o r Page 42 4 2 R E S P O N S I B I L I T Y I N T E R N A L E X T E R N A L P R O J E C T C Y C L E A C T I V I T I E S / P R O C E S S O U T P U T / I N D I C A T O R S P R E P A R A T I O N / E X E C U T I O N R E V I E W A P P R O V A L P R E P A R A T I O N 2 . S m a l l D a m s : G o A A u t h o r i t i e s A p p r o v a l s · S u b m i t f e a s i b i l i t y s t u d i e s o f 1 0 d a m s i n c l u d i n g E S M P f o r a p p r o v a l · F e a s i b i l i t y s t u d i e s a p p r o v e d b y D e p u t y M i n i s t e r M E W · C o n s u l t a n t · P C U & T A T · D e p u t y M i n i s t e r M E W · N E P A & W o r l d B a n k 3 . S e l e c t i o n o f 2 t o 3 D a m s i t e s f o r d e t a i l e d d e s i g n p r e p a r a t i o n · S u b m i t r e l a t i v e r a n k i n g o f 1 0 d a m s i t e s b a s e d o n s o c i a l , e n v i r o n m e n t , t e c h n i c a l a n d e c o n o m i c c r i t e r i a a n d s e l e c t i o n o f d e t a i l e d d e s i g n a n d s u p e r v i s i o n c o n s u l t a n t a n d P o E · S e l e c t i o n o f 2 t o 3 d a m s s i t e s f o r p r e p a r a t i o n o f d e t a i l e d d e s i g n a n d d e t a i l e d E M P / S A & R A P · D e t a i l e d d e s i g n a n d s u p e r v i s i o n c o n s u l t a n t s a n d P o E a p p o i n t e d · C o n s u l t a n t · P C U · P C U & T A T · P C U & T A T · D e p u t y M i n i s t e r M E W · D e p u t y M i n i s t e r M E W · W o r l d B a n k a p p r a i s a l a n d c o n c u r r e n c e · W o r l d b a n k N o L f o r s e l e c t i o n o f D D & S c o n s u l t a n t s a n d P o E I V . D e t a i l e d D e s i g n & A w a r d 1 . I r r i g a t i o n R e h a b i l i t a t i o n s u b - p r o j e c t s : d e t a i l e d d e s i g n p r e p a r e d w i t h E S M P 2 . S m a l l D a m s : s o c i a l a s s e s s m e n t & m a n a g e m e n t p l a n n i n g · P r e p a r a t i o n o f E S M P w i t h c o m m u n i t y c o n s u l t a t i o n · P r e p a r e d e t a i l e d d e s i g n w i t h E S M P · A p p o i n t m e n t o f · D e t a i l e d d e s i g n a n d b i d d o c u m e n t s · D e t a i l e d d e s i g n w i t h E S M P · I n d e p e n d e n t · P C U R e g i o n a l O f f i c e · D e t a i l e d D e s i g n a n d S u p e r v i s i o n C o n s u l t a n t · P C U & T A T · P C U , T A T & P o E · D i r e c t o r P C U · D e p u t y M i n i s t e r M E W · W o r l d B a n k c l e a r a n c e o f E S M P / S A & R A P Page 43 4 3 R E S P O N S I B I L I T Y I N T E R N A L E X T E R N A L P R O J E C T C Y C L E A C T I V I T I E S / P R O C E S S O U T P U T / I N D I C A T O R S P R E P A R A T I O N / E X E C U T I O N R E V I E W A P P R O V A L P R E P A R A T I O N i n d e p e n d e n t t h i r d p a r t y m o n i t o r s t h i r d p a r t y a p p o i n t e d 3 . C o n c u r r e n c e f o r S M P f o r s m a l l d a m s · S u b m i t S M P f o r c o n c u r r e n c e · C o n c u r r e n c e · D D & S c o n s u l t a n t · P C U , T A T & P o E · D e p u t y M i n i s t e r M E W · W o r l d B a n k N o L 4 . C o n s u l t a t i o n f o r w o r k s & T e n d e r i n g & A w a r d f o r s m a l l d a m s · C o n s u l t a u t h o r i s e d a g e n c i e s f o r e n v i r o n m e n t a l m a n a g e m e n t w o r k · A u t h o r i s e d a g e n c i e s c o n s u l t e d t o e x e c u t e e n v i r o n m e n t a l m a n a g e m e n t w o r k s · P C U r e g i o n a l O f f i c e · P C U , T A T & P o E · D e p u t y M i n i s t e r M E W · W o r l d B a n k N o L · S e l e c t a n d a w a r d s o c i a l m a n a g e m e n t w o r k t o a p p r o p r i a t e a g e n c i e s t h r o u g h c o m p e t i t i v e b i d d i n g , i f n e c e s s a r y · A g e n c i e s a p p o i n t e d t o e x e c u t e s o c i a l m a n a g e m e n t w o r k s · P C U H Q · P C U , T A T & P o E · D e p u t y M i n i s t e r M E W · W o r l d B a n k N o L V . P r o j e c t I m p l e m e n t a t i o n 1 . S m a l l D a m s a n d I r r i g a t i o n R e h a b S u b - p r o j e c t s : E x e c u t i o n o f E n v i r o n m e n t a l M a n a g e m e n t m e a s u r e s · E x e c u t e e n v i r o n m e n t a l m a n a g e m e n t m e a s u r e s · E n v i r o n m e n t a l m a n a g e m e n t m e a s u r e s e x e c u t e d · P C U R e g i o n a l O f f i c e · S e l e c t e d A g e n c y · P C U & T A T · P C U D i r e c t o r 2 . S m a l l D a m s a n d · E x e c u t e s o c i a l · S o c i a l · P C U · P C U & T A T · P C U · E x . A g e n c y ( i f Page 44 4 4 R E S P O N S I B I L I T Y I N T E R N A L E X T E R N A L P R O J E C T C Y C L E A C T I V I T I E S / P R O C E S S O U T P U T / I N D I C A T O R S P R E P A R A T I O N / E X E C U T I O N R E V I E W A P P R O V A L P R E P A R A T I O N I r r i g a t i o n R e h a b S u b - p r o j e c t s : E x e c u t i o n o f S o c i a l M a n a g e m e n t m e a s u r e s m a n a g e m e n t m e a s u r e s m a n a g e m e n t m e a s u r e s e x e c u t e d R e g i o n a l O f f i c e · S e l e c t e d A g e n c y D i r e c t o r r e q u i r e d ) f o r S M P i m p l e m e n t a t i o n . V I . O p e r a t i o n & M a i n t e n a n c e 1 . S m a l l D a m s a n d I r r i g a t i o n R e h a b S u b - p r o j e c t s : E n v i r o n m e n t a l & S o c i a l M o n i t o r i n g · M o n i t o r e n v i r o n m e n t a l a s s e s s m e n t m a n a g e m e n t p l a n m e a s u r e s · P e r i o d i c m o n i t o r i n g r e p o r t s · P C U R e g i o n a l O f f i c e · P C U H Q & T A T · D e p u t y M i n i s t e r M E W · I n d e p e n d e n t t h i r d p a r t y m o n i t o r i n g a g e n c y · M o n i t o r s o c i a l a s s e s s m e n t & m a n a g e m e n t p l a n m e a s u r e s · P e r i o d i c m o n i t o r i n g r e p o r t s · P C U R e g i o n a l O f f i c e · P C U H Q & T A T · D e p u t y M i n i s t e r M E W · I n d e p e n d e n t t h i r d p a r t y m o n i t o r i n g a g e n c y V I I . P r o j e c t R e v i e w 1 . S m a l l D a m s a n d I r r i g a t i o n R e h a b S u b - p r o j e c t s : A n n u a l E n v i r o n m e n t a l & S o c i a l R e v i e w · R e v i e w a n d r e p o r t o n e n v i r o n m e n t a l a n d s o c i a l p e r f o r m a n c e o f p r o j e c t d u r i n g c o n s t r u c t i o n , o p e r a t i o n a n d m a i n t e n a n c e · A n n u a l e n v i r o n m e n t a l a n d s o c i a l r e v i e w r e p o r t · P C U & T A T · D i r e c t o r P C U · D e p u t y M i n i s t e r M E W · I n d e p e n d e n t t h i r d p a r t y m o n i t o r i n g a g e n c y Page 45 45 Annex 1 – Negative List of Sub-project Attributes Sub-projects with any of the attributes listed below will be ineligible for support under the propose Irrigation Restoration and Development Project Attributes of Ineligible Sub-projects Involves the significant conversion or degradation of critical natural habitats. Including, but not limited to, any activity within: · Ab-i-Estada Waterfowl Sanctuary; · Ajar Valley (Proposed) Wildlife Reserve; · Dashte-Nawar Waterfowl Sanctuary; · Pamir-Buzurg (Proposed) Wildlife Sanctuary; · Bande Amir National Park; · Kole Hashmat Khan (Proposed) Waterfowl Sanctuary; and · Shewa Lake in Badakhshan Will significantly damage non-replicable cultural property, including but not limited to, any activities that affect the following sites: · Monuments of Herat (including the Friday Mosque, ceramic tile workshop, Musallah complex, Fifth Minaret, Gawhar Shah mausoleum, mausoleum of Ali Sher Navaii, and the Shah Zadehah mausoleum complex); · Monuments of Bamiyan Valley (including Fuladi, Kakrak, Shar-I Ghulghular and Shahr-i Zuhak); · Archaeological site of Ai Khanum; · Site and monuments of Ghazni; · Minaret of Jam; · Mosque of Haji Piyada/Nu Gunbad, Balkh province; · Stupa and monastry of Guldarra; · Site and monuments of Lashkar-i Bazar, Bost; and · Archaeological site of Surkh Kotal. · Other conservation hot spots Requires pesticides that fall in WHO classes IA, IB, or II. Supports commercial logging or plantations in forested areas. Page 46 46 Annex 2a – Public Announcements (Prior to the transect Walk) Province: …………….. Project ID:…………………… District/Village: ……………… · What is the Project and its salient features · Benefits · Which Agencies are involved · What if resentment from community · Need for additional land through Voluntary Land Donation · Likely Impacts and Entitlements · Date of Transect Walk · Alignment Details along with map of alignment displayed · Whom to be invited (upstream & downstream communities, CDCs, IAs, Mirabs, Sub- Mirabs, etc.) · Responsible Agency/Person: PCU Regional Office Team Leader Contact number, address Page 47 47 Annex 2b – Alignment Details for Disclosure (Prior to finalization of alignment/transect walk) Province: …………….. Project ID:…………………… District/Village: ……………… Name of sub-Project alignment: Total Length (km): Connected Settlements: •Starting Node/km: •Ending Node/km: Population Benefited Total Implementing Agency: Name of Contact Person and Address: Project alignment marked on schematic diagram with socio-environmental features Socio-environmental Features Schematic diagram Page 48 48 Annex 2c – Outputs of Transect Walk (After finalization of transect walk) Province: …………….. Project ID:…………………….. District/Village: ……………… Participants: .................................................................................................................... Identification of Environmental & Social sensitive location Likely location for additional land requirement Issues identified PAPs Identified Suggestion from community Modifications (if any) to minimize land width accretion and incorporating community suggestions through alterations/modifications on alignment: ……………………………………………………………..…………………………… …………………………………………………………………..……………………… Responsible Agency/Person: SO, IAs/CDC (Chairman and other members), Government officer, if any Ground rule to be followed : CDC, representative of government relevant department, Safeguard focal point, representative from IA, local religious scholar, Site engineer, and likely owner(s) or their legal representative(s) should participate in the transact walk but each PAP family should be consulted individually and separately before written agreement in CDC meeting. Page 49 49 Annex 3 – Sub-project Screening Checklist A Environmental and Social Impacts Response Location 1 Are there environmentally sensitive areas (forests, pastures, rivers and wetlands) or threatened species that could be adversely affected by the sub-project? 2 Does the sub- project area (or components of the project) occur within or adjacent to any protected areas designated by government (national park, national reserve, world heritage site, etc.)? 3 If the sub- projects are outside of, but close to, any protected area, is it likely to adversely affect the ecology within the protected areas (e.g., interference with the migration routes of mammals, fish or birds)? 4 Will the sub- projects reduce people’ s access to the pasture, water, public services or other resources that they depend on? 5 Might the sub- projects alter any historical, archaeological or cultural heritage site or require excavation near such a site? Physical and biological environment 6 Will sub- projects require large volumes of construction materials (e.g. gravel, stones, water, timber, firewood)? 7 Might the sub- projects lead to soil degradation or erosion in the area? 8 Might the sub-projects affect soil salinity? 9 Will the sub- projects create solid or liquid waste that could adversely affect local soils, vegetation, rivers, streams or groundwater? 10 Might river or stream ecology be adversely affected due to the installation of structures such as weirs, etc.? 11 Will the sub- projects have adverse impacts on natural habitats that will not have acceptable mitigation measures? 12 Do the sub- projects have human health and safety risks, during construction or later? 13 Might the sub-projects lead to migration into the area? Alternatives 14 Is it possible to achieve the objectives above in a different way, with fewer environmental and social impacts? B Land Acquisition and Social Issues 1 Have all groups within the community been consulted about the proposed sub project? 2. Which groups have not been consulted? 3 Will the sub- projects require acquisition of land (public or private)and/or other assets for its development? Will the sub-projects require voluntary land donations? 4 Will anyone be prevented from using economic resources (e.g. pasture, community place, forests etc .) to which they have had regular access? 5 Will the sub - projects result in the involuntary resettlement of Page 50 50 individuals or families? 6 Will the sub- projects result in temporary or permanent loss of crops, fruit trees and household infrastructur e such as granaries, toilets, kitchens etc? 7 Will the sub- projects affect the livelihoods of particular groups within the communities,, especially vulnerable groups such as the landless? 8 Will the sub-projects affect the well- being and livelihoods of women, particularly female-headed households? 9. Will the sub- projects benefit all groups within the community equally? 10. Are there ongoing land or water disputes within the community/ with neighbouring communities? C Local Minorities 1 Might the project adversely affect local minority groups or vulnerable people living in the area? 2 Are there members of these groups in the area who could benefit from this project? If any project affected people are suffering negative livelihood impact because of the project or any of their land or assets are impacted, or access to any of these, then further action is required in terms of identifying impact, consult with PAPs, minimize impact and find mitigation measures and compensation. Regarding land acquisition, it is necessary to document all consultations with PAPs. With regard to voluntary lan d donations it is also necessary to document the process including community compensation. It is essential to stipulate that any acquired land should be legally transferred to the community in order to avoid future disputes. The land document should be ce rtified by a local government agency, i.e. local court or district office and a copy of land transformation document should also be kept in local government office. (ref. Annex 4a- c) The Land Acquisition and Resettlement Framework ( see annex 16) provides detailed guidance on complying with requirements in relation to all land acquisition. Where there is a dispute over land, then the sub- project should either be dropped or the dispute should be resolved first at local level through skilled mediators like the NGOs or similar competent bodies. D Pesticides and Waste Materials 1 Will the project result in the introduction of pesticides or an increase of pesticide use if use of such products currently exists? 2 Will the project result in the production of solid or liquid waste (e.g. water, domestic or construction waste), or result in an increase in waste production, during construction or operation? E Is there probability of the presence of landmines or unexp loded devices at or near the proposed sub-project area? Page 51 51 Check list for watershed management for soil and water conservation of the subproject 1 Is any person living on or near the land needed for the subproject, or is any person farming there, using the land for grazing or watering of animals or for any other purpose? Yes No 2 Reduce biodiversity? 3 Adversely affect downstream users? 4 Affect areas of water sources extraction? 5 Affect wetland/swamps areas? 6 Affect rare/endangered species? 7 Adversely affect human health? 8 Provide benefits to both men and women? 9 Cause changes in land, water morphology and physical characteristics as well as quality and quantity of resources? 10 Reduce quality of land, water, or health of plants or animals? Check list for rehabilitation of infrastructure S. No checklist questions Yes No 1 Will it cause land use conflicts? 2 Is any person living on or near the land needed for the subproject, or is any person farming there, using the land for grazing or watering of animals or for any other purpose? 3 Generates excessive dust and noise? 4 Leads to creation of open pits? 5 Reduces biodiversity? 6 Leads to construction wastes? 7 Leads to loss of vegetation? Page 52 52 Check list for use of rainwater harvesting techniques S . No c hecklist questions Y es N o 1 Is any person living on or near the land needed for the subproject, or is any person farming there Using the land for grazing or watering of animals or for any other purpose? 2 Lead to increased incidence of water-borne disease? 3 Lead to land degradation at livestock watering points? 4 Increase risk of flooding during heavy rain? 5 Lead to siltation due to erosion? 6 Provide benefits to men and women? Check list for improvement of traditional irrigation schemes S. No checklist questions Yes No 1 Is any person living on or near the land needed for the subproject, or is any person farming there, using the land for grazing or watering of animals or for any other purpose? 2 Result in increased salinity of soil or water? 3 Increase incidence of water borne disease? 4 Adverse impact on downstream users? 5 Land and water use conflicts? 6 Provide benefits to both men and women? Circle screening conclusion: If the answers to the checklist questions are “No” then there is no need for further action. If the answers to the questions are “Yes”, then consult the relevant procedures /guidelines for assistance in addressing issues of concerns. Page 53 53 Annex 4 – Protection of Cultural Property Physical culture includes monuments, structures, works of art, or sites of "outstanding universal value" from the historical, aesthetic, scientific, ethnological, or anthropological point of view, including unrecorded graveyards and burial sites. Within this broader definition, cultural property is defined as sites and structures having archaeological, paleontological, historical, architectural, or religious significance, and natural sites with cultural values. The proposed emergency reconstruction operations are unlikely to pose a risk of damaging cultural property, as the subprojects will largely consist of small investments in community infrastructure and income generating activities, reconstruction of existing structures, and minor urban public works. Further, the negative list of attributes, which would make a subproject ineligible for support (Annex 1), includes any activity that would significantly damage non- replicable cultural property. Nevertheless, the following procedures for identification, protection from theft, and treatment of chance finds should be followed and included in standard bid documents. Chance Find Procedures Chance find procedures are defined in the law on Law on the Preservation of Afghanistan’s Historical and Cultural Heritages and Artifacts (Official Gazette, April 16, 2004), specifying the authorities and responsibilities of cultural heritage agencies if sites or materials are discovered in the course of project implementation. This law establishes that all moveable and immovable historical and cultural artifacts are state property, and further: · The Archaeology Institute and the Historical Artifacts Preservation and Repair Department are both responsible to survey, evaluate, determine and record all cultural and historical sites and collect and organize all historical documents related to each specific site. No one can build or perform construction on the recorded historical and cultural site unless approved or granted permission or agreement is issued from the Archaeology Institute.(Art. 7) · All moveable and Immovable historical and cultural artifacts and heritage items that are discovered or remain buried and not discovered/excavated in Afghanistan are the property of the Islamic Republic of Afghanistan and any kind of trafficking of such items is considered theft and is illegal.(Art. 8) · Whenever municipalities, construction, irrigation or other companies (whether they are governmental or private) find or discover valuable historical and cultural artifacts during the conduct of their projects, they are responsible to stop their project and report any findings to the Archaeology Institute about the discovery.(Art. 10) · Any finder or discoverer of historical and cultural sites is obligated to report a find or discovery to the Archeology Institute immediately but not later than one week if it is in the city and not later than 2 weeks if it is in a province. All discovered artifacts are Page 54 54 considered public properties and the Government of Afghanistan will pay for all lands and sites which are considered to be of historical or cultural value.(Art. 19, 1) · Whenever there is an immovable historical and cultural site discovered which includes some movable historical and cultural artifacts, all such movable artifacts are considered public property and the owner of that property will be rewarded according to Article thirteen (13) of this Decree.(Art. 19, 2) · A person who finds or discovers a movable historical and cultural artifact is obligated to report the discovery to the Archaeology Department no later than seven (7) days if he/she lives in the capital city of Kabul, and in the provinces they should report the discovery to the Historical and Cultural Artifacts Preservation Department or Information and Culture Department or to the nearest governmental Department no later than fourteen (14) days. · Mentioned Departments in this article are responsible to report the issue to the Archaeology Department as soon as possible and the discoverer of the artifact will be rewarded according to Article 13 of this Decree. (Art. 26) · Whenever individuals who discover historical and cultural artifacts do not report such discoveries to the related Departments within the specified period according to Articles 19 and 26 of this Decree, they will be incarcerated for a minimum of one (1) month but not more than a maximum of three (3) months.(Art. 75) The above procedures must be referred to as standard provisions in construction contracts, when applicable. During project supervision, the Site Engineer shall monitor that the above regulations relating to the treatment of any chance find encountered are observed. Relevant findings will be recorded in World Bank Project Supervision Reports (PSRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the projec t’s cultural resources mitigation, management, and capacity building activities, as appropriate. Page 55 5 5 A n n e x 5 ( a ) – T y p i c a l E n v i r o n m e n t I m p a c t s a n d M i t i g a t i o n M e a s u r e s S u b - P r o j e c t s M a n a g i n g E n v i r o n m e n t a l I m p a c t s I m p l e m e n t a t i o n A r r a n g e m e n t s E n v i r o n m e n t a l C o n c e r n s P o t e n t i a l I m p a c t s M i t i g a t i o n M e a s u r e s I d e n t i f i e d P r i m a r y / E x e c u t i o n S u p e r v i s i o n D e s i g n S t a g e E n v i r o n m e n t a l l y s e n s i t i v e a r e a s l i k e f o r e s t s , p a s t u r e s , r i v e r s , e t c c l o s e t o t h e s i t e A d v e r s e e f f e c t s o n f l o r a a n d f a u n a A v o i d t h e s i t e a l t o g e t h e r C a r r y o u t a d e t a i l e d e n v i r o n m e n t a l s u r v e y R e g i o n a l P C U e n v i r o n m e n t a l o f f i c e r / C o m m u n i t y W a t e r D e v e l o p m e n t A s s i s t a n t ( C W D A ) T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r P r o t e c t e d a r e a s / n a t i o n a l r e s e r v e ; c u l t u r a l h e r i t a g e s i t e s c l o s e t o t h e s i t e A d v e r s e e f f e c t s o n f l o r a a n d f a u n a ; h i s t o r y / c u l t u r e A v o i d t h e s i t e a l t o g e t h e r C a r r y o u t a d e t a i l e d e n v i r o n m e n t a l s u r v e y R e g i o n a l P C U e n v i r o n m e n t a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r P r e s e n c e o f l a n d m i n e s o r u n e x p l o d e d d e v i c e s a t o r n e a r t h e p r o p o s e d s i t e T h r e a t t o l i f e a n d p r o p e r t y C l e a r a n c e a s d e - m i n i n g z o n e R e g i o n a l P C U e n v i r o n m e n t a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r H y d r o l o g y D o w n s t r e a m w a t e r a v a i l a b i l i t y M a i n t a i n f l o w r e q u i r e d f o r d o w n s t r e a m u s e s R e g i o n a l P C U e n v i r o n m e n t a l o f f i c e r / D e s i g n e n g i n e e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r / D e s i g n E n g i n e e r S o i l e r o s i o n H i g h s u s p e n d e d s o l i d c o n t e n t s o f r i v e r ; s e d i m e n t a t i o n ; d r a i n a g e f a i l u r e a n d m u d f l o w s P r o v i d e s p e c i f i c a t i o n s f o r a p p r o p r i a t e c u t a n d f i l l o p e r a t i o n s f o r c h a n n e l s C o n s i d e r s l o p e a n d p i e r p r o t e c t i o n w i t h r e t a i n i n g s t r u c t u r e a n d g a b i o n R e g i o n a l P C U e n v i r o n m e n t a l o f f i c e r / D e s i g n e n g i n e e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r / D e s i g n E n g i n e e r W a t e r b o r n e d i s e a s e s I n c r e a s e i n c i d e n c e o f d i s e a s e s u c h a s M a l a r i a a n d c h o l e r a P r o p e r d r a i n a g e o f t h e a r e a . L i n k t o o t h e r a g e n c i e s ( g o v e r n m e n t a n d N G O s ) w o r k i n g o n h e a l t h i s s u e s i n t h e l o c a l i t y s o t h a t i m p r o v e d h e a l t h c a r e p r a c t i c e s c a n b e i n t r o d u c e d t o / a d o p t e d b y l o c a l c o m m u n i t i e s . R e g i o n a l P C U D e s i g n e n g i n e e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r / D e s i g n E n g i n e e r Page 56 5 6 C o n s t r u c t i o n S t a g e S o i l S o i l e r o s i o n S u s p e n d e d s o l i d c o n t e n t s o f r i v e r , s e d i m e n t a t i o n , s i l t a n d m u d f l o w s P l a n t a t i o n o f a p p r o p r i a t e v e g e t a t i o n o n h i l l s l o p e s a n d o t h e r p o t e n t i a l l y e r o d i b l e p l a c e s a l o n g t h e e m b a n k m e n t D e s i g n c o n s i d e r a t i o n f o r e r o s i o n : s l o p e a n d p i e r p r o t e c t i o n w i t h r e t a i n i n g s t r u c t u r e a n d g a b i o n A p p r o p r i a t e e a r t h c o m p a c t i o n a n d i n c o n s t r u c t i o n o f a c c e s s r o a d s R e s t r i c t i o n o f v e h i c u l a r a n d c o n s t r u c t i o n m a c h i n e r y m o v e m e n t s v e r y c l o s e t o t h e c a n a l / r i v e r b a n k s C o n t r a c t o r / R e g i o n a l P C U D e s i g n e n g i n e e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r / D e s i g n E n g i n e e r L a n d s c a p e D e g r a d a t i o n D e g r a d a t i o n o f b o r r o w a r e a s L o s s o f t o p s o i l R e p l a c e s t o c k p i l e d s o i l c o v e r R e p l a n t g r a s s / s h r u b s I n s t a l l s e d i m e n t r u n o f f c o n t r o l d e v i c e s E n s u r e o n g o i n g e r o s i o n m o n i t o r i n g C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r T o p s o i l L o s s o f t o p s o i l S t r i p p i n g a n d s t o r i n g o f t o p s o i l p r i o r t o c o n s t r u c t i o n a n d r e u s e i t d u r i n g c o n s t r u c t i o n C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r G e n e r a t i o n o f e x c a v a t e d m a t e r i a l s / d e b r i s / w a s t e m a t e r i a l s L a n d s c a p e d e g r a d a t i o n E n s u r e c o n t r a c t o r s c o m p l y w i t h c o n t r a c t p r o v i s i o n s f o r r e s t o r i n g l a n d s c a p e P C U S u p e r v i s o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s E x c e s s o f c o n s t . r u c t i o n w o r k m a y i n v o l v e f e l l i n g o f t r e e s R e d u c t i o n o f v e g e t a t i o n o r c u t t i n g o f t r e e s T w i c e a s m a n y w i l l b e p l a n t e d P C U S u p e r v i s o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s W a t e r S i l t a t i o n A d v e r s e e f f e c t s o n c h a n n e l s t a b i l i t y a n d d a m a g e t o c a n a l b a n k s . / s t r e a m m o r p h o l o g y a n d r e g i m e c h a n g e E n s u r e p r o p e r d e s i g n o f c h a n n e l s . P l a n t a t i o n o f g r a s s , c r e e p e r s a n d t r e e s t o p r e v e n t w a s h i n g a w a y o f m a t e r i a l s f r o m s l o p e d s u r f a c e s a n d a l o n g c a n a l b a n k s P C U d e s i g n E n g i n e e r T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r W a t e r S o i l d e g r a d a t i o n E n s u r e p r o p e r d r a i n a g e C o n t r a c t o r P C U / T e c h n i c a l Page 57 5 7 l o g g i n g / s a l i n i t y A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r S o l i d / L i q u i d W a s t e s a n d H a z a r d o u s M a t e r i a l s W a s t e s f r o m c o n t r a c t o r ’ s y a r d a n d c o n s t r u c t i o n c a m p C o n t a m i n a t i o n f r o m w a s t e s A l l s o l i d w a s t e s t o b e c o l l e c t e d a n d r e m o v e d f r o m t h e c a m p s i t e s a n d d i s p o s e d i n l o c a l w a s t e d i s p o s a l s i t e s P r o v i s i o n o f i m p e r v i o u s b a s e t o s t o r a g e a r e a s t o p r e v e n t c o n t a m i n a t i o n o f h a z a r d o u s m a t e r i a l s t o w a t e r s o u r c e s , l e a c h i n g i n t o g r o u n d w a t e r C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s A i r a n d N o i s e P o l l u t i o n A i r p o l l u t i o n D i s c o m f o r t a n d h e a l t h h a z a r d R e g u l a r m a i n t e n a n c e o f v e h i c l e s a n d m a c h i n e r y u s e d f o r c o n s t r u c t i o n R e g u l a r s p r a y i n g o f w a t e r i n t h e m a t e r i a l s m i x i n g a n d h a n d l i n g a r e a s / t e m p o r a r y a c c e s s r o a d s C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s N o i s e p o l l u t i o n N e c e s s a r y p e r m i s s i o n f r o m N E P A i f b l a s t i n g i s c a r r i e d o u t R e g u l a t i o n o f v e h i c u l a r m o v e m e n t s , e s p e c i a l l y c l o s e d t o h a b i t a t s C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s W o r k e r ’ s h e a l t h , s a f e t y a n d h y g i e n e H e a l t h i m p a c t P r o v i d e a d e q u a t e p r o t e c t i v e d e v i c e s , d r i n k i n g w a t e r a n d s a n i t a r y f a c i l i t i e s t o w o r k e r s C o n t r a c t o r P C U / P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s / C W D A W a t e r b o r n e d i s e a s e s I n c r e a s e i n c i d e n c e o f d i s e a s e s u c h a s m a l a r i a a n d c h o l e r a P r o p e r d r a i n a g e o f t h e A r e a C o n t r a c t o r P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r a n d s u p e r v i s o r s / C W D A O p e r a t i o n S t a g e S i l t a t i o n a n d s e d i m e n t a t i o n C h o k i n g o f s t r u c t u r e s , l o s s o f w a t e r a n d p o l l u t i o n P e r i o d i c m o n i t o r i n g a n d c l e a r i n g s i l t s a n d s e d i m e n t s i n t h e c a n a l I n s t a l l s e d i m e n t t r a p s i n f i e l d s a n d c a n a l s M i r a b / C D C s C W D A F e r t i l i z e r / p e s t i c i d e s r u n o f f l e a d i n g t o p o l l u t i o n o f c a n a l w a t e r H e a l t h h a z a r d s f o r h u m a n a n d l i v e s t o c k C o m m u n i t y a w a r e n e s s o n u s e o f p e s t i c i d e s a n d a g r o - c h e m i c a l s i n a g r i c u l t u r a l f i e l d s c l o s e t o c a n a l C D C / M i r a b C W D A Page 58 5 8 D o m e s t i c u s e o f w a t e r H e a l t h h a z a r d s f o r h u m a n a n d l i v e s t o c k C o m m u n i t y a w a r e n e s s o n s a f e u s e o f c a n a l w a t e r f o r d r i n k i n g p u r p o s e s o f h u m a n a n d l i v e s t o c k C o m m u n i t y a w a r e n e s s o n n o t u s i n g c a n a l w a t e r f o r w a s h i n g c l o t h e s a n d M i r a b / C D C C W D A W a t e r b o r n e d i s e a s e s U s e o f w a t e r c h a n n e l s a s W a s t e w a t e r d r a i n s I n c i d e n c e o f d i s e a s e s s u c h a s m a l a r i a a n d c h o l e r a M a i n t a i n p r o p e r d r a i n a g e o f t h e a r e a P e r i o d i c f l u s h i n g o f t h e c h a n n e l s L i a i s o n w i t h h e a l t h a u t h o r i t i e s o n e a r l y W a r n i n g s i g n c o m m u n i c a t i o n M i r a b / C D C s C W D A / p a r t n e r s o r g a n i z a t i o n s P C U / T e c h n i c a l A s s i s t a n c e T e a m ’ s E n v i r o n m e n t a l O f f i c e r / M & E u n i t Page 59 5 9 A n n e x 5 ( b ) – T y p i c a l S o c i a l I m p a c t s a n d M i t i g a t i o n M e a s u r e s S u b - P r o j e c t s M a n a g i n g S o c i a l I m p a c t s S o c i a l C o n c e r n s P o t e n t i a l I m p a c t s M i t i g a t i o n M e a s u r e s I d e n t i f i e d I m p l e m e n t a t i o n A r r a n g e m e n t s P r i m a r y / e x e c u t i o n S u p e r v i s i o n D e s i g n S t a g e V u l n e r a b l e g r o u p s , i n c l u d i n g w o m e n , d o n o t h a v e a v o i c e . I n c r e a s e g a p b e t w e e n b e t t e r o f f a n d l e s s w e l l o f f C a r r y o u t i n i t i a l s t a k e h o l d e r a n a l y s i s a n d c o n d u c t s o c i o - e n v i r o n m e n t a l s u r v e y p r i o r t o d e s i g n t e a m g o i n g t o v i l l a g e s . U t i l i s e w o m e n ’ s C o m m u n i t y D e v e l o p m e n t C o u n c i l s ( C D C s ) t o i n v o l v e a n d c o n s u l t w o m e n o n p r o p o s e d p r o j e c t s . P a r t i c u l a r a t t e n t i o n s h o u l d b e p a i d t o f e m a l e h e a d e d h o u s e h o l d s ( F H H s ) o w n i n g l a n d a n d u s i n g w a t e r r e s o u r c e s U s e e x i s t i n g s o c i a l s t r u c t u r e s ( e . g . m o s q u e , s h u r a s , C D C s , t o b e g i n t o b u i l d a w a r e n e s s a b o u t e a c h s t a g e o f t h e p r o j e c t . R e g i o n a l P C U s o c i a l o f f i c e r / c o m m u n i t y w a t e r d e v e l o p m e n t a s s i s t a n t ( C W D A ) / l o c a l N G O s t a f f R e g i o n a l P C U s o c i a l o f f i c e r / C W D A / l o c a l N G O s t a f f R e g i o n a l P C U s o c i a l o f f i c e r / C W D A / l o c a l N G O s t a f f P C U T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / M & E U n i t I n e q u i t y I n c r e a s e i n e q u i t i e s i n a v a i l a b i l i t y a n d a c c e s s i b i l i t y o f w a t e r b e t w e e n d o w n s t r e a m a n d u p s t r e a m c o m m u n i t i e s ; i n c r e a s e l o c a l m i n o r i t y e t h n i c g r o u p s ’ w e a k b a r g a i n i n g p o s i t i o n r e g a r d i n g E n s u r e v i e w s o f a l l s t a k e h o l d e r s a t t a i l e n d , m i d d l e a n d u p s t r e a m a r e h e a r d a n d c o n s i d e r e d i n d e s i g n p r o c e s s . E n s u r e t h a t f i n a l d e s i g n d o e s n o t d i s a d v a n t a g e d o w n s t r e a m R e g i o n a l P C U s o c i a l o f f i c e r C W D A / D e s i g n e n g i n e e r T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / R e g i o n a l P C U M a n a g e m e n t Page 60 6 0 w a t e r d i s t r i b u t i o n c o m m u n i t i e s . I n v o l v e t r a d i t i o n a l m a n a g e m e n t ( m i r a b s ) a n d n e w w a t e r u s e r s a s s o c i a t i o n s t h r o u g h o u t . I n c r e a s e t h e i r s k i l l s t o h a n d l e t h e s e i s s u e s . V o l u n t a r y l a n d d o n a t i o n S p a r k c o n f l i c t d u r i n g c o n s t r u c t i o n a n d f o l l o w i n g c o m p l e t i o n o f p r o j e c t D i s c u s s a n d a g r e e r e l e v a n t L A R A P p r o c e s s e s w i t h f a r m e r s a n d v i l l a g e e l d e r s f o r d o c u m e n t i n g v o l u n t a r y l a n d d o n a t i o n s a n d m a n a g i n g r e l a t e d d i s p u t e s . E n c o u r a g e c o m m u n i t y t o p r o v i d e c o m m u n i t y c o m p e n s a t i o n t o p e o p l e d o n a t i n g l a n d v o l u n t a r i l y . R e g i o n a l P C U s o c i a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / R e g i o n a l P C U M a n a g e m e n t I n v o l u n t a r y r e s e t t l e m e n t L o s s o f l i v e l i h o o d , d i s r u p t i o n o f c o m m u n i t y l i f e a n d n e t w o r k s ; S t r i c t l y a p p l y a p p r o v e d L A R A P . E n s u r e a p p r o p r i a t e s y s t e m s i n p l a c e t o f a c i l i t a t e i n f o r m a t i o n a n d c o m m u n i c a t i o n f l o w s b e t w e e n c o m m u n i t i e s / r e l e v a n t g o v e r n m e n t b o d i e s a n d p r o j e c t . R e g i o n a l P C U s o c i a l o f f i c e r N a t i o n a l / I m p l e m e n t i n g N G O / L o c a l g o v e r n m e n t r e p r e s e n t a t i v e s C o u n c i l o f M i n i s t e r s W a t e r b o r n e d i s e a s e s I n c r e a s e i n c i d e n c e o f d i s e a s e s u c h a s m a l a r i a a n d c h o l e r a P r o p e r d r a i n a g e o f t h e a r e a . L i n k t o o t h e r a g e n c i e s ( g o v e r n m e n t a n d N G O s ) w o r k i n g o n h e a l t h i s s u e s i n t h e l o c a l i t y s o t h a t i m p r o v e d h e a l t h c a r e p r a c t i c e s c a n b e i n t r o d u c e d t o / a d o p t e d b y l o c a l c o m m u n i t i e s . D e s i g n e n g i n e e r R e g i o n a l P C U s o c i a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / R e g i o n a l P C U M a n a g e m e n t S o c i o - e c o n o m i c M i g r a t i o n : s h o r t t e r m a n d p e r m a n e n t E n s u r e p e o p l e u n d e r s t a n d I m p l i c a t i o n s o f s h o r t a n d l o n g e r t e r m R e g i o n a l P C U s o c i a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d Page 61 6 1 m i g r a t i o n o n t h e i r c o m m u n i t i e s / c o m m u n i t y s e r v i c e s . O f f i c e r / R e g i o n a l P C U M a n a g e m e n t C o n s t r u c t i o n s t a g e I n e q u i t y I n c r e a s e i n e q u i t i e s b e t w e e n d o w n s t r e a m a n d u p s t r e a m c o m m u n i t i e s I n c l u d e i n c o n t r a c t o r s ’ c o n t r a c t s a s o c i a l a n d e n v i r o n m e n t a l p l a n . R e v i e w w i t h c o n t r a c t o r s t h e r e q u i r e m e n t t o e n s u r e t h a t e m p l o y m e n t o p p o r t u n i t i e s a r e e q u a l l y a v a i l a b l e t o d o w n s t r e a m a n d u p s t r e a m c o m m u n i t i e s . E n s u r e t h a t c o n t r a c t o r s a r e m a d e a w a r e o f a n d p a y p a r t i c u l a r a t t e n t i o n t o e q u i t y i s s u e s w h e r e d i f f e r e n t e t h n i c g r o u p s a r e l o c a t e d u p s t r e a m a n d d o w n s t r e a m . P C U m a n a g e m e n t / R e g i o n a l P C U s o c i a l o f f i c e r R e g i o n a l P C U M a n a g e m e n t / T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r V o l u n t a r y l a n d d o n a t i o n S p a r k c o n f l i c t a n d r i s k o f i n c r e a s i n g i n e q u i t i e s U s e L A R A P t o e n c o u r a g e c o m m u n i t y c o m p e n s a t i o n i n c a s e o f l a n d r e q u i r e m e n t s t o o f f s e t a n y f u t u r e t e n s i o n s . W h e r e - e v e r s i g n i f i c a n t a m o u n t s o f l a n d a r e r e q u i r e d , c o m m u n i t y c o m p e n s a t i o n s h o u l d t a k e p l a c e a n d l a n d b e l e g a l l y t r a n s f e r r e d t o c o m m u n i t y . I n a c c o r d a n c e w i t h L A R A P e a c h v o l u n t a r y l a n d d o n a t i o n a g r e e d s h o u l d b e d o c u m e n t e d a n d m a d e p u b l i c p r i o r t o s t a r t o f c o n s t r u c t i o n . V o l u n t a r y l a n d d o n a t i o n p r o c e s s e s s h o u l d b e s e t o u t i n c o n t r a c t w i t h R e g i o n a l s o c i a l o f f i c e r / C W D A R e g i o n a l s o c i a l o f f i c e r / C W D A R e g i o n a l s o c i a l o f f i c e r / C W D A R e g i o n a l s o c i a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / P C U M a n a g e m e n t Page 62 6 2 c o n s t r u c t i o n c o m p a n y . R e v i e w r e q u i r e m e n t s o n h a n d l i n g l a n d d o n a t i o n s w i t h c o n t r a c t o r R e g i o n a l s o c i a l o f f i c e r / C W D A / c o n t r a c t o r L a c k o f c o m m u n i t y o w n e r s h i p o f s t r u c t u r e S t r u c t u r e s a r e n o t m a i n t a i n e d a n d f a l l i n t o d i s r e p a i r . A s s e s s c a p a c i t y o f e x i s t i n g w a t e r m a n a g e m e n t s y s t e m a n d d e v e l o p a p l a n t o s t r e n g t h e n c a p a c i t y a n d p r o m o t e w i d e r o w n e r s h i p w i t h i n t h e c o m m u n i t y R e g i o n a l s o c i a l o f f i c e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r W a t e r b o r n e d i s e a s e s I n c r e a s e i n c i d e n c e o f d i s e a s e s u c h a s m a l a r i a a n d c h o l e r a P r o p e r d r a i n a g e o f t h e A r e a C o n t r a c t o r T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / E n g i n e e r / C W D A S o c i o - e c o n o m i c M i g r a t i o n - c o n s t r u c t i o n p h a s e a n d p e r m a n e n t s e t t l e m e n t P r o v i s i o n o f a l l a m e n i t i e s i n c o n s t r u c t i o n c a m p s i t e s t o r e d u c e s t r e s s o n a l r e a d y s t r e t c h e d i n f r a s t r u c t u r e C a m p s i t e s a r e c l e a r e d a n d c l e a n e d p r i o r t o f i n a l p a y m e n t m a d e t o c o n t r a c t o r C o n t r a c t o r T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r E n g i n e e r / C W D A T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r E n g i n e e r / O p e r a t i o n s t a g e I n e q u i t y I n c r e a s e i n e q u i t i e s i n a v a i l a b i l i t y a n d a c c e s s i b i l i t y o f w a t e r b e t w e e n d o w n s t r e a m a n d u p s t r e a m c o m m u n i t i e s L o c a l w a t e r m a n a g e m e n t s y s t e m ( m i r a b s ) f a c i l i t a t e s a g r e e m e n t b y u p s t r e a m , m i d d l e a n d d o w n s t r e a m v i l l a g e s o n w a t e r d i s t r i b u t i o n m e a s u r e s . P a r t i c u l a r a t t e n t i o n s h o u l d b e p a i d i n c a s e s w h e r e t h e r e a r e d i f f e r e n t e t h n i c g r o u p s l i v i n g u p s t r e a m a n d d o w n s t r e a m . M i r a b / W a t e r U s e r s A s s o c i a t i o n / S h u r a T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / C W D A L a c k o f S t r u c t u r e s a r e n o t m a i n t a i n e d B u i l d c a p a c i t y o f w a t e r m a n a g e m e n t R e g i o n a l P C U s o c i a l T e c h n i c a l A s s i s t a n c e Page 63 6 3 c o m m u n i t y o w n e r s h i p o f s t r u c t u r e s a n d f a l l i n t o d i s r e p a i r s y s t e m ( t r a d i t i o n a l a n d n e w ) t h r o u g h s y s t e m a t i c a w a r e n e s s r a i s i n g a n d t r a i n i n g t o m a i n t a i n s y s t e m a n d r e s o l v e p r o b l e m s f a c e d b y w a t e r u s e r s . F a c i l i t a t e a f o r m a l t r a n s f e r o f p r o j e c t o w n e r s h i p t o c o m m u n i t y o f f i c e r / C W D A / p a r t n e r N G O s T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / W a t e r b o r n e d i s e a s e s U s e o f w a t e r c h a n n e l s a s W a s t e w a t e r d r a i n s I n c i d e n c e o f d i s e a s e s s u c h a s m a l a r i a a n d c h o l e r a i n c r e a s e s M a i n t a i n p r o p e r d r a i n a g e o f t h e a r e a E n s u r e p e r i o d i c f l u s h i n g o f t h e c h a n n e l s L i a i s e w i t h h e a l t h a u t h o r i t i e s o n e a r l y w a r n i n g s i g n c o m m u n i c a t i o n C o m m u n i t y w a t e r O r g a n i s a t i o n R e g i o n a l P C U s o c i a l o f f i c e r C W D A / p a r t n e r s o r g a n i s a t i o n s T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / M & E u n i t S o c i o - e c o n o m i c M i g r a t i o n – C o n s t r u c t i o n p h a s e a n d P e r m a n e n t s e t t l e m e n t I r r i g a t i o n p r o j e c t s a r e n o t m a i n s t r e a m e d w i t h i n w i d e r w a t e r r e s o u r c e m a n a g e m e n t / s u s t a i n a b l e L i v e l i h o o d s s y s t e m s L o w p r i c e s f o r a d d i t i o n a l a g r i c u l t u r a l p r o d u c e E x p a n d o t h e r i n f r a s t r u c t u r e ( c l i n i c s , s c h o o l s ) t o a c c o m m o d a t e n e w s e t t l e r s . D e v e l o p s y s t e m a t i c l i n k s / p a r t n e r s h i p s w i t h o t h e r d e v e l o p m e n t a g e n c i e s w o r k i n g i n l o c a l i t y ( e . g . M A I L , M R R D , N G O s ) F a c i l i t a t e a c c e s s t o t e c h n i c a l a d v i c e f o r f a r m e r s R e g i o n a l P C U s o c i a l o f f i c e r / C W D A / d e s i g n e n g i n e e r s . R e g i o n a l P C U s o c i a l o f f i c e r / C W D A / R e g i o n a l P C U s o c i a l o f f i c e r / C W D A / T e c h n i c a l A s s i s t a n c e T e a m ’ s S o c i a l S a f e g u a r d O f f i c e r / R e g i o n a l P C U m a n a g e m e n t Page 64 6 4 A n n e x 6 ( a ) – A c t i o n s U n d e r t h e R P F A c t i o n s . M e a s u r e s , C o m p e n s a t i o n E n t i t l e m e n t s a n d C a t e g o r i e s i n t h e R P F A C T I O N S T O I M P L E M E N T T H E I D R P W h o W h a t W h e n W h y ( O b j e c t i v e ) C o m m e n t s M E W E s t a b l i s h l i a i s o n a r r a n g e m e n t s w i t h o t h e r M i n i s t r i e s w h i c h w i l l n e c e s s a r i l y b e i n v o l v e d i n I R D P : M A I L ; M O F ; M O J ; A s s u m i n g t h e s e a r r a n g e m e n t s a l r e a d y e x i s t w i t h r e s p e c t t o E I R P , t h e y c a n b e u t i l i s e d a s o o n a s p o s s i b l e t o b r i n g t h e s e M i n i s t r i e s u p t o d a t e o n I R D P T o f a c i l i t a t e t h e s m o o t h i m p l e m e n t a t i o n o f t h e b e g i n n i n g a n d o p e r a t i o n o f t h e I R D P T h e v i t a l f i r s t s t e p i n t h e p r o c e s s o f d e v e l o p i n g t h e I R D P M E W E s t a b l i s h P M U i n t w o d i v i s i o n s : E S S P I U O n a p p r o v a l o f R P F b y W o r l d B a n k C r e a t i o n o f t h e i n t e r n a l M i n i s t r y a r r a n g e m e n t s t o i m p l e m e n t R P F P r e p a r a t o r y w o r k t o b e d o n e b e f o r e a p p r o v a l o f R P F M E W A p p o i n t n a t i o n a l s a f e g u a r d s o f f i c e r a n d r e g i o n a l s a f e g u a r d s o f f i c e r s D e s i r a b l e t o a p p o i n t t h e s e o f f i c e r s w e l l b e f o r e t h e c o m m e n c e m e n t o f I R D P C r e a t i o n o f i n t e r n a l M i n i s t r y a r r a n g e m e n t t o i m p l e m e n t R P F E a r l y a p p o i n t m e n t w i l l f a c i l i t a t e t r a i n i n g o f t h e s e o f f i c e r s . T r a i n i n g o r g a n i s e d b y E S S M E W C o m m e n c e t h e p r e p a r a t i o n o f m a t e r i a l s o n t h e R P F f o r d i s t r i b u t i o n t o p r o b a b l e A P s A t c o m m e n c e m e n t o f 2 0 1 1 T o g i v e a s m u c h a d v a n c e p u b l i c i t y t o I R D P a s p o s s i b l e a n d t o a l e r t p r o b a b l e A P s o f r e s e t t l e m e n t N o n e e d t o w a i t f o r a p p r o v a l o f R P F b y W o r l d B a n k . T h i s w o r k s h o u l d s t a r t a s s o o n a s p o s s i b l e M E W P r e p a r e t e r m s o f r e f e r e n c e f o r i n t e r n a t i o n a l s o c i a l s a f e g u a r d s c o n s u l t a n t A t c o m m e n c e m e n t o f 2 0 1 1 . A d v e r t i s e m e n t s c a n g o o u t b e f o r e R P F a p p r o v e d b u t a p p o i n t m e n t w o u l d b e d e p e n d e n t o n R P F a p p r o v a l T o e n s u r e r a p i d r e c r u i t m e n t p r o c e s s e s o n c e R P F a p p r o v e d T h e r e w i l l n e e d t o b e c o n s i d e r a b l e c o n s u l t a t i o n o n t h i s p o s t s o a c t i o n n e e d s t o s t a r t e a r l y o n M E W A p p o i n t t h e i m p l e m e n t i n g N G O w h i c h i s g o i n g t o c a r r y o u t t h e p r o c e s s e s o f r e s e t t l e m e n t I n i t i a l w o r k o n a p p o i n t m e n t – t e r m s o f r e f e r e n c e ; b a s i c r e q u i r e m e n t s f o r a n N G O t o b e q u a l i f i e d t o a p p l y ; v e t t i n g a p p l i c a n t s – c a n s t a r t i n e a r l y T h e i m p l e m e n t i n g N G O w i l l h a v e a n i m p o r t a n t r o l e t o p l a y i n a l l s i g n i f i c a n t r e s e t t l e m e n t e x e r c i s e s . F o r s u b - p r o j e c t s w h e r e n o o r v e r y s m a l l - s c a l e r e s e t t l e m e n t w i l l t a k e p l a c e , t h e E S S a n d t h e r e g i o n a l s a f e g u a r d s o f f i c e r c o u l d b e t h e Page 65 6 5 2 0 1 1 . A p p o i n t m e n t w o u l d n o t b e m a d e u n t i l R P F a p p r o v e d i m p l e m e n t e r s b u t a n y t h i n g o v e r t h a t a n d t h e i m p l e m e n t i n g N G O w o u l d b e i n v o l v e d . M E W C o n t i n u e w i t h p r o c e s s o f l o c a t i n g s i t e s a n d p r e p a r i n g t e c h n i c a l p l a n s e t c f o r s u b - p r o j e c t s u n d e r t h e I R D P O n g o i n g T o e n s u r e n o d e l a y i n b e g i n n i n g i m p l e m e n t a t i o n o f I R D P N o c o m m e n t n e e d e d . S e l f - e v i d e n t a c t i o n . P I U M E W W h e r e l i k e l y r e s e t t l e m e n t w i l l b e i n v o l v e d i n a s i t e l o c a t e d f o r a c t i o n u n d e r I R D P b e g i n p r e p a r a t i o n o f R A P u n d e r t h e R P F T h i s a c t i o n s h o u l d b e g i n t o b e i n c o r p o r a t e d i n t o p l a n s d e v e l o p i n g t h e s i t e s f o r a c t i o n u n d e r I R D P T o e n s u r e n o d e l a y i n b e g i n n i n g o f i m p l e m e n t a t i o n o f I R D P P r o c e s s e s f o r p r e p a r i n g R A P s e t o u t i n t h e t e x t o f R P F M E W C e n s u s o f r e s i d e n t s a n d p r o b a b l e A P s w i t h i n s u b - p r o j e c t a r e a A s e a r l y a s p o s s i b l e o n c e s u b - p r o j e c t s i t e i d e n t i f i e d A n e s s e n t i a l f i r s t s t e p i n t h e p r o c e s s o f r e s e t t l e m e n t E x p l a n a t i o n o f t h e i m p o r t a n c e o f t h i s i n t h e R P F M E W B e g i n t h e p r o c e s s e s o f p u b l i c i t y a n d c o n s u l t a t i o n w i t h A P s . A l o n g s i d e t a k i n g t h e c e n s u s o f A P s A n e s s e n t i a l f i r s t s t e p i n t h e p r o c e s s o f p l a n n i n g r e s e t t l e m e n t a n d d e v e l o p i n g a r e s e t t l e m e n t a c t i o n p l a n C o n s u l t a t i o n m u s t b e g e n u i n e . A s m u c h i n f o r m a t i o n a s p o s s i b l e m u s t b e g i v e n t o A P s . U t i l i s e v i l l a g e m e e t i n g s M E W C o n s u l t a n d l i a i s e w i t h l o c a l g o v e r n m e n t s a n d r e g i o n a l o f f i c e s o f a s s o c i a t e d M i n i s t r i e s o n a b o v e a c t i o n s . A l o n g s i d e c o n s u l t a t i o n w i t h A P s E s s e n t i a l t o e n s u r e t h a t M i n i s t r i e s a n d l o c a l g o v e r n m e n t s k n o w o f w h a t i s h a p p e n i n g T h e s e b o d i e s w i l l b e n e e d e d t o a s s i s t w i t h v i l l a g e m e e t i n g s a n d c o n s u l t a t i o n w i t h A P s . M E W U n d e r t a k e t h e p r o c e s s o f i n v i t i n g A P s t o s u b m i t c l a i m s f o r c o m p e n s a t i o n ; a s s e s s i n g d i s c u s s i n g a n d s e t t l i n g c l a i m s w i t h A P s P a r t o f t h e p r o c e s s o f c o n s u l t a t i o n a n d p r e p a r i n g a n R A P a s a n R A P m u s t c o n t a i n p r e c i s e d e t a i l s o f t h e c o m p e n s a t i o n a n d r e s e t t l e m e n t p a y m e n t s C o m p e n s a t i o n a n d t h e p r o c e s s o f r e s e t t l e m e n t i s a t t h e h e a r t o f a n R A P a n d i t s i m p l e m e n t a t i o n . E S S a n d N G O w i l l b e i n v o l v e d h e r e G R C T h e G R C w i l l b e i n v o l v e d i n a t t e m p t i n g t o s e t t l e a n y g r i e v a n c e s w h i c h A P s m a y h a v e o v e r t h e c o m p e n s a t i o n T h e G R C s h o u l d b e r e a d y t o b e i n v o l v e d f r o m t h e c o m m e n c e m e n t o f t h e p r o c e s s o f a s s e s s i n g a n d T o a s s i s t i n t h e p r o c e s s o f s e t t l i n g c l a i m s t o c o m p e n s a t i o n T h e G R C m u s t b e p r e p a r e d t o w o r k s p e e d i l y a n d f l e x i b l y s o a s t o e n s u r e t h a t a s u b - p r o j e c t d o e s n o t g e t b o g g e d Page 66 6 6 t h a t t h e y a r e b e i n g o f f e r e d d e t e r m i n i n g t h e c o m p e n s a t i o n p a y a b l e t o A P s d o w n i n n e v e r - e n d i n g d i s p u t e s a b o u t c o m p e n s a t i o n . M E W F i n a l i s e R A P P r e p a r a t i o n o f R A P i s a c o n t i n u o u s p r o c e s s c o m m e n c i n g w i t h c o n s u l t a t i o n i n c o n n e c t i o n w i t h c e n s u s t a k i n g A n e c e s s a r y s t e p t o c o m m e n c i n g a c t i o n o n t h e g r o u n d R A P m u s t b e a p p r o v e d b y W o r l d B a n k M E W P r e p a r e i n f o r m a t i o n p a c k f o r e a c h A P T h e i n f o r m a t i o n p a c k t o b e d i s t r i b u t e d w h e n R A P a p p r o v e d T h e p a c k p r o v i d e s a l l t h e b a s i c i n f o r m a t i o n w h i c h a n A P w i l l n e e d t o k n o w . W h a t i s t o o c c u r o n r e s e t t l e m e n t ; h o w m u c h c o m p e n s a t i o n w i l l b e p r o v i d e d ; h o w t h e c o m p e n s a t i o n w i l l b e p r o v i d e d a n d t h e o p p o r t u n i t i e s f o r c o m p l a i n t s a n d s e t t l i n g s a m e . T h i s i s a v i t a l c o m p o n e n t o f a n R A P . T h e d e t a i l s o f w h a t m u s t b e i n t h e i n f o r m a t i o n p a c k a r e c o n t a i n e d i n t h e R P F M E W I m p l e m e n t t h e c o m p e n s a t i o n a n d r e s e t t l e m e n t p r o c e s s e s o f t h e R A P E v e r y t h i n g s h o u l d b e r e a d y t o b e r o l l e d o u t o n c e t h e R A P i s a p p r o v e d O n c e t h e A P s h a v e b e e n p a i d t h e i r c o m p e n s a t i o n a n d b e e n r e s e t t l e d , i n f r a s t r u c t u r a l a c t i v i t i e s o n t h e g r o u n d m a y c o m m e n c e I t i s a b s o l u t e l y v i t a l t o b e a r i n m i n d t h a t a l l A P s c l a i m s m u s t b e s e t t l e d ( s u b j e c t t o t h e l i m i t e d e x c e p t i o n o f p a y m e n t o f o n l y p a r t o f c o m p e n s a t i o n i f a d i s p u t e i s g o i n g t o c o u r t a s s e t o u t i n t h e R P F ) b e f o r e e n t r y m a y b e m a d e o n t o l a n d f r o m w h i c h A P s h a v e b e e n m o v e d a n d i n f r a s t r u c t u r a l a c t i v i t i e s m a y c o m m e n c e . I m p l e m e n t i n g N G O 1 . W o r k c l o s e l y w i t h E S S i n g e n e r a t i n g a w a r e n e s s o f a l l a s p e c t s o f r e s e t t l e m e n t a n d c o m p e n s a t i o n 2 . W o r k c l o s e l y w i t h A P s i n a s s i s t i n g i n m a k i n g , n e g o t i a t i n g a n d i f n e c e s s a r y T h r o u g h o u t t h e e x e c u t i o n o f t h e R A P T h e p r e s e n c e o f a n i n d e p e n d e n t a g e n c y w h o s e p r i m e f u n c t i o n i s t o a c t o n b e h a l f o f a n d s u p p o r t A P s i n t h e i r c l a i m s f o r c o m p e n s a t i o n i s d e s i g n e d a s a g u a r a n t e e t h a t t h e p r o c e s s c o m p l i e s T h i s i s a k e y e l e m e n t i n t h e R P F . I t w i l l b e i m p o r t a n t t h a t a r e p u t a b l e a n d e f f e c t i v e N G O i s a p p o i n t e d a n d t h a t t h e e x t e r n a l m o n i t o r i n g b o d y h a s t e r m s o f r e f e r e n c e t h a t e m b r a c e t h e m o n i t o r i n g o n Page 67 6 7 t a k i n g t o t h e G R C c l a i m s f o r c o m p e n s a t i o n 3 . S u b m i t r e g u l a r r e p o r t s o n t h e p r o c e s s t o M E W a n d t h e m o n i t o r s w i t h p r i n c i p l e s o f s u b s t a n t i v e a n d p r o c e d u r a l ( a d m i n i s t r a t i v e ) j u s t i c e t h e N G O G R C H a n d l e A P g r i e v a n c e s o v e r c o m p e n s a t i o n D u r i n g t h e p r o c e s s o f d e t e r m i n i n g c o m p e n s a t i o n . M e e t r e g u l a r l y a n d s e t t l e d i s p u t e s w i t h i n 1 0 d a y s . A s w i t h t h e i m p l e m e n t i n g N G O , a G R C i s a f u r t h e r g u a r a n t e e t o A P s t h a t t h e p r o c e s s i s b o t h s u b s t a n t i v e l y ( a s e c o n d a n d i n d e p e n d e n t o p i n i o n o n c o m p e n s a t i o n ) a n d p r o c e d u r a l l y ( a n A P c a n h a v e a h e a r i n g a n d p u t h i s / h e r c a s e ) f a i r A n o t h e r k e y e l e m e n t o n t h e R P F . I m p o r t a n t t h a t t h e m e m b e r s o f t h e G R C s e e t h e m s e l v e s a s i n d e p e n d e n t a n d o p e r a t e a c c o r d i n g l y . T h e y a r e n o t t h e r e ‘ t o s a v e g o v e r n m e n t m o n e y ’ . M E W I n t e r n a l m o n i t o r i n g c o n d u c t e d b y P M U T h r o u g h o u t t h e p r o c e s s o f t h e i m p l e m e n t a t i o n o f a n R A P w i t h r e g u l a r r e p o r t s t o t h e W o r l d B a n k T h e P M U i s r e s p o n s i b l e f o r m a n a g i n g t h e I R D P . I t w i l l n o t h a v e t h e m a j o r h a n d s - o n r o l e w h i c h w i l l b e t h a t o f t h e i m p l e m e n t i n g N G O . S o i t i s i n a g o o d p o s i t i o n t o m o n i t o r a n d r e p o r t o n w h a t i s h a p p e n i n g a n d w i l l d o t h a t v i a o f f i c e r s o f M E W i n t h e f i e l d A n e s s e n t i a l a s p e c t o f t h e R P F a s i t p r o v i d e s a n e l e m e n t o f p r o j e c t a s s u r a n c e t o t h e W o r l d B a n k w i t h r e s p e c t t o t h e i m p l e m e n t a t i o n o f t h e I D R P E M A . M u s t b e i n d e p e n d e n t o f a l l b o d i e s i n v o l v e d i n t h e i m p l e m e n t a t i o n o f t h e I D R P a n d w i t h i n d e p e n d e n t s t a n d i n g i n i t s o w n r i g h t . C o u l d b e a U n i v e r s i t y d e p a r t m e n t o r a c o n s o r t i u m o f d e p a r t m e n t s . E x t e r n a l m o n i t o r i n g c o n d u c t e d b y t h e E M A . T h r o u g h o u t t h e p r o c e s s o f t h e i m p l e m e n t a t i o n o f t h e I D R P w i t h r e g u l a r r e p o r t s t o t h e W o r l d B a n k a n d g u a r a n t e e d a c c e s s t o s i t e s ; A P s ; d o c u m e n t s ; o f f i c i a l s i n M E W a n d o t h e r r e l e v a n t p u b l i c a n d p r i v a t e b o d i e s A n i n d e p e n d e n t o v e r v i e w o f t h e i m p l e m e n t a t i o n o f t h e I D R P T h e i n d e p e n d e n c e o f t h e E M A m u s t b e a s s u r e d i n t h e c o n t r a c t b e t w e e n i t a n d t h e M E W . T h e W o r l d B a n k h a s a s u b s t a n t i a l i n t e r e s t i n t h e E M A a n d i t s o u t p u t s s o w i l l l i k e l y b e i n v o l v e d i n t h e s e l e c t i o n p r o c e s s . Page 68 6 8 A n n e x 6 . b . – C o m p e n s a t i o n E n t i t l e m e n t s a n d R a t e s u n d e r t h e R P F E L I G I B I L I T Y C R I T E R I A F O R I D E N T I F Y I N G A P s W h o i s e l i g i b l e W h a t a r e t h e y e l i g i b l e f o r H o w t o d e t e r m i n e e l i g i b i l i t y a n d c o m p e n s a t i o n l e v e l s W h a t ’ s t h e o b j e c t i v e C o m m e n t s L a n d o w n e r s L o s s o f l a n d a n d r i g h t s t o l a n d 1 . O f f i c i a l d o c u m e n t a t i o n i s s u e d b y o r o n b e h a l f g o v e r n m e n t 2 . C u s t o m a r y d o c u m e n t s ; : i . e . d o c u m e n t s r e c o g n i s e d b y b o t h o f f i c i a l a n d c u s t o m a r y l a w a s g i v i n g r i s e t o o w n e r s h i p r i g h t s 3 . O r a l a n d o t h e r e v i d e n c e w i t h p r o b a t i v e v a l u e t h a t t h e c l a i m a n t a n d h i s / h e r f a m i l y h a v e b e e n i n o c c u p a t i o n o f t h e l a n d f o r a t l e a s t 3 5 y e a r s . 4 . O p e n , c o n t i n u o u s a n d i n t e r r u p t e d p o s s e s s i o n o f p e r s o n s o v e r a v e r y l o n g t i m e w h i c h e f f e c t i v e l y v e s t s i n t h e m l e g a l r i g h t s o v e r t h e l a n d s t h e y o c c u p y t h r o u g h a c q u i s i t i v e p r e s c r i p t i o n . T h e a i m o f O P . 4 . 1 2 i s t o c o m p e n s a t e a l l t h o s e w h o h a v e l o s t ‘ t h e i r ’ l a n d . O P 4 . 1 2 g o e s b e y o n d t e c h n i c a l r u l e s o f l a w o r e v i d e n c e w h i c h i n p a r t a r e d e s i g n e d t o b r i n g d i s p u t e s o v e r l a n d t o a n e n d a n d e n s u r e s e c u r i t y t o t i t l e . O P 4 . 1 2 a i m s a t s i m p l e a n d s u b s t a n t i v e j u s t i c e : “ i f y o u ’ v e b e e n o n t h i s l a n d f o r a l o n g t i m e a n d t h e r e i s g o o d e v i d e n c e o f t h a t t h e n y o u s h o u l d b e c o m p e n s a t e d f o r l o s i n g i t ” A s t h e m a t r i x o n t h e c o m p a r i s o n o f t h e L L E a n d O P 4 . 1 2 s h o w s , t h e r e i s n o t h i n g i n L L E w h i c h p r e v e n t s t h e a p p r o a c h o f 4 . 1 2 b e i n g a d o p t e d h e r e S q u a t t e r s P e r m a n e n t i m p r o v e m e n t s t h e y h a v e m a d e t o t h e l a n d t h e h a v e o c c u p i e d O b s e r v a n c e o f p e r m a n e n t i m p r o v e m e n t s ; q u e s t i o n i n g t h e s q u a t t e r a n d n e i g h b o u r s o n w h e n i m p r o v e m e n t m a d e ; c o n s u l t i n g m a p s a n d o t h e r r e l e v a n t d o c u m e n t s T h e o b j e c t i v e h e r e i s t o c o m p e n s a t e t h e s q u a t t e r f o r e x p e n d i t u r e o n t h e l a n d b u t n o t f o r t h e v a l u e o f t h e l a n d i t s e l f D i t t o t o a b o v e . A g r i c u l t u r a l t e n a n t s L o s s o f i n c o m e C a s h c o m p e n s a t i o n c o r r e s p o n d i n g t o o n e y e a r ’ s c r o p y i e l d o f l a n d l o s t . A f a i r a p p r o x i m a t i o n o f l o s s o f i n c o m e D i t t o S h a r e c r o p p e r s L o s s o f i n c o m e t h e i r s h a r e o f t h e h a r v e s t a t m a r k e t r a t e s p l u s o n e a d d i t i o n a l c r o p c o m p e n s a t i o n . D i t t o t o a b o v e D i t t o H o u s e o w n e r s / r e n t e r s C o s t s o f r e l o c a t i o n t o o t h e r r e l o c a t i o n a l l o w a n c e T h i s i s a v e r y s t a n d a r d N o t s p e c i f i c a l l y p r o v i d e d f o r Page 69 6 9 a c c o m m o d a t i o n e q u i v a l e n t t o A F 5 , 0 0 0 f o r 3 m o n t h s a n d a s s i s t a n c e i n i d e n t i f y i n g a l t e r n a t i v e a c c o m m o d a t i o n e l e m e n t o f c o m p e n s a t i o n i n a l l s y s t e m s i n L L E b u t n o t h i n g t o s t o p i s b e i n g p a i d L o s s o f l i v e l i h o o d s b y a g r i c u l t u r a l i s t s R e p l a c e m e n t c o s t s f o r a l l l o s s e s 1 . l o s s e s w i l l b e c o m p e n s a t e d a t r e p l a c e m e n t v a l u e i n c a s h b a s e d o n c u r r e n t m a r k e t r a t e s p l u s a n a d d i t i o n a l . i n d e m n i t y f o r 3 m o n t h s a s t r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e . 2 . W h e n > 1 0 % o f a n A P ’ s a g r i c u l t u r a l l a n d i s a f f e c t e d , A P s w i l l g e t a n a d d i t i o n a l a l l o w a n c e f o r s e v e r e i m p a c t s e q u a l t o t h e m a r k e t v a l u e o f a y e a r ’ s n e t i n c o m e c r o p y i e l d o f t h e l a n d . T h e a i m i s t o p r o v i d e a r e a s o n a b l e m e a s u r e o f c o m p e n s a t i o n f o r l o s s o f l i v e l i h o o d s b u t o n t h e a s s u m p t i o n t h a t A P s w i l l m a k e a g o o f t h i n g s o n t h e i r n e w l a n d . I t p r o v i d e s t e m p o r a r y r e l i e f b u t n o t a n a m o u n t w h i c h i n v i t e s f u t u r e i n d o l e n c e T h i s i s a l r e a d y a n a p p r o a c h w h i c h h a s b e e n a c c e p t e d i n A f g h a n i s t a n R e s i d e n t i a l / c o m m e r c i a l l a n d i m p a c t s R e p l a c e m e n t c o s t s f o r a l l l o s s e s R e p l a c e m e n t v a l u e i n c a s h a t c u r r e n t m a r k e t r a t e s f r e e o f d e d u c t i o n s f o r t r a n s a c t i o n c o s t s S e e a b o v e . T h e s a m e r e a s o n i n g a p p l i e s D i t t o T h o s e w h o l o s e o r h a v e b u i l d i n g s d a m a g e d R e p l a c e m e n t c o s t s T h e s e i m p a c t s w i l l b e c o m p e n s a t e d i n c a s h a t r e p l a c e m e n t c o s t f r e e o f d e p r e c i a t i o n , s a l v a g e d m a t e r i a l s , a n d t r a n s a c t i o n c o s t s d e d u c t i o n s . R e n t e r s / l e a s e h o l d e r s w i l l r e c e i v e a n a l l o w a n c e g e a r e d t o t h e r e n t t h e y a r e p a y i n g . f o r 3 m o n t h s t o c o v e r e m e r g e n c y r e n t c o s t s . S e e a b o v e . D i t t o T h o s e w h o l o s e i n c o m e f r o m c r o p l o s s e s R e p l a c e m e n t o f l o s t i n c o m e T h e s e i m p a c t s w i l l b e c o m p e n s a t e d t h r o u g h c a s h c o m p e n s a t i o n a t c u r r e n t m a r k e t r a t e s f o r t h e f u l l h a r v e s t o f 1 a g r i c u l t u r a l s e a s o n . I n c a s e o f s h a r e c r o p p i n g , c r o p S e e a b o v e D i t t o Page 70 7 0 c o m p e n s a t i o n w i l l b e p a i d b o t h t o l a n d o w n e r s a n d t e n a n t s b a s e d o n t h e i r s p e c i f i c s h a r e c r o p p i n g a g r e e m e n t s . T h o s e w h o h a v e l o s t i n c o m e f r o m l o s s o f t r e e s R e p l a c e m e n t o f l o s t i n c o m e I n c o m e r e p l a c e m e n t b a s e d o n t y p e s o f t r e e s l o s t . S e e a b o v e D i t t o T h o s e w h o h a v e s u f f e r e d b u s i n e s s l o s s e s R e p l a c e m e n t o f l o s t i n c o m e C o m p e n s a t i o n f o r b u s i n e s s l o s s e s w i l l b e b a s e d o n a c t u a l i n c o m e t o b e e s t a b l i s h e d b y p e r t i n e n t r e c e i p t s o r o t h e r d o c u m e n t s i f d e m o n s t r a b l e , o t h e r w i s e b a s e d o n b u s i n e s s l o s s a l l o w a n c e c o m p u t e d a s A F 6 , 0 0 0 a m o n t h . S e e a b o v e D i t t o T h o s w h o h a v e s u f f e r e d l o s s o f w a g e s R e p l a c e m e n t o f l o s t w a g e s f o r a l i m i t e d p e r i o d U p t o t h r e e m o n t h s w a g e s S e e a b o v e D i t t o V u l n e r a b l e h o u s e h o l d s A d d i t i o n a l c o m p e n s a t i o n o v e r a n d a b o v e s t r i c t l o s s o f i n c o m e V u l n e r a b l e p e o p l e ( A P s b e l o w t h e p o v e r t y l i n e , w o m e n h o u s e h o l d h e a d s , m e n t a l l y c h a l l e n g e d h e a d e d h o u s e h o l d s , e t c . ) w i l l b e g i v e n a s s i s t a n c e i n t h e f o r m o f a o n e - t i m e a l l o w a n c e f o r v u l n e r a b l e A P s e q u i v a l e n t t o A F 5 , 2 0 0 a n d p r i o r i t y i n e m p l o y m e n t i n p r o j e c t - r e l a t e d j o b s . T h i s i s a r e c o g n i t i o n t h a t t h o s e c l a s s i f i e d a s v u l n e r a b l e h o u s e h o l d s w i l l l i k e l y s u f f e r l o s s e s o v e r a n d a b o v e i n c o m e l o s s a n d w i l l f i n d i t e s p e c i a l l y h a r d t o g e t s t a r t e d a g a i n s o m e w h e r e e l s e . D i t t o T r a n s i t i o n a l l i v i n g a l l o w a n c e f o r A P s f o r c e d t o r e l o c a t e D i s t u r b a n c e c o m p e n s a t i o n A P s f o r c e d t o r e l o c a t e w i l l r e c e i v e a l i v e l i h o o d a l l o w a n c e o f A F 5 , 2 0 0 a m o n t h f o r t h r e e m o n t h s . T r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e i s c o m p u t e d b a s e d o n t h e p r e v a i l i n g w a g e r a t e o f A F 2 0 0 . 0 0 p e r d a y t i m e s 2 6 d a y s o r A F 5 , 2 0 0 p e r m o n t h . T h i s i s a s t a n d a r d h e a d o f c o m p e n s a t i o n i n m o s t s y s t e m s o f c o m p e n s a t i o n . D i t t o E S T A B L I S H I N G V A L U A T I O N R A T E S F O R A C Q U I S I T I O N W h a t i s b e i n g v a l u e d H o w i s v a l u a t i o n c o n d u c t e d I n p u t o f A P s I n d i c a t i v e f i g u r e s C o m m e n t s M a t t e r s c o m m o n t o a l l s p e c i f i c t y p e s o f v a l u a t i o n R a p i d a p p r a i s a l ; c o n s u l t a t i o n w i t h A P s ; i n f o r m a t i o n d e r i v e d f r o m c e n s u s a n d f r o m l o c a l a u t h o r i t i e s Y e s b u t n o t n e c e s s a r i l y d e c i s i v e W h e r e f i g u r e s a r e g i v e n t h e a r e i n d i c a t i v e o n l y b e i n g b a s e d o n a 2 0 0 9 v a l u a t i o n e x e r c i s e . T h e y w i l l a l m o s t N o n e Page 71 7 1 c e r t a i n l y b e c h a n g e d w h e n b u d g e t s f o r R A P s a r e d e v e l o p e d u n d e r t h e I D R P L a n d V a l u a t i o n o f t h e l a n d i s p e g g e d o n a n a v e r a g e , t h e a c t u a l v a l u e d e p e n d i n g o n t h e n e a r n e s s t o a b u i l d u p a r e a . L a n d p r i c e s a r e b a s e d o n t h e d i s t r i c t l a n d p r i c e s i n t h e d i s t r i c t g o v e r n m e n t L a n d v a l u e s a r e s o f a r a s p o s s i b l e d e t e r m i n e d o n t h e b a s i s o f ‘ o b j e c t i v e ’ f a c t o r s b u t i t i s n o t p o s s i b l e t o i g n o r e t h e a s s u m p t i o n s o f A P s a b o u t l a n d v a l u e s w h i c h d o p l a y a p a r t i n v a l u a t i o n N o n e L a n d v a l u e s a r e d e a l t w i t h a f t e r a f a s h i o n i n t h e L L E . . T h e C o u n c i l o f M i n i s t e r s d e t e r m i n e s v a l u e s b u t t h e r e i s a l o c a l p r o c e s s t h a t v a l u a t i o n g o e s t h r o u g h . S t r u c t u r e s S t r u c t u r e s m a y b e c l a s s i f i e d ( t e m p o r a r y , s e m i - p e r m a n e n t a n d p e r m a n e n t ) b a s e d o n t h e m a t e r i a l s u s e d i n c o n s t r u c t i o n . T h e y m a y b e c l a s s i f i e d i n t o c l a s s 1 ( m u d / b r i c k / w o o d w a l l s , m u d / t i n r o o f ) , 2 ( t i l e d r o o f a n d n o r m a l c e m e n t f l o o r ) a n d 3 ( R C C , s i n g l e / d o u b l e s t o r e y b u i l d i n g ) I n t h e p r o j e c t f r o m w h i c h t h e s e c l a s s i f i c a t i o n s a r e b a s e d , t h e y w e r e a r r i v e d a t a f t e r v a r i o u s c o n s u l t a t i o n s w i t h s o m e o w n e r s w h o r e c e n t l y b u i l d t h e i r h o u s e s , l o c a l c o n t r a c t o r s a n d s o m e l o c a l c i v i l e n g i n e e r s . N o n e T h i s a p p r o a c h t o s t r u c t u r e s s e e m s a g o o d o n e t o a d o p t . S o m e A P s c o n s i d e r e d t h a t t h e l e n g t h o f t i m e a s t r u c t u r e h a d b e e n s t a n d i n g s h o u l d a f f e c t v a l u e b u t t h i s w a s n o t a f a c t o r u s e d i n v a l u a t i o n C r o p s i n c o m p u t i n g c r o p l o s s e s , a c o m b i n a t i o n o f f o u r m a i n c r o p s w a s u s e d t o g e t t h e a v e r a g e y i e l d a n d p r i c e . . T h e u n i t p r i c e f o r c r o p l o s s e s f o r a s q u a r e m e t e r o f l a n d d e v o t e d t o t h e f o u r m a i n c r o p s w a s e s t i m a t e d a t A F 5 . 0 0 p e r s q m . V a l u a t i o n w a s p r o b l e m a t i c b e c a u s e o f l a c k o f r e l i a b l e d a t a i n t e r m s o f y i e l d . T h e r e s u l t s o f t h e s o c i o - e c o n o m i c s u r v e y w e r e n o t r e l i a b l e b e c a u s e t h e m a j o r i t y o f t h e r e s p o n d e n t s w e r e n o t a w a r e o f s i z e o f t h e i r l a n d h o l d i n g s . T r e e s C o m p e n s a t i o n f o r p r o d u c t i v e t r e e s i s b a s e d o n t h e g r o s s m a r k e t v a l u e o f 1 y e a r i n c o m e f o r t h e n u m b e r o f y e a r s n e e d e d t o g r o w a n e w t r e e w i t h t h e p r o d u c t i v e p o t e n t i a l o f t h e l o s t t r e e . N o n - p r o d u c t i v e t r e e s a r e v a l u e d b a s e d o n t h e m u l t i p l e y e a r s i n v e s t m e n t t h e y h a v e r e q u i r e d . D u r i n g i n t e r v i e w s w i t h A P s o n t r e e s , i t w a s p o i n t e d o u t t h a t t h e f l u c t u a t i o n o f t h e v a l u e o f t r e e p r o d u c t s w a s i n f l u e n c e d l a r g e l y b y t h e s u p p l y a n d d e m a n d a n d t h e a b s e n c e o f p o s t h a r v e s t f a c i l i t i e s . F r u i t w a s s o l d w h e n a l l o t h e r f a r m e r s s o l d t h e i r f r u i t . I n t h e o f f - s e a s o n , p r i c e s w e r e h i g h e r b u t f e w f a r m e r s c o u l d s t o r e T h e c o m p e n s a t i o n r a t e f o r a f r u i t b e a r i n g t r e e i s t h e a v e r a g e y i e l d p e r t r e e ( A F 1 , 5 0 0 ) t i m e s t h e a g e o f t h e t r e e . T h e s a m e p o i n t a s a b o v e a p p l i e s h e r e t o o Page 72 7 2 C o m p e n s a t i o n f o r n o n - p r o d u c t i v e f r u i t b e a r i n g t r e e i s t h e c o s t o f t h e s a p l i n g p l u s t h e c o s t o f m a i n t a i n i n g t h e t r e e u p t o t h e t i m e t h a t t h e t r e e w a s c u t b e c a u s e o f t h e p r o j e c t . t h e i r c r o p s u n t i l t h e n R e s t o r a t i o n o f i n c o m e 1 . C r o p l o s s e s c a s h c o m p e n s a t i o n a t c u r r e n t m a r k e t r a t e s f o r t h e f u l l h a r v e s t o f 1 a g r i c u l t u r a l s e a s o n . I n c a s e o f s h a r e c r o p p i n g , c r o p c o m p e n s a t i o n w i l l b e p a i d b o t h t o l a n d o w n e r s a n d t e n a n t s b a s e d o n t h e i r s p e c i f i c s h a r e c r o p p i n g a g r e e m e n t s . N o a p p a r e n t i n p u t f r o m A P s . B u t t h e r e m a y b e d i s p u t e s b e t w e e n o w n e r s a n d s h a r e c r o p p e r s w h i c h o f f i c e r s f r o m t h e i m p l e m e n t i n g N G O a n d p o s s i b l y f r o m E S S m i g h t b e c o m e i n v o l v e d i n N o f i g u r e s c a n b e g i v e n A s n o t e d i n c o l u m n 3 t h i s m a y n o t b e a s s t r a i g h t f o r w a r d a s i t s e e m s . I n t e r - A P d i s p u t e s m a y e r u p t a n d t h e G R C c a l l e d i n t o a c t i o n . 2 . B u s i n e s s l o s s e s c o m p e n s a t i o n f o r p e r m a n e n t b u s i n e s s l o s s e s w i l l b e i n c a s h f o r t h e p e r i o d d e e m e d n e c e s s a r y t o r e - e s t a b l i s h t h e b u s i n e s s ( 6 m o n t h s ) . C o m p e n s a t i o n f o r t e m p o r a r y b u s i n e s s l o s s e s w i l l b e c a s h T h e f i g u r e s i n t h e n e x t c o l u m n d o n o t s e e m t o a d m i t o f n e g o t i a t i o n b u t t h e r e w i l l b e a n i s s u e o f w h e t h e r a b u s i n e s s i s p e r m a n e n t o r t e m p o r a r y o n w h i c h A P s w i l l w i s h t o b e c o n s u l t e d a n d h a v e t h e i r v i e w s t a k e n o n b o a r d P e r m a n e n t b u s i n e s s w i l l r e c e i v e A F 6 , 0 0 0 a m o n t h f o r 6 m o n t h s . T e m p o r a r y b u s i n e s s l o s s e s w i l l b e p a i d f o r u p t o 3 m o n t h s a t A F 6 , 0 0 0 a m o n t h T h i s i s a n o t h e r a r e a w h e r e d i s p u t e s c o u l d a r i s e b u t b e t w e e n t h o s e o f f e r i n g a n d t h o s e r e c e i v i n g c o m p e n s a t i o n . 3 . I n c o m e r e s t o r a t i o n f o r w o r k e r s a n d e m p l o y e e s I n d e m n i t y f o r l o s t w a g e s f o r t h e p e r i o d o f b u s i n e s s i n t e r r u p t i o n u p t o a m a x i m u m o f 3 m o n t h s T h i s d o e s n o t a d m i t o f m u c h n e g o t i a t i o n a l t h o u g h t h e r e m a y b e d i f f e r e n c e s o f o p i n i o n o f w h a t c o u n t a s w a g e s N o f i g u r e s b e c a u s e w a g e s d i f f e r d e p e n d i n g o n t h e w o r k b e i n g d o n e D i t t o b u t i n a d d i t i o n , t h e r e c o u l d b e d i s p u t e s b e t w e e n e m p l o y e r a n d e m p l o y e e o n w a g e s w h i c h t h e p r o j e c t w i l l h a v e t o a r b i t r a t e o n . I n c o m e R e s t o r a t i o n A l l o w a n c e f o r S e v e r e A g r i c u l t u r a l L a n d I m p a c t s W h e n > 1 0 % o f t h e a g r i c u l t u r a l l a n d o f a A P i s a f f e c t e d , A P s w i l l g e t a n a d d i t i o n a l a l l o w a n c e f o r s e v e r e i m p a c t s e q u a l t o t h e m a r k e t v a l u e o f a y e a r ’ s n e t i n c o m e c r o p y i e l d o f t h e l a n d l o s t . G i v e n t h e p r o b l e m s o f m e a s u r e m e n t o f A P s ’ h o l d i n g s – s e e a b o v e c o l u m n 5 o n c r o p l o s s e s – t h i s m a y b e d i f f i c u l t t o c o m p u t e a n d c a r e f u l n e g o t i a t i o n s w i t h t h e A P s w i l l b e n e c e s s a r y N o f i g u r e s b e c a u s e t h e e x a c t s u m s o f m o n e y i n v o l v e d w i l l d e p e n d o n t h e u s e t o w h i c h t h e l a n d i s b e i n g p u t A l t h o u g h t h i s h a s t h e a p p e a r a n c e o f o b j e c t i v i t y f o r r e a s o n s n o t e d i n c o l u m n 3 t h e r e m a y b e d i s p u t e s w h i c h w i l l n e e d t o b e h a n d l e d s y m p a t h e t i c a l l y . V u l n e r a b l e g r o u p a l l o w a n c e V u l n e r a b l e p e o p l e ( A P s T h e r e w i l l n e e d t o b e c a r e f u l A o n e - t i m e a l l o w a n c e f o r W h e t h e r t h i s w i l l b e s e e n a s Page 73 7 3 b e l o w t h e p o v e r t y l i n e , w o m e n h o u s e h o l d h e a d s , m e n t a l l y c h a l l e n g e d h e a d e d h o u s e h o l d s , e t c . ) w i l l b e g i v e n a s s i s t a n c e . a n d s y m p a t h e t i c c o n s u l t a t i o n a n d n e g o t i a t i o n w i t h t h e s e A P s v u l n e r a b l e A P s e q u i v a l e n t t o a t l e a s t A F 5 , 2 0 0 a n d p r i o r i t y i n e m p l o y m e n t i n p r o j e c t - r e l a t e d j o b s . a d e q u a t e w i l l d e p e n d o n t h e i n c o m e f o r g o n e . I t m i g h t b e a d v i s a b l e t o b u i l d i n s o m e f l e x i b i l i t y h e r e h e n c e t h e ‘ a t l e a s t ’ . T r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e A P s l o s i n g l a n d o r l o s i n g a h o u s e a n d f o r c e d t o r e l o c a t e w i l l r e c e i v e a l i v e l i h o o d a l l o w a n c e . D i s t u r b a n c e i s a s t a n d a r d h e a d o f c o m p e n s a t i o n b u t i t w i l l n e e d a w i l l i n g n e s s t o b e f l e x i b l e o n r a t e s a s d i s t u r b a n c e i s n o t a n o b j e c t i v e m a t t e r . A t l e a s t A F 5 , 2 0 0 a m o n t h f o r 3 m o n t h s T h i s i s v e r y m u c h a ‘ g u e s t i m a t e ’ . I t m a y b e t h e b e s t t h a t c a n b e d o n e i n t h e c i r c u m s t a n c e s . H e r e t o o t h e w o r d s ‘ a t l e a s t ’ h a v e b e e n a d d e d t o p r o v i d e f o r s o m e f l e x i b i l i t y R e n t a l a l l o w a n c e H o u s e r e n t e r s f o r c e d t o r e l o c a t e w i l l r e c e i v e a r e n t a l a l l o w a n c e a n d w i l l b e a s s i s t e d i n i d e n t i f y i n g a l t e r n a t i v e a c c o m m o d a t i o n N e g o t i a t i o n s w i t h A P s c e n t r a l t o t h e o p e r a t i o n o f t h i s h e a d o f c o m p e n s a t i o n 3 m o n t h s ’ r e n t a t t h e p r e v a i l i n g m a r k e t r a t e w h i c h i n t h e p r o j e c t a r e a f r o m w h i c h t h e s e f i g u r e s a r e t a k e n w a s A F 5 , 0 0 0 / m o W h a t t h e p r e v a i l i n g m a r k e t r e n t i s m u s t d i f f e r f r o m p l a c e t o p l a c e . I t i s p r o b a b l y n o t w o r t h w h i l e t r y i n g t o c r e a t e a ‘ s h a d o w ’ m a r k e t . A s w i t h o t h e r h e a d s o f ‘ a l l o w a n c e s ’ s o m e f l e x i b i l i t y m u s t b e b u i l t i n t o t h e o u t c o m e . Page 74 74 Annex 7 – Template for Environmental and Social Management Plan (ESMP) Subproject Activity Potential Environmental and Social Impacts Proposed Mitigation Measure(s) Institutional Responsibilities Cost Estimates Comments (e.g. secondary impacts) Pre-Construction Phase (Design) Construction Phase Operation and Maintenance Phase Page 75 75 Annex 8 – Environmental Impact Assessment Procedure at NEPA Proposal Identification Screening Scoping EIA required No EIA Pu blic Involvement Impact Analysis Mitigation and Impact Management EIA report Review Decision making Not Approved Approved Redesign Implementation and follow up Resubmit Public Involvement Public involvement typically occurs at these points. However, it may occur at other points in the EIA Page 76 76 Annex 9a – Training Action Plan for Environmental and Social Safeguards Schedule Responsibility No. Activity Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 FAO PCU 1 Staff Recruitment at PCU Support job description and recruitment process Implement recruitment 2 Staff Recruitment at Regional offices Support job description and recruitment process Implement recruitment 3 Finalization of Training Plan In consultation with PCU/MEW In consultation with FAO team 4 Development of Training Manual Hire consultant to develop manual Provide inputs and arrange translation into Dari 5 Conduct Training of PCU and Regional technical staff, social and environmental officers Identify trainers and organize training arrangements Identify trainees and organize training arrangements 6 Conduct Training to Mirabs and CDC members Oversee and monitor progress Oversee and monitor progress 7 Conduct Training of PCU and Regional Technical staff, social and environmental officers on all aspects of Land Acquisition and Resettlement Policy Framework Oversee and monitor progress Oversee and monitor progress 8 Conduct Training of PCU and Regional technical staff, social and environmental officers in all aspects of small dams related social and environmental issues 9 Conduct Training of Mirabs and CDC members in all aspects of small dams related social and environmental issues 10 Public awareness raising events Organize in coordination with PCU and regional offices Organize, oversee and monitor progress 11 Monitoring and reporting on ESMF implementation FAO M&E staff to support PCU HQ ESS staff primarily responsible Page 77 77 Annex 9b – Training and Capacity-Building Activities at Different Level Staff Profile Type of Training Training Contents Training Schedule ESS staff at PCU HQ and all regions In-country training To be conducted by international trainer(s) Identifying stakeholders and conducting stakeholder analysis, social and environmental surveys how to use screening checklist to identify environmental and social issues associated with sub-projects Skill building to prepare environmental and social mitigation plans for individual sub-projects Social and cultural values of the area LARPF Gender issues in water governance and water management Leadership dynamics Developing and maintaining effective partnerships with NGOs and other stakeholders. Monitoring progress and evaluating impact. Effective communication – Communication for Development Preparation Early in project i.e. year 1 onwards ESS staff at PCU HQ and regional offices Design and Supervision staff at PCU HQ and regional offices Management staff of contractors Engineers, Environment, social, health and safety staff of contractors In-country training Site specific To be conducted by local and international trainers Technical capacity to oversee/supervise contractors’ environmental and social compliance Analysis of wildlife and vegetation related sensitivities of the project Understanding of the key findings of the ESMF Preparation and implementation of ESIAs of sub-projects and agreed mitigation measures Preparation and implementation of contingency plans Consultation with communities Social and cultural values of the area LARPF Implementation Year 1 onwards Mirabs CDC members In-country training Site specific To be conducted by ESS staff of FAO and PCU regional offices Awareness raising on water traditional management and community driven management of water Hygiene and water borne diseases Importance of community participation and decision making Representation of all groups of community in decision making and joint management Dispute management and resolution mechanisms Awareness raising on compliance with social and environmental safeguards Implementation Year 1 onwards Page 78 78 Construction crew of the contractors E ngineers, Environment, social, health and safety staff of contractors Site specific training for sub-projects T o be conducted by FAO and PCU ESS staff of the respective region Site specific environmental and social issues P reparation of site-specific health, safety, environment and social plan Cover other topics such as safe waste disposal, dust management, etc. Implementation Year 1 onwards Drivers of the PCU regional offices Drivers of the contractors On-site training To be conducted by ESS staff of PCU and the contractor Oversight and TA by FAO ESS regional staff Health, safety, environment and social plan Road safety Road restrictions Vehicle restrictions Defensive driving Waste disposal and littering Social and cultural values of the area Implementation Year 1 onwards Mechanics of the contractors On-site training To be conducted by ESS staff of PCU and the contractor Oversight and TA by FAO ESS regional staff Waste disposal Health, safety, environment and social plan Vehicle restriction Implementation Year 1 onwards Camp staff of the contractors On-site training To be conducted by ESS staff of PCU and the contractor Oversight and TA by FAO ESS regional staff HSES plan; Camp operation Waste disposal Natural resource conservation Housekeeping Implementation Year 1 onwards Page 79 79 Annex 10 a – Working with NGOs to mitigate/resolve land and water conflicts It is important that sub-projects under the IRDP neither ignite new, nor exacerbate existing, land and water conflicts.13 1. Identify NGOs in locality working on/ experience with local peace building issues. 2. Enter into partnership with relevant local NGO(s) 3. Involve partner NGO in the preliminary socio-environmental/screening survey. 4. Include screening for existing land or water related disputes as part of a socio- environmental survey to be carried out prior to the design stage. Interviews with various informants within communities will likely identify disputants and enable a better understanding of the nature of the conflict. 5. Use NGO partner or other competent organisation to train CWDAs/regional social safeguards officers on peace building measures to include issues such as mediation, negotiation and conflict management. 6. Work with partner NGOs to support and strengthen capacity of village level institutions (CDCs and local water management systems) and relevant local government departments (e.g. Water Management Departments) to mediate and achieve lasting resolutions to land and water conflicts. 7. Place emphasis on the importance of flexible approaches and the need to adapt to changing circumstances. 8. Ensure that mediation and resolution tools selected are appropriate for the particular situation. 9. Include on-site teaching which enhances communication, mediation, and negotiation and conflict management skills in capacity development plans for mirabs ,members of village water management systems and other key members of the community. 10. Comply fully with LARP provisions which seek to prevent/mitigate new disputes related to land donation. 13 The majority of land disputes in Afghanistan fall into one or more of five principle categories: (i) Conflicts involving the illegal occupation of land by powerful people; (ii) Conflicts involving inheritance rights: (iii) Conflicts involving the return of people to land they previously owned; (iv) Conflicts over private property between established villagers ( not returnees, refugees or internally displace people) and (v) Conflicts involving common property resources managed through common property regimes, for instance certain pastures forests and water for irrigation. See ‘Land Conflict in Afghanistan: Building Capacity to Address Vulnerability’, AREU, 2009 Page 80 80 Annex 10 b - Selected NGOs Engaged in Local Peace Building in Afghanistan Afghan Civil Society Organizations Network for Peace (ACSONP) ACSONP was established with the primary purpose of improving coordination among Afghan organizations working in the field of peace building and organising national events to promote a culture of peace. Its members include: Afghan Civil Society Forum (ACSF), Afghan Peace and Democracy Act (APDA), Afghan Women’s Skills Development Centre (AWSDC), Afghan Youth Foundation for Unity (AYFU), Cooperation Centre for Afghanistan (CCA), Education Training Centre for Poor Women and Girls of Afghanistan (ECW), Sanayee Development Organization (SDO) and Training Human Rights Association (THRA) Cooperation for Peace and Unity (CPAU) Main activities include: · ‘counterparts’ for peace identified e.g. youth groups, shuras, CDCs and partnerships developed · Capacity development programmes focusing on participatory learning in community workshops: covers essential concepts such as analysis of peace and development and core skills such as communication, negotiation and mediation. · Support development and implementation of peace plans. · Provide on-going coaching, arrange inter-ethnic ‘exchange and exposure visits Sanayee Development Organization (SDO) Main activities include: · Establishing peace shuras · A focus on capacity development of community institutions to resolve conflict and promote peace · Implementing peace building workshops · Promote peace education Oxfam-Afghanaid Main activities include: · Provides peace building training for programme staff and community leaders · Resulted in conflict resolution committees which work closely with community institutions on peace and conflict management · Training of staff working on the NSP Tribal Liaison Office (TLO) Main activities include: · Engages with tribal institutions and supports them to better serve their communities · Facilitates the formal integration of communities and their traditional structures within Afghanistan’s governance framework · Works to promote dialogue and better cooperation between tribes and with the government · Builds the capacity of shuras to improve peace and security Afghan Women’s Skills Development Centre (AWSDC) Main activities include: · Establishes and supports peace committee, with one central women’s shura in Parwan province Page 81 81 Annex 11 – Scheduling and Reporting by PCU Regional Environmental and Social Assistants Year 1 Year 2 Year 3 Activity Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Remarks Mitigation Measures ------------- ------------- etc. Monitoring ------------ ------------ etc Institutional Strengthening ------------ ------------ etc Training ------------ ------------ etc Environmental and Social Progress Report Format Sl. No Sub- Project Key environmental and social issues Mitigation measures taken Implementation and monitoring of ESMP Training & capacity- building programs implemented Convergence Lessons learnt Remarks Page 82 82 Annex 12 – Procedures for Mine Risk Management in World Bank-Funded Projects in Afghanistan Background: The following procedures are designed to respond to the risks caused by the presence of mines in Afghanistan, in the context of: · Community rehabilitation / construction works to be identified and implemented by the communities themselves (for small projects of up to $100,000 each); · Small and medium-size works to be identified by local authorities and implemented by local contractors (for projects up to $5m each); · Works to be implemented directly by Government departments/agencies , without use of contractors; · Large works to be implemented by contractors (for projects above $5m); General comment applying to all following procedures: All risk assessment and clearance tasks shall be implemented in coordination with the Mine Action Center for Afghanistan (MACA). These procedures may need to be amended in the future depending on evolving circumstances. Procedure for Community-Managed Works Applicability: This procedure applies to community rehabilitation / construction works to be identified and implemented by the communities themselves (for small projects of up to $100,000 each). Overall approach: The communities should be responsible for making sure that the projects they propose are not in mine-contaminated areas, or have been cleared by MACA (or a mine action organization accredited by MACA). Rationale: Communities are best placed to know about mined areas in their vicinity, and have a strong incentive to report them accurately as they will carry out the works themselves. Procedure: 1. Communities are required to submit a reply to a questionnaire regarding the suspected presence of mines in the area where Bank-funded community-managed projects will be implemented. This questionnaire should be formally endorsed by the Mine Action Program for Afghanistan (MAPA). It will be a mandatory attachment to the project submission by the communities and should be signed by community representatives and the external project facilitator. External project facilitators will receive training from MAPA. Financing agreements with the communities should make clear that communities are solely liable in case of a mine-related accident. Page 83 83 2. If the community certifies that there is no known mine contamination in the area, the ministry responsible for the selection of projects should check with MACA whether any different observation is reported on MACA’s data base. · If MACA’s information is the same, the project can go ahead for selection. The community takes the full responsibility for the assessment, and external organizations cannot be made liable in case of an accident. · If MACA’s information is different, the project should not go ahead for selection as long as MACA’s and community’s statements have not been reconciled. 3. If the community suspects mine contamination in the area, · If the community has included an assessment / clearance task in the project agreed to be implemented by MACA (or by a mine action organization accredited by MACA), the project can go ahead for selection. · If the community has not included an assessment / clearance task in the project, the project should not go ahead for selection as long as this has not been corrected. · Mine clearance tasks must be implemented by MACA or by a mine action organization accredited by MACA. Communities will be penalized (subsequent funding by World-Bank funded projects shall be reduced or cancelled) if they elect to clear mines on their own. Procedure for Small and Medium-size Works Contracted Out Applicability: This procedure applies to small- and medium-size works to be identified by local authorities and implemented by local contractors (for projects up to $5m each). Overall approach: MACA (or a mine action organization accredited by MACA) should provide detailed information on the mine-related risks (either based on previously done and updated general survey or on a new general survey) before projects are considered for selection. Only project sites assessed to have a nil-to-low risk would be eligible for selection, unless they have been determined by MACA or by a mine action organization accredited by MACA. Rationale: Neither local authorities nor local contractors have the capacity to assess the mine- related risks in a systematic way, while they may have incentives to underestimate them. Procedure: 1. Prior to putting up a project for selection, a general survey should be carried out by MACA (or a mine action organization accredited by MACA) to assess mine-related risks in the area of the project (this should include checking information available in the MACA data base). Page 84 84 2. If MACA provides information suggesting a nil-to-low risk in the proposed project area, the project can go ahead for selection. 3. The contract between the responsible ministry and the contractor will include a clause stating that in case of an accident, legal liability would be fully and solely borne by the contractor. 4. If MACA assesses a potentially high risk in the area (whether due to the presence of mines or uncertainty), · If the project includes an assessment / clearance task agreed to be implemented by MACA (or by a mine action organization accredited by MACA), it can go ahead for selection based on agreed funding modalities (clearance may be funded either under a contract with a Bank-funded project or under existing donor agreements with the mine action organization); · If the project does not included an assessment / clearance task, it should not go ahead for selection as long as this has not been corrected. Procedure for Works to be implemented directly by Government Departments/Agencies, without use of contractors Applicability : This procedure applies to works to be implemented directly by Government departments/agencies, without use of contractors. Overall approach : MACA (or a mine action organization accredited by MACA) should provide detailed information on the mine-related risks (either based on previously done and updated general survey or on a new general survey) before works or installation of goods/materials are carried out in any given area. Work would only be allowed to proceed in areas assessed to have a nil-to-low risk, unless they have been de-mined by a mine action organization accredited by MACA. Rationale : Government departments and agencies responsible for providing services currently do not have the capacity to assess the mine-related risks in a systematic way, and currently follow a process of consulting with MACA prior to carrying out activities. Procedure : 1. Prior to carrying out work, the Government department/agency will consult with MACA to assess mine-related risks in the area (this should include checking information available in the MACA data base). If not already done, a general survey should be carried out by MACA (or by a mine action organization accredited by MACA) to assess mine-related risks in the area. Page 85 85 2. If MACA provides detailed information on mine-related risks which suggest a nil-to-low risk in the proposed area, the work can proceed. The Government would be solely liable in case of a mine-related accident. 3. If information provided by MACA cannot support the assessment of a nil-to-low risk in the proposed area (whether due to the presence of mines or uncertainty), works should not go ahead before MACA (or a mine action organization accredited by MACA) carries out the necessary further assessment and/or clearance for risks to be downgraded to nil-to-low, based on agreed funding modalities (clearance may be funded either under a contract with a Bank-funded project or under existing donor agreements with the mine action organization). Procedure for Large Works Using Contractors Applicability : This procedure applies to large works to be implemented by large contractors (projects above $5m). Overall approach : The main contractor should be responsible for dealing with mine-related risks, in coordination with the UN Mine Action Center. Procedure : 1. As part of the preparation of the bidding documents, a general survey should be carried out by MACA (or a mine action organization accredited by MACA) on all the areas where contractors may have to work (broadly defined). This survey should provide detailed information on mine-related risks in the various areas allowing for an un- ambiguous identification of areas that have a nil-to-low risk of mine/UXO contamination and areas where the risk is either higher or unknown. The survey should be financed out of the preparation costs of the bidding documents. 2. All survey information should be communicated to the bidders (with sufficient legal caveats so that it does not entail any liability), as information for the planning of their activities (e.g., location of campsites, access roads to quarries). 3. Depending on the nature and location of the project and on the available risk assessment, two different options can be used. Option 1 – Mine-clearance activities are part of the general contract a) Based on the general survey results, a specific budget provision for mine action during construction is set aside as a separate provisional sum in the tender documents for the general contract. b) As a separately identified item in their bid, the bidders include a provision for a further detailed mine assessment and clearance during construction. Page 86 86 c) On the instruction of the Supervision Engineer and drawing on the specific provisional sum for mine action in the contract, the contractor uses one of several nominated sub- contractors (or a mine action organization accredited by MACA) to be rapidly available on call, to carry out assessment prior to initiation of physical works in potentially contaminated areas, and to conduct clearance tasks as he finds may be needed. The Contractor may also hire an international specialist to assist him in preparing and supervising these tasks. The Contractor is free to choose which of the accredited sub- contractors to use, and he is fully responsible for the quality of the works and is solely liable in case of accident after an area has been demined. d) To avoid an “over-use” of the budget provision, the Contractor is required to inform the Supervision Engineer in writing (with a clear justification of the works to be carried out) well in advance of mobilizing the mine-clearing team. The Supervision Engineer has the capacity to object to such works. Option 2 – Mine-clearance activities are carried out under a separate contract a) Specific, separately-awarded contracts are issued for further surveying and/or clearing of areas with a not-nil-to-low risk (under the supervision of the Engineer) by specialized contractors (or a mine action organization accredited by MACA). The definition of the areas to be further surveyed / cleared should be limited to those areas where any contractor would have to work, and should not include areas such as camp sites and quarries/material sites which are to be identified by the Contractor during and after bidding of the works. As a result of these further surveys and possibly clearance works, mine-related risk in the entire contract area is downgraded to nil-to-low. b) The contract with the general Contractor specifies the extent of the portion of the construction site of which the Contractor is to be given possession from time to time, clearly indicating restrictions of access to areas where the mine risk is not nil-to-low. It also indicates the target dates at which these areas will be accessible. Following receipt of the notice to commence works from the Engineer, the Contractor can start work in all other areas. c) The general Contractor is invited to include in its bid an amount for mine-security, to cover any additional survey / clearance he may feel necessary to undertake the works. 4. In case of an accident, a Board of Inquiry is assembled by MACA to investigate on the causes of the accident and determine liabilities. Large penalties should be applied on the Contractor if the Board determines that the accident resulted from a breach of safety rules. 5. All parties involved in this process are required to closely coordinate with MACA and to provide the Government, local communities, MACA, as well as any interested party the full available information on mine-related risks that may reasonably be required (e.g., maps of identified minefields, assessments for specific areas). Page 87 87 Annex 13 - EIRP: ESMF Assessment Consultations PCU/FAO staff Kabul headquarters Consultation: From August 2010 to October, 2010 Farhad Noorzai, Waleed Mahdi, Sayed Sharif Shobair, Teame Tewolde Berhan, Shankracharya, Fazal Mahmood Khan, Dawit Hogos, Mohd.Quasim Noori, Sardar Mohammad Majhool, Enayatullah Seerat, Sediqa Hassani, Mir Wais Sahibhan, PCU/FAO Herat Region Consultation: (31 August – 02 September) 2010 Ahmad Shah, Ahmad Rateb Nassimi, Abdul Khalil, M. Khalid, Wahidullah Lodin, Ahmad Hamed Fariwat , Eng mahdi, Hamayoon, Mohsen Nirpor Consultations with various stakeholders involved in Shakiban, Noqra, Mamizak and Sahar Khiz Canal schemes. Other consultations in Herat included: Fazal Ahmad Zakiri, Director Water Management Herat Region, Dr Clarence Maloney, Social Safeguard Adviser ADB Herat Region Irrigation Project, Abdul Roser, Director of DACAAR, Herat Region, Richard Evans, Regional Director HALO Trust, and World Vision staff. PCU/FAO Kabul/Bamyan Region Consultation: (25 August – 26 August) 2010 Nezamuddin Azimi, Mirwais, Fazal Rahim Nezam, Fahima Kabur, Mahbuba, M.Zaki-Samey, Abdul Raseq, Latifullah Koistani Consultations with various stakeholders involved in Shakh Ab, Reg-e-Reran, Balawdan, Aqa sara and Daneshmand canal schemes. Other consultations in Kabul included: Dr Arif Qaraeen, Director DACAAR and Mohammad Shah Rauf, Rural Development Program Manager, DACAAR. PCU/FAO Jalalabad Region Consultation: (04 September – 05 September) 2010 Taj Mohammad, Ibad-ur-Rahman, Fazal Rahim, Zahidullah Banawal, Mohammad Sharif, Mir Wais Spinghar Sadat, Consultations with various stakeholders involved in Dobandi and Mirza Khil Canal Schemes Other consultations in Jalalabad region included: Khushal Asifi, Head of UNFAO Eastern Region PCU/FAO Mazar-i-sharif Region Consultation: (20 September – 24 September) 2010 Page 88 88 Ghulam Sediq, Zabiullah Esmati, Nessar Ahmad Khuran, Abdul Shokoor Consultations with various stakeholders involved in Quanjugha, Masjedi Sofiha, Dalhhaki and Larghan Canal Schemes In addition the team visited Chashma Darah dam in Firoz Nakhjir district, Qiran Darah dam in centre of Samangan as well as Shamar dam in sholoktoo centre of Samangan province. Other consultations in Mazar region included: Director of Water Management Department Samangan province, Eng Abdul Rasul Ahmadzai and District Governor of Firoz Naqshir: Mohammad Nawab Khan, community and beneficiaries. Other Regional PCU/FAO staff Consultation: (26 September – 27 September) 2010 Saminullah, Kandhar, Noor Ahmed, Bamyan, M. Atiq, Kunduz, Amanullah, Kunduz NEPA / NERAP Consultation: On 23 August & on 12 October, 2010 Eng. Najibullah Yamin, Technical Deputy Md. Isaq, Abbas ali World Bank Consultation: On 28 September & 23 October, 2010 Usman Qamar, Abdul Mohammad Durani, Mohammad Arif Rasuli Page 89 89 Annex 14 – Format for Limited Environmental Assessment (LEA) Context of LEAs The LEAs to be carried out for individual schemes to be rehabilitated as part of the IRD will draw upon the Environmental and Social Safeguards Management Framework. They will guide the process of assessing the potential impacts and examining candidate mitigation measures for each environmental concern. This format is a guide to the reporting of the assessment carried out as per those matrices. It will provide documentary evidence of environmental considerations in decision-making at the sub-project level and streamline the processing of the schemes during implementation. It will also act as a reference for executing mitigation and management measures selected during the assessment. Outline of an LEA Description of the project area This section will include concise description of the project area, its inhabitants, their current condition, existing irrigation infrastructure - lakes/ ponds/ canals/ karez etc. If possible, describe current agricultural practices (application of fertilizers, pesticides, etc.) Project Interventions This will include various improvements considered under the project. It will include a rationale for selection of a particular treatment over others (if alternatives were considered). A concise overview of the benefits will also be provided. Existing Environmental Scenario (draw on site visits and secondary sources) · Biophysical Environment · Topography - slope · Soil - Structure, Salinity · Water - quality and quantity · Flora and Fauna within the study area (include terrestrial and aquatic) · Socio-Economic Environment · Income levels · Amenities available - water supply, etc. · Health and Hygiene · Role of Women Impacts Anticipated (draw on site visits, secondary sources) · Biophysical Environment · Topography changes - landform, erosion · Soil structure - moisture retention capacity, stability, increased salinity · Water - qualitative changes due to increased salinity, use of chemicals · Flora and fauna - loss of habitat, impeding migration · Socio-economic Impacts · Changes in income - distribution and timing · Changes in amenities - impact of construction period increased population, long-term Page 90 90 · Demographic changes due to improved irrigation · Health and Hygiene - risk of increased spread of disease, etc. Mitigation Measures and Implementation Responsibilities Stage of the project Anticipated Impact Environmental Attribute Selected Mitigation Measure Implementation Responsibility Budgetary Estimates Stage of the project Mitigation measure Quantity / Time input Amount Page 91 91 Annex 15 – Generic Terms of Reference for a full Environmental Assessment Introduction Since the Loya Jirga in 2002, a new Afghanistan is being built by the concerted efforts of the Afghan people. The Government of Afghanistan (GoA) intends to upgrade and expand its irrigation and drainage infrastructure to enhance the livelihood earning capacity of its people sustainably. For achieving this objective, it has decided to take up several large irrigation schemes for up gradation and several new schemes have also been proposed. GoA wants that the proposed development occurs with due regard for the environmental and social concerns associated with such development. GoA's apex body on the subject, Ministry of Energy and Water (MEW), wishes to engage the services of a consultant to carry out the Environmental Impact Assessment of large / new schemes during the project preparation stage to ensure that these key concerns are addressed early in project development. While the MEW is the nodal ministry for the project, inputs are also expected from the Ministry of Agriculture and Animal Husbandry and Ministry of Rehabilitation and Rural Development. Project Background The Government of Afghanistan is to avail IDA credit for the rehabilitation of its irrigation infrastructure spread across the country. The proposed multi-component Emergency Irrigation Rehabilitation Project (IRD) aims to improve irrigation infrastructure using a river-basin approach. One component of this project is also financing preparation of feasibility studies for large irrigation schemes which may be taken up in the future. As part of the IRD, detailed Environmental Impact Assessments are to be carried out for candidate large/new projects identified, to feed into the overall project preparation. The XYZ project is being prepared as part of this component. {Provide a plan of the area that will be affected either indirectly or directly. Basic data should be given on existing and proposed irrigation and drainage in the area and the catchment characteristics, if available. }. Objectives This study is being carried out to ensure that environmental implications of the proposed XYZ project have been identified, analyzed and clearly communicated to the decision makers. In order to achieve this target, the following objectives have been set: 1. To prepare inventory of the biophysical and socio-economic environmental attributes in the study area; 2. To involve the local population in project preparation through active consultations which could also assist in identifying the attributes important to them; 3. To identify and assess the magnitude and significance of impacts due to the proposed activities on the attributes identified; 4. To consider a range of proposals should be considered and if so whether they would be less environmentally damaging; 5. To propose avoidance, mitigation and enhancement measures for adverse and positive impacts; Page 92 92 6. To assess the current capacity for environmental management to develop institutional arrangements for this and subsequent (like) projects; and 7. To prepare an environmental management plan to ensure implementation of the management measures selected from the ones proposed, along with budgetary allocation (to feed into the overall project cost estimates) and institutional responsibility. Environmental Assessment Requirements The Environmental Assessment shall be guided by the requirements of OP4.01 and other relevant safeguard policies of the World Bank such as OP4.04, etc. Scope of Work The current information has led to the development of the following tasks, which may be modified with consent of the MEW if new information comes to light during the course of the study (e.g. the presence of sensitive receptors not known when the ToR is finalized). Task 1. Description of the Proposed Project . General design and extent of irrigation and drainage works (specifications of dam and reservoir, size of command area, etc.); size of catchment area; operation and maintenance of irrigations works. Task 2. Description of the Environment. Assemble, evaluate and present baseline data on the relevant environmental characteristics of the study area. Include information on any changes anticipated before the project commences. (a) Physical environment: geology; topography; soils; climate and meteorology; ambient air quality; surface and ground- water hydrology; existing sources of air emissions; existing water pollution discharges; and receiving water quality. (b) Biological environment: flora; fauna; rare or endangered species; sensitive habitats, including parks or preserves, significant natural sites, etc.; species of commercial importance; and species with potential to become nuisances, vectors or dangerous. (c) Socio-cultural environment: land use (including current crops and cropping patterns); land tenure and land titling; present water supply and water uses (including current distribution of water resources if irrigation systems already exist in area); control over allocation of resource use rights. Task 3. Legislative and Regulatory Considerations . Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at international, national, if any. Task 4. Determination of the Potential Impacts of the Proposed Project . Potential impacts to be assessed include: Page 93 93 (a) Project location: resettlement of people; loss of forest land; loss of agricultural land (cropping and grazing); impact on flora and fauna; impact on historic and cultural sites; effects on water resources outside and inside command area. (b) Project Design: disruption of hydrology; drainage problems; design of dams and other structures; crossings for people and animals. (c) Construction Works: soil erosion; construction spoils (disposal of); sanitary conditions and health risks associated with construction camp and workers coming into area; social and cultural conflicts between imported workers and local people. (d) Project Operation: pollution by agrochemicals; impacts on soils (water logging, salinization, etc.); changes in ground water levels inside and outside command area; changes in surface water quality and risks of eutrophication; incidence of water-borne and water-related diseases. (e) Cumulative and long-term effects which may be an issue where a number of irrigation systems share a common watershed or river basin system. Task 5. Analysis of Alternatives to the Proposed Project . Describe alternatives that were examined in the course of developing the proposed project and identify other alternatives which would achieve the same objectives. The concept of alternatives extends to siting, design, technology selection, construction techniques and phasing, and operating and maintenance procedures. Compare alternatives in terms of potential environmental impacts; capital and operating costs; suitability under local conditions; and institutional, training, and monitoring requirements. When describing the impacts, indicate which are irreversible or unavoidable and which can be mitigated. To the extent possible, quantify the costs and benefits of each alternative, incorporating the estimated costs of any associated mitigating measures. Include the alternative of not constructing the project, in order to demonstrate environmental conditions without it. Task 6. Development of Environmental Management Plan, with focus on three generic areas : Mitigation measures, institutional strengthening and training, and monitoring. The emphasis on each of these areas depends on the needs in the specific project context, as identified by the EA itself. · Mitigation of environmental impact: Recommend feasible and cost-effective measures to prevent or reduce significant negative impacts to acceptable levels. Estimate the impacts and costs of those measures. Consider compensation to affected parties for impacts which cannot be mitigated. The plan should include proposed work programs, budget estimates, schedules, staffing and training requirements, and other necessary support services to implement the mitigating measures. · Institutional strengthening and training: Identification of institutional needs to implement environmental assessment recommendations. Review the authority and capability of Page 94 94 institutions at local, provincial/regional, and national levels and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental assessment can be implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, inter-sectoral arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support. · Monitoring: Prepare detailed arrangements for monitoring implementation of mitigating measures and the impacts of the project during construction and operation. Include in the plan an estimate of capital and operating costs and a description of other inputs (such as training and institutional strengthening) needed to carry it out. Task 7. Assist in Inter-Agency Coordination and Public/NGO Participation . Assist in coordinating the environmental assessment with other government agencies, in obtaining the views of local NGO's and affected groups, and in keeping records of meetings and other activities, communications, and comments and their disposition. Reporting Requirements (I) Inception Report: The Consultant will submit an Inception report confirming the methodology to be adopted for the study, the deployment schedule of personnel, a schedule of site visits to be carried out and a reporting schedule, within a fixed time from the date of beginning of the assignment. The consultant may want to carry out a reconnaissance survey before submitting the inception report. (II) Environmental Impact Assessment: The EIA report should include the following items (not necessarily in the order shown): (a) Executive summary. Concisely discusses significant findings and recommended actions. (b) Policy, legal, and administrative framework. Discusses the policy, legal, and administrative framework within which the EA is carried out. Explains the environmental requirements of any co-financiers. Identifies relevant international environmental agreements to which the country is a party. (c) Project description. Concisely describes the proposed project and its geographic, ecological, social, and temporal context, including any offsite investments that may be required (e.g., dedicated pipelines, access roads, power plants, water supply, housing, and raw material and product storage facilities). Indicates the need for any resettlement plan or indigenous peoples development plan {see also sub-paragraph. (h)(v) below}. Normally includes a map showing the project site and the project's area of influence. (d) Baseline data. Assesses the dimensions of the study area and describes relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commences. Also takes into account current and proposed development activities within the project area but not directly connected to the project. Data should be relevant to decisions about Page 95 95 project location, design, operation, or mitigatory measures. The section indicates the accuracy, reliability, and sources of the data. (e) Environmental impacts. Predicts and assesses the project's likely positive and negative impacts, in quantitative terms to the extent possible. Identifies mitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. Identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specifies topics that do not require further attention. (f) Analysis of alternatives. Systematically compares feasible alternatives to the proposed project site, technology, design, and operation-including the "without project" situation in terms of their potential environmental impacts; the feasibility of mitigating these impacts; their capital and recurrent costs; their suitability under local conditions; and their institutional, training, and monitoring requirements. For each of the alternatives, quantifies the environmental impacts to the extent possible, and attaches economic values where feasible. States the basis for selecting the particular project design proposed and justifies recommended emission levels and approaches to pollution prevention and abatement. (g) Management Plan (EMP). Covers mitigation measures, monitoring, and institutional strengthening; see outline (in III) below. (h) Appendixes: (i) List of EA report preparers-individuals and organizations. (ii) References-written materials both published and unpublished, used in study preparation. (iii) Record of interagency and consultation meetings, including consultations for obtaining the informed views of the affected people and local nongovernmental organizations (NGOs). The record specifies any means other than consultations (e.g., surveys) that were used to obtain the views of affected groups and local NGOs. (iv) Tables: presenting the relevant data referred to or summarized in the main text. (v) List of associated reports (e.g., resettlement plan or indigenous peoples development plan). (vi) Environmental Management Plan: The consultant will submit an environmental management plan (in line with Annex C of OP4.01) which will include the following components. (a) Mitigation The EMP identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient. (b) Monitoring Environmental monitoring during project implementation provides information about key environmental aspects of the project, particularly the environmental impacts of the project and the effectiveness of mitigation measures. Such information enables the borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation measures described in the EMP. Page 96 96 (c) Capacity Development and Training To support timely and effective implementation of environmental project components and mitigation measures, the EMP draws on the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry level. If necessary, the EMP recommends the establishment or expansion of such units, and the training of staff, to allow implementation of EA recommendations. Specifically, the EMP provides a specific description of institutional arrangements-who is responsible for carrying out the mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management capability in the agencies responsible for implementation, most EMPs cover one or more of the following additional topics: (a) technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. (d) Implementation Schedule and Cost Estimates For all three aspects (mitigation, monitoring, and capacity development), the EMP provides (a) an implementation schedule for measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and (b) the capital and recurrent cost estimates and sources of funds for implementing the EMP. These figures are also integrated into the total project cost tables. (e) Integration of EMP with Project The borrower's decision to proceed with a project, and the Bank's decision to support it, are predicated in part on the expectation that the EMP will be executed effectively. Consequently, the Bank expects the plan to be specific in its description of the individual mitigation and monitoring measures and its assignment of institutional responsibilities, and it must be integrated into the project's overall planning, design, budget, and implementation. Such integration is achieved by establishing the EMP within the project/contract documents so that the plan will receive funding and supervision along with the other components. Reporting Schedule No. Title of Report Due within date from beginning of assignment No. of copies Time for comment from M&E Unit of MEW/WB I Inception Report 15 days II Interim Report (including screening of alternatives) 15 days III Environmental Impact Assessment 1 month IV Environmental Management Plan 15 days Consulting Team The consulting team shall include the following key experts in addition to any support staff that the consultant may decide. No. Qualification Minimum Experience Duration of Service Required Continuous / Intermittent Inputs 1 Post graduate Degree in 10 years Continuous Page 97 97 Environmental Planning/ Engineering 2 Post graduate Degree in Sociology/Anthropology 10 years Continuous 3 Degree in Agronomy 8 years Intermittent 4 Degree in Civil Engineering / Hydrology 8 years Intermittent 5 Degree in Terrestrial / Aquatic Ecology 8 years Intermittent 6 Degree in Social Science 8 years Intermittent Page 98 98 Annex 16 – Sample Terms of Reference for Social Impact Assessment Generic Terms of Reference for a full Social Assessment 1. Introduction Since the Loya Jirga in 2002, a new Afghanistan is being built by the concerted efforts of the Afghan people. The Government of Afghanistan (GoA) intends to upgrade and expand its irrigation and drainage infrastructure to enhance the livelihood earning capacity of its people sustainably. For achieving this objective, it has decided to take up several large irrigation schemes for up gradation and several new schemes have also been proposed. GoA wants to ensure the proposed development occurs with due regard for the environmental and social concerns associated with such development. GoA's apex body on the subject, Ministry of Energy and Water (MEW), wishes to engage the services of a consultant to carry out the Social Assessment of large / new schemes during the project preparation stage to ensure that these key concerns are addressed early in project development. While the MEW is the nodal ministry for the project, inputs are also expected from the Ministry of Agriculture and Animal Husbandry and Ministry of Rehabilitation and Rural Development. 2. Project Background The proposed Irrigation Restoration and Development Project (IRDP) aims to improve irrigation infrastructure using a river-basin approach. One component of this project is also financing preparation of feasibility studies for large irrigation schemes which may be taken up in the future. As part of the IRDP, detailed Social Impact Assessments are to be carried out for candidate large/new projects identified, to feed into the overall project preparation. The XYZ project is being prepared as part of this component. {Provide a plan of the area that will be affected either indirectly or directly.} 3. Objectives Social Assessment (SA) through participatory planning has specific functions to assess the social issues and impacts on affected populations which helps to design mitigation plans in order to improve their quality of life and a strategy for participatory implementation. This study is being carried out to ensure that social implications of the proposed XYZ project have been identified, analyzed and clearly communicated to the decision makers. In order to achieve this target, the broad objective is to identify, develop and incorporate social measures into project planning, preparation, implementation and monitoring as a means of identifying and addressing direct and indirect social outcomes through all aspects of project execution. This process needs to be carried out at each stage of project preparation namely feasibility and detailed project report (DPR) stage. To carry out the detailed assessments at various stages a detailed work-plan needs to be provided as part of the inception report. The following provides specifies objectives, activities and outputs to complete the SA process: 4. Specific Objectives SA is an approach for incorporating social analyses and participatory processes into project design and implementation. The specific objectives of the SA are: Page 99 99 To carry out a socio-economic, cultural and political/institutional analysis to identify potential social impacts of the proposed projects; To identify principal stakeholders and develop consultation framework for participatory implementation; To screen social development issues and scope SA activities for feasibility and design stage; To ensure that results of the SA provide inputs to the monitoring of project impacts during implementation and to the evaluation of project outcomes at completion; To provide inputs to the project design at the feasibility and detailed design stage including specific recommendations in selection of design alternatives (identification of areas that may require adjustments in project designs) and preparing social policy framework; Develop a Resettlement Action Plan (RAP) that includes comprehensive mitigation measures to ensure that the affected and displaced persons are appropriately resettled and rehabilitated i.e. to assist them to improve their livelihoods and standards of living or at least to restore them, in real terms; Assess the current capacity for management of social impacts, develop institutional arrangements for this and subsequent (like) projects and formulate a training and capacity building plan. Scope of Work (i) Stage I - Feasibility Stage: To determine the magnitude of potential impacts and ensure mainstreaming of social considerations in selection and design of proposed projects. Social screening and preliminary assessment will be carried out to determine nature, magnitude of adverse social impacts and specific of social issues to scope out social issues for detailed assessment. To inform, consult and carry out dialogues with stakeholders on matters regarding project design alternatives, implementation of social mitigation measures and provide specific recommendations with high social risks, including, presence of significant common property that may require adjustments in project design. Assess the capacity of institutions and mechanism for implementing social risk management instruments and recommend capacity building. Develop monitoring and evaluation mechanism to assess social development outcomes. Develop broad mitigative measures and prepare preliminary budget estimates. SA Methods and Tools: For socio-economic, cultural and political/institutional analysis combine multiple tools and employ a variety of methods for collecting and analyzing data, including both quantitative and qualitative methods (expert and key informnant interviews, focus group discussions, beneficiary assessments, rapid and participatory rural appraisal, gender analysis). Develop scoping techniques, interview schedules, field survey instruments and checklist for data collection and discussions. Screen and scope to prioritize social issues through different techniques such as ranking and composite index. The selection of SA methodology should emphasize consultation and participation of project affected persons (PAPs), project implementing and executing agencies and other stakeholders. Page 100 100 The discussions with the relevant government officials, other institutions and organizations in the civil society, should be participatory and broad-based, leading to the identification, selection and agreement on project options. Outputs: The expected output will be a Social Screening report and findings integrated in the feasibility report, including: Findings of analysis and consultation framework for project. Outline of social risk management instruments as required. Recommendation for adjustments in designs during feasibility and detailed design stage. Scope of social impact assessment to define the universe of social issues for detailed analysis for DPR. Guidelines for resettlement and rehabilitation measures. (ii) Stage II - Detailed Project Report: The social impact assessment will cover the directly affected populations to formulate development strategies in order to assist in determining project impacts on the social, economic, cultural, and livelihood activities of affected communities. This will establish a social baseline against which changes resulting from the intervention can be measured in the future. The social surveys will be carried out after demarcation of zone of impact. a) A census and socio-economic survey, including a detailed inventory of affected assets would however, need to be carried out for all PAPs to establish a cut-off date, loss of fixed assets such as structures and trees, livelihood or access to community resources and categorise each type of losses as a result of project implementation. b) Assess local tenure and property rights arrangements which may include usufruct or customary rights to the land or other resources taken for the project including common property resources. c) Analysis of baseline information and its processing will include adequate measures to compensate and assist the people to restore and improve their livelihood. d) Carry out market survey and focus group consultation with different social groups including women to prepare socially, technically and economically feasible income generations schemes including skill up gradation plans. e) Identify the land and prepare a plan for relocation in consultation with the project displaced people with different social groups including women and local administration. f) Finalize estimate of land required that will be affected by zone of impact, resettlement and economic rehabilitation and review land transfer procedure adopted in project area for all types of activities related to project such as back water effect, distributary network, approach roads and other civil works. g) Carry out meaningful public consultation with project affected people and other stakeholders on the types of social risk management measures to ensure 1) that the proposed mitigation measures are feasible to assist people to improve their livelihoods and 2) provide opportunities and a plan to participate in planning and implementing resettlement. Setting out mechanisms for community participation to set out priorities to Page 101 101 ensure consultation with project affected people and dialogues with government officials from various departments, to make recommendations on measures necessary to mitigate adverse impacts and enhance social outcomes. h) Determine, in consultation with government officials, the current replacement cost rates for all types of affected assets and prepare detailed cost estimates for all types of affected assets and for other assistance and allowances. i) For all those who are affected including ethnic minorities, the social and economic benefits they receive should be consistent with their cultural preferences and decided in consultation with affected communities. j) The assessment will incorporate all measures necessary to ensure compensation for assets acquired at replacement cost, assistance to facilitate shifting of structures out of the impact zone, and mitigation measures for loss of livelihood, or reduction in incomes for PAPs. RAP is intended to be action-oriented and time-bound document. As such it should be as precise and affirmative as possible, to facilitate approval by project authorities and the WB. Clarifying the parameters of the RAPs during the early stages will ensure that the RAP is a document focused on practical steps for implementation of R&R measures. k) Prepare the draft R & R framework in close coordination with the borrower and the project affected people, based on type of losses expected, which describes entitlements and mitigation measures needed to assist affected people, especially for the vulnerable in accordance with World Bank guidelines. l) Assess institutional capacity and propose the institutional arrangement for implementation of RAP, addressing grievances, and ensuring gender equity, and identify the roles and responsibilities of each agency and develop a training program on R & R, based on the assessment of the capacity of the implementing agency. m) To develop a time schedule to implement the action plan that synchronizes with civil works. n) Conduct risk assessment for proposed mitigation measures and develop a risk assessment framework. o) Develop user friendly software package for database on Project Affected Households and families to enable monitoring. Methods & Tools: a) Conduct census and baseline survey with the help of interview schedules and prepare linear maps at appropriate scales showing each affected property to identify all project affected households and assets. b) Conduct land surveys in project area with the assistance of government officials for preparing land plan schedules. c) Conduct focus group discussions to discuss adjustment in designs. d) Conduct consultations with affected people, and district level workshops with communities and executing organizations to finalize the implementation mechanism and for informed decision making. Output: The following shall be the outputs: a) Final R&R policy. Page 102 102 b) Final Resettlement Action Plan (RAP) including a capacity building & training plan for project partners. c) Final data base of the socio- economic surveys. 5. Reporting Requirements a) Inception Report: The Consultant will submit an Inception report confirming the methodology to be adopted for the study, the deployment schedule of personnel, a schedule of site visits to be carried out and a reporting schedule, within a fixed time from the date of beginning of the assignment. The consultant may need to carry out a reconnaissance survey before submitting the inception report. b) Social Screening Report: The expected output will be a Social Screening report and findings integrated in the feasibility report, including findings of analysis and consultation framework for project; outline of safeguard instruments as required; recommendation for adjustments in designs during feasibility and detailed design stage; scope of social impact assessment to define the universe of social issues for detailed analysis for DPR; and guidelines for resettlement and rehabilitation measures. c) Resettlement Action Plan: Project description; method of study; analysis of alternatives; minimization of adverse impacts; analyses of land tenure systems, land acquisition or transfer mechanism and R&R polices; project area profile and Impact analyses of the project on affected and displaced people with disaggregated data analyses of men and women; impact on land and other assets vis- à-vis the total asset including impact on occupation (formal and informal) and income (formal and informal sources) with disaggregated data analyses of both men and women; relocation plan with alternate sites, selection of preferred sites in consultation with the affected people, and planning for development of alternative sites; livelihood restoration plan with training plan for skill up gradation, employment and credit; community participation and integration with host population; restoration and relocation plan for cultural/common properties; institutional arrangement specified with roles and responsibilities, and training plan for capacity building; implementation schedule; monitoring, and evaluation plan, including indicators and reporting formats; risk assessment; cost estimates including rate analysis, quantities for civil work items and detailed budget. 6. Reporting Schedule No. Title of Report Due within date from beginning of assignment No. of copies Time for comment from M&E Unit of MEW/WB I Inception Report 15 days II Social Screening Report 1 month III Resettlement Action Plan 15 days 7. Consulting Team The consulting team shall include the following key experts in addition to any support staff that the consultant may decide. Page 103 103 No. Qualification Minimum Experience Duration of Service Required Continuous / Intermittent Inputs 1 Post graduate Degree in Sociology/Anthropology 10 years Continuous 2 Postgraduate Degree in Social Work 10 years Continuous 3 Degree in Agriculture 5 years Intermittent 4 Degree in Civil Engineering 5 years Intermittent 5 Community Participatory Specialist 10 years Continuous 6 Gender Specialist 8 years Intermittent Page 104 104 ANNEX 17: LAND ACQUISITION AND RESETTLEMENT POLICY FRAMEWORK Irrigation Restoration and Development Project (IRDP) Resettlement Policy Framework Prepared by: Ministry of Energy and Water, Islamic Republic of Afghanistan This resettlement policy framework is a document of the borrower. The views expressed herein do not necessarily represent those of the World Bank’s Board of Directors, Management, or staff, and may be preliminary in nature. Page 105 105 Contents Abbreviations 4 Definitions 5 Preface 9 1. Outline of the IRDP project 10 1.1 Key development issues and rationale for Bank involvement 10 1.2 Proposed objectives 11 1.3 Preliminary description 11 1.3 Why a Resettlement Policy Framework 13 2. Legal & Policy Framework for Resettlement 15 2.1 Afghan Law & Policy on Land Acquisition 15 2.2 Principles of World Bank OP 4.12 on acquisition, resettlement and compensation 17 2.2.1 Introduction 17 2.2.2 The application of OP 4.12 17 A table of comparison between the Law on Land Expropriation and OP 4.12 with proposals for reconciliation 25 3. Eligibility for compensation 30 3.1 General eligibility 30 3.2 Land Tenure and Compensation Entitlements 30 3.3 \03 Entitlements to Compensation & Livelihood Restoration 33 4. Unit Compensation Rates and Budget 36 4.1 Establishing Rates for Land Acquisition & Resettlement 36 4.2 Valuation of Land 38 4.3 Valuation of structures 38 4.4 Valuation of crops and trees 38 4.5 Income restoration allowances 40 5. Institutional Arrangements 41 5.1 General 41 5.2 Overall Organization – Ministry of Energy and Water (MEW) 42 5.3 Project Implementation 43 5.3.1 Ministry of Energy and Water 43 5.3.2 Implementing NGO 43 5.3.3 Local Government 44 5.3.4 Gender 45 Page 106 106 6. Public Consultation and Participation 46 6.1 General Public Consultation 46 6.2 Public consultation 46 6.3 Village meetings 46 6.4 Consultations with Government Officials and Other Stakeholders 47 6.5 Preparation of Project Specific Informative Material 47 6.6 Disclosure 48 7. Preparatory Actions and Implementation Schedule 49 7.1 Preparation Actions 49 7.2 Process of LARP Implementation 50 8. Complaints and Grievance Redress 51 9. Monitoring & Evaluation 53 9.1 General 53 9.2 Internal Monitoring 53 9.3 External Monitoring 54 9.4 Management Information Systems 55 9.5 Reporting Requirements 55 10.1 Matrix of Actions under the RPF 56 10.2 Matrix of Compensation Entitlements and Rates 60 11.1 A draft Resettlement Code made under the authority of article 22(5) of the Law on Land Expropriation 66 11.2 Commentary on the draft Resettlement Code 73 Page 107 107 Abbreviations ADB Asian Development Bank AP (Project) Affected Person including all persons in an affected household CWDA Community Water Development Assistant EA Executing Agency EIRP Emergency Irrigation Rehabilitation Project EMA External Monitoring Agency ESS Environmental and Social Safeguards Staff of PCU GRC Grievance Redress Committee ha hectare IC International Consultant IOL Inventory of Losses IRA Islamic Republic of Afghanistan IRDP Irrigation Restoration and Development Project LARP Land Acquisition and Resettlement Plan LLE Law on Land Expropriation MAIL Ministry of Agriculture, Irrigation and Livestock MEW Ministry of Energy and Water MoF Ministry of Finance NGO Non-governmental organization PIU Project Implementing Unit PMU Project Monitoring Unit RAP Resettlement Action Plan RPF Resettlement Policy Framework RP Resettlement Plan TOR Terms of Reference Page 108 108 Definitions of words and phrases used in the RPF Affected Persons (APs) mean all the people affected by a project through land acquisition, relocation, or loss of incomes and includes any person, household (sometimes referred to as project affected family), firms, or public or private institutions who on account of a development project would have their; (i) standard of living adversely affected; (ii) right, title or interest in all or any part of a house, land (including residential, commercial, agricultural, plantations, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence, or habitat adversely affected, with or without displacement. APs therefore include; i) persons affected directly by the right of-way or construction work area; (ii) persons whose agricultural land or other productive assets such as trees or crops are affected; (iii) persons whose businesses are affected and who might experience loss of income due to the project impact; (iv) persons who lose work/employment as a result of project impact; and (v) people who lose access to community resources/property as a result of the project. Census means the pre-appraisal population record of potentially affected people, which is prepared through a count based on village or other local population data or census. Compensation means payment in cash or kind for an asset to be acquired or affected by a project at replacement costs. Cut-off-date means the date after which people will not be considered eligible for compensation, that is they are not included in the list of APs as defined by the census. Normally, the cut-off date for the titleholders is the date of the detailed measurement survey. Displacement means either physical relocation or economic displacement in which the impact of loss of incomes force people to relocate in order to initiate alternative strategies of income restoration. Detailed Measurement Survey means the detailed inventory of losses that is completed after detailed design and marking of project boundaries on the ground. Encroachers mean those people who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project. Entitlement means the range of measures comprising cash or kind compensation, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and relocation which are due to /business restoration which are due to APs, depending on the type and degree nature of their losses, to restore their social and economic base. Income Restoration means the measures required to ensure that APs have the resources to at least restore, if not improve, their livelihoods. Restoration of incomes of all affected persons is one of the key objectives of ADB’s resettlement policy. It requires that after resettlement, all of the affected persons should have incomes that are at least equivalent to their pre-project income levels or otherwise improvement. Though resettlement programs should be designed to help improve the standards of living and income levels of the affected population, they must as a minimum be restored. Page 109 109 Inventory of Losses means the pre-appraisal inventory of assets as a preliminary record of affected or lost assets. Jerib means the traditional unit of measurement of Afghanistan. One Jerib is equivalent to 2,000 square meters of land. One hectare is equivalent to 5 jeribs. Land Acquisition means the process whereby a person is compelled by a public agency to alienate all or part of the land s/he owns or possesses, to the ownership and possession of that agency, for public purposes, in return for prompt and fair compensation. Non-titled means those who have no recognizable rights or claims to the land that they are occupying and includes people using private or state land without permission, permit or grant. Poor Those falling below the UN poverty line of 1 dollar per person per day or equivalent to AF 52. Relocation means the physical shifting of APs from his/her pre-project place or residence, place for work or business premises. Rehabilitation means the assistance provided to severely affected APs to supplement payment of compensation for acquired assets in order to improve, or at least achieve full restoration of, their pre-project living standards and quality of life to pre-project level. Replacement Cost means the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Resettlement means all social and economic impacts that are permanent or temporary and are (i) caused by acquisition of land and other fixed assets, (ii) by change in the use of land, or (iii) restrictions imposed on land as a result of the project. Resettlement Plan means the time-bound action plan with budget setting out resettlement strategy, objectives, entitlements, actions, responsibilities, monitoring and evaluation. Severely Affected APs means APs that are affected by significant impacts within the meaning of the definition below. Significant Impact means 200 people or more will experience major impacts, which are defined as; (i) being physically displaced from housing, or (ii) losing ten per cent or more of their productive assets (income generating). Sharecropper and/or Tenant cultivator is a person who cultivates land they do not own for an agreed proportion of the crop or harvest. Structures mean all structures affected, or to be acquired, by the project – living quarters, wells, hand pumps, agricultural structures such as rice bins, animal pens, stores/warehouses, commercial enterprises including roadside shops and businesses. Squatters mean the same as non-titled person i.e. those people without legal title to land and/or structures occupied or used by them. World Bank policy explicitly states that such people cannot be denied compensation based on the lack of title. Vulnerable means any people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement i.e; (i) single household heads with dependents; (ii) disabled household heads; (iii) poor households; (iv) elderly households with no means of support; (v) the landless or households without security of tenure; and (vi) ethnic minorities. Page 110 110 Preface This draft Resettlement Policy Framework (RPF) sets out the general principles and policies to be followed in connection with any land acquisition and resultant resettlement which will occur during the implementation of the proposed Irrigation Restoration and Development Project scheduled to commence in 2011. It has drawn on the work done by the Social Safeguards consultant and the report of that consultancy – Compliance with Social Safeguards Requirements in the Emergency Irrigation Rehabilitation Project (EIRP) and by the Environmental consultant and the report of that consultancy – Report on Compliance with Environmental Safeguards in the Emergency Irrigation Rehabilitation Project (EIRP). This draft has also drawn on several Resettlement Planning Documents (RPD) prepared both by the Ministry of Energy and Water and the Ministry of Public Works in connection with projects being funded by the Asian Development Bank (ADB). It seemed to the consultant that there was both common sense and considerable merit in developing an RPF which had close affinities to existing and acceptable RPDs, while taking account of the different functions of an RPF and the different funder – the World Bank – to whom the document is addressed. Common standards and approaches to resettlement across government increase efficiency and effectiveness in the administration of such programmes. Officials can more easily grasp what is required; capacity can be enhanced ( a matter stressed to the consultant by the Minister of Energy and Water when he met with the consultant on the inception mission in November); and affected persons (APs) in all projects will have greater confidence that they are being treated fairly, so reducing the likelihood of grievances and legal and other challenges to resettlement which can delay the implementation of projects. Common standards in practice will also make it easier to develop a national law on resettlement as and when the government decides to move in that direction. It should however be emphasised that this RPF is designed solely for the IRDP. It may have wider uses but these are a bye-product of and not the main purpose of this framework. Page 111 111 Irrigation Restoration and Development Project (IRDP) Resettlement Policy Framework 1. Outline of the IRDP project 1.1 Key development issues and rationale for Bank involvement Over 70 percent of the population of Afghanistan lives in rural areas largely dependent on agriculture and livestock, which together account for approximately 40 percent of the total GDP. Improved agricultural performance offers significant prospects for raising farmer incomes, improving food security, providing rural employment, and reducing vulnerability. However, agriculture and livestock productivity has declined significantly as a result of decades of conflict, systematic destruction of productive rural infrastructure, insufficient basic services, low availability of inputs and a major reduction in irrigated area as compared to pre-war levels. Irrigation is key to agriculture recovery. With only 12 percent of the total land being arable and the country’s arid climate, irrigation is essential for reliable agricultural production in most of the country. Irrigated agriculture -which accounts for the bulk of the total production of cereals and other crops -was the worst affected by the continuing insurgency, as maintenance was neglected leaving the irrigation systems in a state of disrepair. Irrigated area decreased by almost 70 percent and crop productivity fell below 50 percent of the pre-war levels. In 2008, the wheat crop failed because of delayed and low precipitation (rain and snow) resulting in a wheat deficit of over two million tons, further highlighting the critical importance of irrigation supplies for food security in the country. The Afghanistan National Development Strategy (ANDS) assigns high priority to increasing agricultural productivity, combating food shortages, achieving self-sufficiency in food grains, promoting high value horticulture and value chains, and providing alternative sources of livelihood to poppy growing farmers. While Afghanistan needs to invest in developing new water resources for irrigated agriculture and other multi-sector needs, restoration of existing systems is a high priority. Despite significant achievements in rehabilitation to date, Afghanistan's remaining needs for irrigation rehabilitation are still large. The total irrigated area in the country prior to 1979 was about 3.2 million ha but in 2007 it was only 1.8 million ha although water availability in the rivers was good. Until now only about 0.9 million ha has been rehabilitated. The World Bank has been assisting the Government of Afghanistan in rehabilitating irrigation systems all over the country under the EIRP since 2004. This project is due to close on March 31, 2011. The overall performance of this project has been satisfactory with over 750 irrigation schemes of varying sizes covering about 0.65 million ha rehabilitated, 105 hydrological stations installed, and a capacity building program initiated in the Ministry of Energy and Water (MEW) supported by one IDA Credit and three IDA grants amounting to US$ 127.5 million. Monitoring data indicate that the rehabilitation interventions have resulted in an increase of over 130,000 ha in Page 112 112 irrigated area; substantial increases in crop yields, and a substantial reduction in water related disputes. In view of this, the proposed IRDP project is being formulated to continue the rehabilitation program as well as to initiate a small dams program to develop water resources together with necessary capacity building activities. 1.2. Proposed objective(s) The proposed objective of the IRDP project is to increase agriculture productivity and production in the project areas. The strategy for achieving the PDO would include: (i) assisting local communities/farmers to rehabilitate irrigation schemes; (ii) re-establishing hydro-meteorological services in the country to provide improved access to hydro-met data to enable preparation of improved and more cost effective designs of rehabilitation and development works; and (iii) continuing capacity building in MEW for preparing and implementing irrigation/water resource development projects. 1.3. Preliminary description The project would build upon and scale up activities supported under the on-going EIRP. In addition, it would a lso support MEW in making a modest start towards developing Afghanistan’s water resources for irrigation comprising a small dam development programme in closed river basins that are free of trans-boundary riparian issues. The project would have the following components: Component A: Rehabilitation of Irrigation Infrastructure : This component would support the rehabilitation of medium and large irrigation schemes14 covering a total irrigated area of about 300,000 ha that would benefit approximately 230,000 households and increase irrigated area by about 87,000 ha. This component will be designed and implemented using the successful model15 that is being followed under the EIRP all over the country. However, greater involvement of existing institutions (e.g. CDCs or clusters of CDCs) will be sought to facilitate project activities. Typical rehabilitation works would include improving canal intake structures, conveyance channels (main canals), wash structures (water bridges/super passages to allow safe passage of hill torrents over canals), siphons, aqua ducts and other river crossing structures, culverts, and control structures. Mini/micro-hydro-electric generation, drinking water supply and small roads needed for construction and operation and maintenance would be considered where feasible. Irrigation scheme designs would be closely coordinated with on-farm development works that would be implemented by the Ministry of Agriculture Irrigation and Livestock (MAIL) under the proposed On-farm Water Management (OFWM) Project that is currently under preparation16. Component B: Small Dam Development : This component would support the design and construction of a limited number of multi-purpose small dams and appurtenances, and associated 14 Including completion of contracts started under the EIRP. 15 The EIRP responds to requests from local communities for rehabilitation of community managed irrigation schemes all over the country. Communities are closely involved in design, implementation and quality control. 16 The Afghanistan water law assigns responsibility for on-farm water management interventions to MAIL, while interventions in the upstream parts of the irrigation system (canal intakes, main canals and associated structures) are the responsibility of MEW. Page 113 113 irrigation conveyance and distribution systems. The selected dams would be located in closed river basins that are free of trans-boundary riparian issues. Twenty two potential sites have been identified in the northern closed river basins and preparation of feasibility studies17 is proceeding and would be completed by May 2012. Subsequently detailed design would be prepared under a design and construction supervision contract. Actual construction of small dams would commence in 2013 allowing three full construction seasons before the project closing date. This component would also support development of the capacity in MEW and local institutions [Mirabs (community water managers), CDC and clusters of CDCs] to carry out operation and maintenance. Component C: Establishment of Hydro-Meteorological Facilities and Services : Under the ongoing EIRP hydro-met facilities, including 105 hydrological stations, 60 river flow measurement stations, and 56 meteorological stations are being established, and a start has been made in building capacity for hydro-met data collection and collation. This component of the IRD project would build upon the work done under the EIRP and support the establishment of an efficient and effective hydro-meteorological service, including the provision of hardware18 and software, field equipment and transport facilities, as well as training of MEW staff in data collection, analysis and dissemination. Twinning arrangements would be considered with countries with well developed hydro- meteorological services to help develop capacity of MEW’s hydro-meteorological department. Component D: Project Management, Construction Supervision, Monitoring and Evaluation and Institutional Strengthening : This component would include the following five sub-components: D1. Support for project management and supervision. This would include support for overall project management, procurement, contract management, financial management, survey, preparation and design of irrigation schemes and small dams, construction supervision and quality control, implementation of environmental and social management plans, performance based financial incentives for project staff, salaries of contract staff and incremental operating costs. Support for construction supervision would be of two types: (a) consulting services for oversight of supervision19 of the construction of medium schemes; and (b) consulting services for resident supervision20 of small dams. FAO has been successfully providing technical assistance under the EIRP. Based on this good experience and to maintain continuity, FAO would be single sourced to provide consulting services for this sub-component except for the design and construction supervision of small dams that would be carried out by a consulting firm selected through competition following Bank guidelines for selection of consultants. For the small dams a 17 Including detailed social and environmental assessments. 18 Including completion of contracts started under the EIRP. 19 The primary responsibility for supervision would be with the staff of PCU and provincial water management department while the consultant/FAO would carry out periodic sample checks and report back on any deviations from the specification or other quality issues. 20 Resident supervision means that the consultant/FAO would have primary responsibility for contract management, supervision and quality control and would have the formal role of the “the Engineer” or “Project Manager” with powers for issuing variation orders/change orders up to a certain value. Page 114 114 Panel of Experts would be appointed for the review of dam safety aspects in accordance with OP/BP 4.37 during design and construction. D2. Support for building capacity in MEW in various technical fields, including the proposed small dams program, as well as in procurement, contract management, financial management, internal audit, monitoring and evaluation, various technical fields, and management of environmental and social and gender issues. D3. Support for building capacity of local institutions, including Mirabs (traditional community appointed water managers), CDCs, farmer/community groups, university faculties, local engineering institutes, libraries, and local construction industry. D4. Support for monitoring and evaluation activities, including input, output, process, and outcome monitoring, as well as monitoring of implementation of the ESMF, EMP and SMF, land acquisition and resettlement plans. D5. Support for future project preparation and strategic studies (e.g. impact of climate change). 1.4 Why a Resettlement Policy Framework? The components of the project for which a Resettlement Policy Framework (RPF) are required are components A and B, both of which will likely involve acquisition of land and/or loss of assets from persons living and farming near dams to be built and irrigation schemes to be rehabilitated. Following the EIRP approach, these components will be largely demand-driven so that it is not possible at this stage of developing the project to prepare a resettlement plan with the full details of all affected persons who are likely to have to be relocated or who are going to suffer some losses or diminution of the value of land and other assets which will entitle them to compensation The purpose of the RPF is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to sub-projects to be prepared during project implementation. In this way a consistent approach to resettlement practice will be ensured over the course of the project. There are several interlinked issues that must be addressed by way of introduction to the policy. First, the resettlement policy framework is required to be consistent both with the World Bank’s Operating Policies 4.12 which deal with Involuntary Resettlement and with existing local laws and policies. Where there is inconsistency between the two, then if creative interpretation of the local law cannot reconcile the differences, the practice in Afghanistan, at least in relation to inconsistencies between the law and Asian Development Bank (ADB) equivalent policies on involuntary resettlement, is to prefer the ADB policies. The first step however is to analyse and compare OP 4.12 and relevant laws before making any judgement on incompatibilities. Second, before the details of the RPF can be outlined and explained, the basic principles and objectives of the RPF must be set out. But whereas OP 4.12 contains such principles and objectives, no laws or policies in Afghanistan deal with resettlement. There are relevant laws that will be discussed later – principally a Law on Managing Land Affairs of 2008 and a Law on Land Expropriation of 2005 but neither deal with involuntary resettlement. So setting out the principles of an RPF at the outset of developing one is unavoidably to give priority to World Bank policies on resettlement. These principles then must be in a sense tentative – used in order Page 115 115 to get the substance of the policy under way – without prejudice to later adjustment in the light of discussions of Afghan law and policy on resettlement. Radhika Srinivasan of ECSSD, World Bank summarises the principles of an RPF as being to · first, avoid or minimise adverse impacts on persons and families likely to be affected by the project (APs) · second, ensure that where land acquisition is unavoidable, APs are o consulted on the operation of the project o compensated for lost assets at replacement costs o provided with assistance to improve/restore livelihoods and standards of living to pre-displacement levels in the event of displacement. The RPF spells out how these principles will be met. It should be said at the outset that while the relevant laws of Afghanistan might not cover these matters in any detail there would appear to be nothing in the laws to stop these principles being given effect to in practice. 2. Legal & Policy Framework for Resettlement 2.1 Afghan Law & Policy on Land Acquisition There is no country specific resettlement policy in Afghanistan. A comprehensive land policy was approved in 2007 by the cabinet; however it has yet to be fully operationalised. Ratified in early 2004, the Constitution of Afghanistan has three articles that closely relate to compensation and resettlement. For public interest purposes, such as the establishment/construction of public infrastructure or for acquisition of land with cultural or scientific values, land of higher agricultural productivity, large gardens, the Law on Land Expropriation (LLE) enacted in 2005 provides that: (i) The acquisition of a plot or portion of a plot for public purpose is decided by the Council of Ministers and is compensated at fair value based on current market rates (Article 2); (ii) The acquisition of a plot or part of it should not prevent the owner from using the rest of the property or hamper its use. If this difficulty arises, the whole property will be acquired (Article 4); (iii) The right of the owner or land user will be terminated three months prior to the start of civil works on the project and after the proper reimbursement to the owner or person using the land has been made. The termination of the right of the landlord or the person using the land would not affect their rights on collecting their last harvest from the land, except when there is emergency evacuation (Article 6); (iv) In cases of land acquisition, the following factors shall be considered for compensation: (a) value of land; (b) value of houses and buildings on the land; Page 116 116 (c) value of trees, orchards and other assets on land (Article 8); (v) The value of land depends on the category and its geographic location (Article 11); (vi) A person whose residential land is subject to acquisition will receive a new plot of land of the same value. He/she has the option to get residential land or a house on government property in exchange, under proper procedures (Article 13); (vii) If a landowner so wishes his/her affected plot can be swapped with unaffected government land and if this is valued less than the plot lost, the difference will be calculated and reimbursed to the affected plot owner (Article 15); (viii) The values of orchards, vines and trees on land under acquisition shall be determined by the competent officials of the local body (Article 16); and (ix) A property is valued at the current rate at the locality concerned. The owner or his/her representative must be present at the time of measuring and valuing of property. Compensation is determined by the Council of Ministers. The decision is based on the recommendation of a “committee” consisting of the following (i) The landlord or person who uses the land or their representatives; (ii) Official representative of agency who needs to acquire the land (viz., MEW); (iii) Representative of local municipality; (iv) Representative of Ministry of Finance; and (v) Representative of Ministry of Justice. 2.2 Principles of World Bank OP 4.12 on acquisition, resettlement and compensation 2.2.1 Introduction 2.2.1 Introduction This part of the RPF will discuss the World Bank’s Operating Policies 4.12. Rather than attempting to repeat OP 4.12 verbatim, it will be more helpful to attempt to set out the requirements of OP 4.12 in a form in which they might be provided for in any set of legal provisions or how they might be addressed by an administrative agency following a logical approach to land acquisition. The fundamental principles of policy which inform the Bank’s position on resettlement and land acquisition are : (a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs (b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted Page 117 117 and should have opportunities to participate in planning and implementing resettlement programs. (c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. Step 1: Preliminary issues: is acquisition necessary The first step addressed by OP 4.12 is avoidance of land acquisition and resettlement if possible. Land acquisition and resettlement should not be seen as the easy first option; rather it should be seen a last resort. From the point of view of what governmental action might be necessary to meet this first step, it is necessary that alongside an environmental impact assessment, a social impact assessment and a financial analysis of the proposed project that is required to be undertaken, · a preliminary investigation and assessment of the land that may be acquired must be undertaken; · persons likely to be affected by the project (APs) and other interested parties should be given an opportunity to contribute to or comment on the location of the proposed project and the necessity of acquiring the proposed land for the project. This involvement is separate and distinct from APs participating in the planning of any resettlement that has to take place; · a cut off date for any ultimate assistance and compensation for APs must be determined and announced. After that date, no one coming into or obtaining land or a house in the potential project area will be entitled to compensation . In the case of this particular project, this step will have to be taken several times over with respect to each sub-project. There will be a risk that there may be some speculative encroaching as word gets out unofficially about likely sub-projects in the future. This will need careful handling. The best way forward will be to plan for sub-projects to take place in a specific area or district and for the cut-off date to apply to the whole district even if specific sub-projects within the district are executed over a period of time. Step 2: Preparing an acquisition and resettlement plan The second step in the process is to prepare a land acquisition and resettlement plan which must include measures to ensure that APs are, in the words of OP 4.12: (i) informed about their options and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. Page 118 118 If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are (i) provided assistance (such as moving allowances) during relocation; and (ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. Where necessary to achieve the objectives of the policy, the resettlement plan should also include measures to ensure that displaced persons are (i) offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and (ii) provided with development assistance in addition to compensation measures such as land preparation, credit facilities, training, or job opportunities. In terms of what must be contained in either or both law and administrative arrangements to ensure that these requirements are met, the following would need to be in any land acquisition and resettlement plan: · the land to be acquired · the persons who will be suffering any losses of assets, income, sources of livelihoods · the persons to be required to move · the place or places to which such persons are to be moved to · the circumstances of the place to which persons are to be moved to: viz o whether the land is occupied and by whom o what the land is presently being used for o the condition of the land and its facilities · the arrangements to be made to facilitate resettlement and integration · the manner and form in which compensation is to be assessed and paid · the heads of compensation payable · an estimate of the compensation payable and of the resettlement expenses · the procedures to be followed in executing the plan · the arrangements for the involvement of APs in plan execution · what opportunities there will be to challenge plan execution and compensation In practice, the preparation of this plan should commence as part of the exercise of developing sub-projects for it is regarded as a part of the sub-project but in terms of process, it is sensible to keep separate the issue of whether any land acquisition and resettlement is necessary from the issue of what resettlement will take place and how it will be conducted. Page 119 119 This second step however is also to involve APs in participation in the preparation of the plan and not just in being given a chance to object to a plan made by officials. OP 4.12 spells this out very clearly as follows: (a) Displaced persons and their communities, and any host communities receiving them, are to be provided with timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are to be established for these groups. (b) In new resettlement sites or host communities, infrastructure and public services are provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are to be provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder). (c) Patterns of community organization appropriate to the new circumstances must be based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of resettlers and any host communities should be preserved and resettlers’ preferences with respect to relocating in preexisting communities and groups honoured. The preparation of a plan must be preceded by and involve in its development meetings with potential APs and more general public consultation. There will be informal day-to-day meetings among APs, MEW local staff, and other stakeholders. The more formal consultation process in the sub-project areas will be through: (a) village meetings; and (b) public consultations with government officials. Informative materials will have to be prepared and distributed within the sub-project areas before the meetings. This is set out in more detail below. Step 3: Paying compensation, resettling the dispossessed, acquiring the land The third step is the execution of the plan: that is the acquisition of the land and the resettlement of those persons displaced by the acquisition. This is the central part of the process of acquisition and resettlement and must be broken down into several sub-steps. Not all these sub-steps are set out specifically in OP 4.12; they are however a necessary part of land acquisition and resettlement and must be written into the RPF to take place. Before each sub-step is summarised, a general point about the legal framework must be made. There will need to be in place a set of clear rules on the whole of step 3. This code will need to cover – · the empowerment of institutions to execute, regulate and monitor the process · which officials are empowered to take actions and give orders · what actions and orders must or may these officials take or give Page 120 120 · the processes and institutions of participation and consultation · to which APs and others will these actions and orders apply · what must APs do to comply with orders and take required actions · what must APs do to gain benefits and assert rights under the law · with respect to compensation o the scope and form of compensation o the manner of assessment of compensation o the manner and timing of claiming and paying compensation o the process of decision-making and appeals on compensation · with respect to resettlement o process and procedures on resettlement o financial and other assistance with resettlement · processes and institutions relating to challenging and contesting decisions. The ensuing discussion of the sub-steps assumes that such a code will be in place. Sub-step 1 The first sub-step is the process of acquiring the land; informing all the qualified owners and occupiers of the land of the intention to acquire the land and pay compensation for any land so acquired. This will involve intensive personal contact with owners and occupiers of land and oral explanations of what is happening and what owners and occupiers should do in order to ensure that they obtain recognition for their occupation of land and compensation for same. Acquisition of land will also necessitate full and clear documentation of what is happening. This is especially relevant where some land may be ‘donated’ by PAPs. There must be very clear documentation that any person who has ‘donated’ land to the project was made fully aware of his or her right to receive compensation for any land which he or she is losing to a project and specifically waived that right. The Social Safeguards report indicated that there had been inadequate documentation of this practice and that there have been some disputes arising out of the practice. While not going so far as to suggest that voluntary donations should be rejected or banned, it will be essential to make certain that they are genuinely voluntary and that the giver of the land does not expect some special benefit or treatment from the project as a result of the donation. Where there is any possibility of such special treatment or the expectation of same, the donor of land should receive compensation under the resettlement plan rather than obtain special treatment outside the plan; in other words, a donor will be treated as if he or she had had their land acquired compulsorily. With respect to references to ‘occupiers’ of land OP 4.12 states that these embrace (a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country); (b) those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets —provided that such claims are recognized under the Page 121 121 laws of the country or become recognized through a process identified in the resettlement plan; (c) those who have no recognizable legal right or claim to the land they are occupying. OP 4.12 states that the first two categories of occupiers are entitled to receive compensation for loss of their land; the third category is entitled to receive resettlement assistance. However, this provision must be read in the light of the requirement in OP 4.12 that at the time of the identification of the project area, a census must be carried out within the area of those who will be affected by the project and will be eligible for assistance. Persons who encroach on the project area after the cut-off date which will be the completion of the census will not be entitled to any compensation or other assistance. OP 4.12 thus makes clear that squatters must receive some compensation and assistance with resettlement. The rationale for this is that such persons are usually the poorest members of the community and those most likely to be the hardest hit by having to move. OP 4.12 is not making any policy statement about whether such persons should be given property rights; indeed it is making clear that such persons are not regarded as having any rights in any land in the project area. Sub-step 2 The second sub-step involves determining claims to compensation, assessing amounts of compensation and paying compensation. OP 4.12 distinguishes between compensation and assistance, financial or otherwise, in connection with resettlement. This is perfectly logical as it makes clear that persons are entitled to compensation for lost assets etc whether they are being relocated or not. However, if compensation is understood as money, money’s worth or land and/or other assistance to put a person back into the position as near as may be as he/she was prior to having his/her land (including buildings and natural resources on the land) acquired and or the value of retained land diminished and or having to vacate his/her land and move elsewhere, then we can deal with monetary compensation for loss of assets along with what may be called resettlement expenses. In order to comply with OP 4.12, the content of this sub-step should include: · making claims for compensation · provision of assistance to APs in making claims · assessment of claims · determining claims and dealing with appeals · the payment of compensation Compensation will include · full replacement cost of land taken at its market value so far as possible · alternative land of the same quantity and quality so far as possible · compensation for ‘injurious affection’ i of land not taken · resettlement expenses which in turn may include Page 122 122 o costs of moving (disturbance compensation) o financial and other assistance in provision of housing o income support and livelihood replacement including retraining The issue of replacement cost is dealt with in OP 4.12 which states: “Replacement cost” is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. The details of how to calculate various heads of compensation are dealt with below Sub-step 3 The third sub-step involves the actual taking of the land – the entering into possession of the land by the acquiring authority – and the departure and resettlement of APs. This will need to be handled sensitively with plenty of notice given to APs. OP 4.12 does not specifically deal with this sub-step but it is a necessary part of the process of acquisition and resettlement. Assistance with resettlement will include · assistance with packing up and moving · provision of transport for those being resettled · working with and providing additional resources for the ‘host’ community · advice and assistance to those being resettled · preparation of land, provision of accommodation and facilities The whole process of leaving one’s land, moving to another area, relating to a new community, getting started again is likely to be extremely stressful. There will need to be constant contact with APs both individually and via their representatives where there are substantial numbers of APs involved. A consensual rather than a confrontational approach must be taken to decision- making on awards of compensation. To what extent does law and practice in Afghanistan conform to the model of land acquisition and resettlement provided for by OP. 4.12? It is to this matter this report now turns via a table which compares the two systems suggesting ways of reconciling them. Page 123 1 2 3 A t a b l e o f c o m p a r i s o n b e t w e e n t h e L a w o n L a n d E x p r o p r i a t i o n a n d O P 4 . 1 2 w i t h p r o p o s a l s f o r r e c o n c i l i a t i o n L a w o n L a n d E x p r o p r i a t i o n ( L L E ) W B O p e r a t i n g P r o c e d u r e 4 . 1 2 ( O P 4 . 1 2 ) G a p s b e t w e e n L L E a n d O P 4 . 1 2 w i t h c o m m e n t s P o s s i b l e s o l u t i o n s t o g a p s W h a t R P F s h o u l d p r o v i d e P A R T O N E : P R E A C Q U I S I T I O N P R O C E D U R E S 1 . N o l e g a l o p p o r t u n i t i e s p r o v i d e d t o p o t e n t i a l A P s a n d o t h e r s t o c h a l l e n g e o r d i s c u s s p r o p o s e d a c q u i s i t i o n a n d r e s e t t l e m e n t o r f o r a n y p u b l i c d e b a t e a n d a p p r o v a l o n p r o p o s a l s . I n p r a c t i c e e a r l y d i s c u s s i o n s d o t a k e p l a c e . P r i n c i p l e t h a t i n v o l u n t a r y r e s e t t l e m e n t t o b e a v o i d e d w h e r e p o s s i b l e i m p l i e s d i s c u s s i o n o f n e c e s s i t y f o r a n d a l t e r n a t i v e s t o a c q u i s i t i o n a n d r e s e t t l e m e n t T h e p r i n c i p l e b e h i n d O P 4 . 1 2 i s f o l l o w e d i n p r a c t i c e i n K a b u l b u t t h e l a w i s s i l e n t o n t h e m a t t e r . N o r e a s o n w h y p r a c t i c e i n K a b u l c o u l d n o t b e a p p l i e d i n t h e p r o j e c t a r e a s P o t e n t i a l A P s m u s t b e a b l e t o d i s c u s s n e e d f o r a c q u i s i t i o n w i t h o f f i c i a l s f r o m t h e P I U a n d t h e M i n i s t r y 2 . O f f i c i a l s v i s i t a r e a b e f o r e a n y o f f i c i a l a c t i o n t o a s s e s s l a n d v a l u e s ; v a l u e s s o a s s e s s e d a r e t h e b a s i s o f c o m p e n s a t i o n . T h i s i s p r a c t i c e a s t h e L L E i s c o m p l e t e l y s i l e n t o n p r e - a c q u i s i t i o n p r o c e d u r e s a n d p r o c e s s e s . L a n d v a l u e s a s s e s s e d a s a t p r e - p r o j e c t o r p r e - d i s p l a c e m e n t v a l u e w h i c h e v e r i s h i g h e r N o r e a l g a p s ; j u s t d i f f e r e n t a p p r o a c h e s t o t h e s a m e n e e d t o l i m i t c l a i m s a n d c o m p e n s a t i o n . N o g a p s A d a t e s e t p r i o r t o t h e c o m m e n c e m e n t o f a c q u i s i t i o n s h o u l d b e f i x e d f o r l a n d v a l u e s . T h i s s h o u l d b e t h e c u t - o f f d a t e 3 . A s a m a t t e r o f p r a c t i c e i n K a b u l e f f o r t s a r e m a d e t o d e t e r m i n e t h o s e e n t i t l e d t o c o m p e n s a t i o n a n d r e s e t t l e m e n t C e n s u s c o n d u c t e d o f p e r s o n s i n t h e a r e a t o d e t e r m i n e e l i g i b i l i t y f o r a s s i s t a n c e , a n d t o l i m i t i n f l o w o f p e o p l e i n e l i g i b l e f o r a s s i s t a n c e ; e n c r o a c h e r s N o r e a l g a p h e r e . G i v e n t h e p r a c t i c e i n K a b u l , t h e r e w o u l d b e n o p r o b l e m i n a d o p t i n g O P 4 . 1 2 a s t h e p r a c t i c e t o b e f o l l o w e d i n t h e p r o j e c t . A l e g a l f r a m e w o r k w i l l r e q u i r e a c e n s u s o f e l i g i b l e A P s t o b e u n d e r t a k e n a t t h e i m m e d i a t e p r e - p r o j e c t s t a g e . 4 . B y a r t i c l e 6 o f L L E , t h e r i g h t t o o w n o r u s e l a n d i s t e r m i n a t e d t h r e e m o n t h s p r i o r t o t h e a c t u a l s t a r t o f t h e p r o j e c t . S o i n f o r m a t i o n o n l a n d t o b e a c q u i r e d i s s e n t t o A P s t h r e e m o n t h s b e f o r e a c q u i s i t i o n . I n f o r m a l d i s c u s s i o n s a n d n e g o t i a t i o n s o c c u r b o t h o n l a n d t o b e P r e p a r e r e s e t t l e m e n t p l a n o n h o w p r o j e c t t o b e i m p l e m e n t e d a n d r e s e t t l e m e n t e t c p r o v i d e d f o r . E m p h a s i s o n p a r t i c i p a t i o n b y A P s i n p r e p a r a t i o n o f p r o c e s s a n d i n p r o j e c t i m p l e m e n t a t i o n E m p h a s i s o n e a r l y i n f o r m a t i o n t o b e g i v e n t o p o t e n t i a l A P s o f p o s s i b l e r e s e t t l e m e n t L L E d o e s n o t p r o v i d e f o r w h a t O P 4 . 1 2 r e q u i r e s . S o m e p r e - p l a n n i n g o f p r o j e c t w i l l e x i s t a n d i n f o r m a l d i s c u s s i o n s w i t h A P s i n v o l v e s p a r t i c i p a t i o n . 3 m o n t h s n o t i c e m a y b e t o o l i t t l e w h e r e r e l o c a t i o n i s l i k e l y b u t n o t r i g i d l y a d h e r e d t o . T h e r e i s n o t h i n g i n L L E t o p r e v e n t a m o r e p a r t i c i p a t i v e a p p r o a c h t o a c q u i s i t i o n a s i s c a l l e d f o r i n O P 4 . 1 2 . T h e t h r e e m o n t h r u l e c o u l d b e i n t e r p r e t e d t o m e a n “ n o t l e s s t h a n t h r e e m o n t h s ” w h i c h w o u l d a l l o w f o r d i s c u s s i o n s o n a c q u i s i t i o n a n d i t s c o n s e q u e n c e s . A l e g a l f r a m e w o r k w i t h i n t h e R P F a l l o w i n g f o r a p a r t i c i p a t o r y a p p r o a c h t o a c q u i s i t i o n a n d r e s e t t l e m e n t p l a n n i n g a n d i m p l e m e n t a t i o n w o u l d n o t c o n t r a d i c t t h e L L E a n d i s t h e b e s t w a y f o r w a r d . Page 124 1 2 4 a c q u i r e d a n d o n c o m p e n s a t i o n . I t i s a t t h i s p o i n t t h a t d o n a t i o n s o f l a n d m a y b e ‘ i n v i t e d ’ . 5 . N o s p e c i a l p r o v i s i o n i n L L E f o r a r e s e t t l e m e n t p l a n o r a n y s p e c i a l a r r a n g e m e n t s f o r r e s e t t l e m e n t P r e p a r e r e s e t t l e m e n t p l a n : c o n t e n t s t o i n c l u d e – I n v o l v e m e n t o f a n d e n s u r e A P s t h e i r r i g h t s t o c o m p e n s a t i o n r e l o c a t i o n a s s i s t a n c e d e v e l o p m e n t a s s i s t a n c e i n n e w l o c a t i o n . D i s t i n c t i o n d r a w n b e t w e e n s h o r t a n d f u l l p l a n s , d e p e n d i n g o n n u m b e r s t o b e r e s e t t l e d . M a j o r g a p o f s u b s t a n c e 1 . T h e L L E i s s i l e n t o n r e s e t t l e m e n t b u t t h e r e i s n o t h i n g i n t h e l a w t o s u g g e s t t h a t a r e s e t t l e m e n t p l a n o r a c t i o n t o i m p l e m e n t a r e s e t t l e m e n t p l a n w o u l d b e i l l e g a l . 2 . P r o v i d e f o r r e s e t t l e m e n t p l a n a d m i n i s t r a t i v e l y b u t 3 . B a c k e d u p b y s o m e r e g u l a t i o n s 2 a n d 3 t h e p r e f e r r e d o p t i o n . P A R T T W O : A C Q U I R I N G T H E L A N D 6 . T h e C o u n c i l o f M i n i s t e r s a p p r o v e s e x p r o p r i a t i o n o f l a n d . U n l i k e t h e f o r m e r l a w , t h e r e i s n o p r o v i s i o n f o r t h e o w n e r / u s e r a n d o r a g e n t t o b e p r e s e n t t h r o u g h o u t a l l s t a g e s o f a c q u i s i t i o n . I t f o l l o w s t h a t a c q u i s i t i o n m a y p r o c e e d w h e t h e r t h e o w n e r e t c i s p r e s e n t o r n o t . H o w e v e r u n d e r a r t i c l e 5 L L E , a c o m m i s s i o n i s t o b e f o r m e d “ b y t h e M u n i c i p a l i t y ” o n w h i c h t h e o w n e r i s r e p r e s e n t e d t o “ d e t e r m i n e d a m a g e i n c u r r e d d u e t o l a n d e x p r o p r i a t i o n ” w h i c h i s d i f f e r e n t i a t e d f r o m c o m p e n s a t i o n . D a m a g e i s e x p l a i n e d i n a r t i c l e 1 8 L L E . U n d e r a r t i c l e 2 2 , t h e o w n e r e t c N o s p e c i f i c p r o c e d u r e s r e q u i r e d b y O P 4 . 1 2 b u t c o n t e n t o f r e s e t t l e m e n t p l a n i m p l i e s A P s w i l l b e i n v o l v e d i n a l l s t a g e s o f a c q u i s i t i o n T h e s p i r i t o f O P 4 . 1 2 c o n f l i c t s w i t h L L E ’ s n o n - p r o v i s i o n o f i n v o l v e m e n t o f t h e o w n e r a p a r t f r o m t h a t p r o v i d e d f o r i n a r t i c l e 5 . i t i s n o t c l e a r w h y t h a t i s c o n f i n e d t o “ t h e M u n i c i p a l i t y ” . G i v e n m a n y a b s e n t e e o w n e r s , i t m a y b e u n a v o i d a b l e t o a l l o w a b s e n t e e a c q u i s i t i o n . S p i r i t o f O P 4 . 1 2 c o u l d b e m e t b y m o r e p r o t e c t i v e p r o v i s i o n s a n d o r p r a c t i c e o n d e a l i n g w i t h a b s e n t e e a c q u i s i t i o n . T h e s i l e n c e o f L L E o n t h e d e t a i l s o f a c q u i s i t i o n m a y b e t a k e n q u i t e l e g i t i m a t e l y a s p r o v i d i n g a g a p w h i c h c a n b e f i l l e d b y a p p r o p r i a t e p a r t i c i p a t o r y a r r a n g e m e n t s . T h e r e i s n o r e a s o n w h y t h e d a m a g e p r o v i s i o n s o f a r t i c l e 1 8 s h o u l d n ’ t e q u a l l y a p p l y t o a l l a c q u i s i t i o n s o f l a n d . I n v o l v e m e n t o f o w n e r s p r e s e n t o n t h e l a n d t o b e a c q u i r e d a n d g r e a t e r p r o t e c t i o n f o r a b s e n t e e o w n e r s s h o u l d b e p r o v i d e d b y a l e g a l f r a m e w o r k d e v e l o p e d a s p a r t o f t h e R P F w h i c h c o u l d a l s o s e r v e a s a p r o t o t y p e f o r r e g u l a t i o n s m a d e u n d e r a r t i c l e 2 2 ( 5 ) o f t h e n e w l a w . Page 125 1 2 5 o b l i g e d t o h a n d o v e r a l l d o c u m e n t a r y e v i d e n c e r e l a t i n g t o l a n d t o t h e a c q u i r i n g a u t h o r i t y 7 . U n d e r a r t i c l e 6 L L E a f t e r t r a n s f e r o f o w n e r s h i p , o w n e r m a y e n t e r a c q u i r e d l a n d a n d h a r v e s t c r o p s e x c e p t w h e r e u r g e n t u s e o f l a n d p r e v e n t s t h i s N o t m e n t i o n e d L L E a h e a d o f O P 4 . 1 2 o n t h i s : A g o o d p r o v i s i o n N o c h a n g e P A R T T H R E E : C O M P E N S A T I O N P A Y M E N T P R O C E D U R E S 8 . T h e b u l k o f L L E d e a l s w i t h c o m p e n s a t i o n b u t s a y s n o t h i n g a b o u t w h o i s e n t i t l e d t o c o m p e n s a t i o n . T h e a s s u m p t i o n i s t h a t “ o w n e r s ” a r e e n t i t l e d t o c o m p e n s a t i o n b u t t h e l a w d o e s n o t d e f i n e “ o w n e r s ” . T h e o l d l a w d r e w a c l e a r d i s t i n c t i o n b e t w e e n t h o s e w i t h l e g a l t i t l e a n d t h o s e w i t h c u s t o m a r y t i t l e o r n o t i t l e w i t h r e s p e c t t o t h e p a y m e n t o f c o m p e n s a t i o n . P r a c t i c e i n r u r a l a r e a s w a s q u i t e a c c o m m o d a t i n g t o t h o s e w i t h c u s t o m a r y t i t l e s . P r a c t i c e i n K a b u l i s t o a c q u i r e d o c u m e n t a r y e v i d e n c e f o r a c l a i m f o r c o m p e n s a t i o n . F u n d a m e n t a l p r i n c i p l e o f O P 4 . 1 2 i s t h a t a l l t h o s e o n l a n d a r e t o b e e n t i t l e d t o f a i r c o m p e n s a t i o n a n d a s s i s t a n c e w i t h r e s e t t l e m e n t i r r e s p e c t i v e o f t h e i r t i t l e t o l a n d . M a j o r g a p o f s u b s t a n c e i n t h e l a w b u t g i v e n p r a c t i c e i n r u r a l a r e a s , i t i s n o t u n b r i d g e a b l e . A c c o m m o d a t e O P 4 . 1 2 b y c h a n g i n g p r a c t i c e s w h e r e n e c e s s a r y . A d v a n t a g e m a y b e t a k e n o f a b s e n c e o f l e g a l d e f i n i t i o n o f “ o w n e r ” t o a c c o m m o d a t e t h o s e w i t h c u s t o m a r y t i t l e s w h i c h i s l i k e l y t o b e t h e m a j o r i t y i n p r o j e c t a r e a s . G i v e n h u g e n u m b e r s o f p e o p l e n o t h a v i n g a n d n o t g o i n g t o g e t f o r m a l l e g a l t i t l e s t o t h e i r l a n d i n t h e f o r e s e e a b l e f u t u r e , L L E s h o u l d b e i n t e r p r e t e d s o t h o s e l i v i n g a n d o r w o r k i n g o n l a n d a t t h e c e n s u s d a t e r e c e i v e f a i r c o m p e n s a t i o n a n d r e s e t t l e m e n t a s s i s t a n c e . A s w i t h 6 a b o v e , t h e R P F c a n d e v e l o p a l e g a l f r a m e w o r k f o r c o m p e n s a t i n g a l l t h o s e o n t h e l a n d a n d t h i s c a n b e a m o d e l f o r f u t u r e r e g u l a t i o n s t o b e m a d e u n d e r L L E . T h i s i s t h e o n e m a j o r a r e a w h e r e t h e r e i s c o n s i d e r a b l e d i v e r g e n c e b e t w e e n L L E a n d O P 4 . 1 2 . I t w i l l b e n e c e s s a r y t o c o m p l y w i t h O P 4 . 1 2 . 9 . T h e C o n s t i t u t i o n p r o v i d e s f o r p a y m e n t o f p r i o r a n d j u s t c o m p e n s a t i o n . ( E n g l i s h t r a n s l a t i o n ) . T h e L L E a t a r t i c l e 2 p r o v i d e s f o r t h e p a y m e n t o f p r i o r a n d a d e q u a t e c o m p e n s a t i o n . I f t h e r e i s a O P 4 . 1 2 r e q u i r e s p r o m p t a n d e f f e c t i v e c a s h c o m p e n s a t i o n s u f f i c i e n t t o r e p l a c e t h e l o s t l a n d a n d o t h e r a s s e t s a t f u l l r e p l a c e m e n t c o s t i n l o c a l m a r k e t s . C o m p e n s a t i o n f o r l o s t T h e r e d o e s a p p e a r t o b e a g a p b e t w e e n t h e L L E a n d O P 4 . 1 2 . T h e L L E h a s a l o t o f g a p s i n i t . S e n s i b l e n o t t o i n s i s t o n m a r k e t v a l u e i n t h e a b s e n c e o f r e l i a b l e f u n c t i o n i n g m a r k e t s . B i g g e s t g a p i s c o m p e n s a t i o n 1 . O P 4 . 1 2 m u s t b e a c c o m m o d a t e d . O t h e r r e s e t t l e m e n t p l a n s d e v e l o p e d i n c o n n e c t i o n w i t h A D B p r o j e c t s m o r e o r l e s s i g n o r e t h e L L E a n d p r o v i d e d e t a i l e d f r a m e w o r k s f o r a s s e s s m e n t A r t i c l e 4 0 o f t h e C o n s t i t u t i o n s u g g e s t s t h a t o p t i o n 3 s h o u l d b e t h e p r e f e r r e d o n e . I t s h o u l d b e s u p p l e m e n t e d b y g u i d a n c e o n h o w t o a p p l y t h e c o d e i n p r a c t i c e . Page 126 1 2 6 d i s t i n c t i o n b e t w e e n j u s t a n d a d e q u a t e , t h e n t h e c o n s t i t u t i o n a l p r o v i s i o n o f j u s t c o m p e n s a t i o n p r e v a i l s . A r t i c l e 8 p r o v i d e s t h a t c o m p e n s a t i o n s h a l l b e “ t h e p r i c e ” o f l a n d o r h o u s e s o r t r e e s e t c a n d a r t i c l e 1 0 p r o v i d e s t h a t t h e C o u n c i l o f M i n i s t e r s s h a l l d e t e r m i n e t h e p r i c e . B u t a r t i c l e 1 5 p r o v i d e s t h a t t h e m u n i c i p a l i t y a n d t h e a d m i n i s t r a t i o n f o r a g r i c u l t u r e d e t e r m i n e t h e c o m p e n s a t i o n f o r t r e e s e t c . A r t i c l e 1 3 s e t s o u t d e t a i l e d p r o v i s i o n s f o r o b t a i n i n g r e s i d e n t i a l p l o t s w h e r e a p e r s o n h a s h a d l a n d a c q u i r e d ; t h e m o r e l a n d a c q u i r e d t h e m o r e r e s i d e n t i a l p l o t s a r e p a i d a s c o m p e n s a t i o n . D i s t u r b a n c e c o m p e n s a t i o n n o t p r o v i d e d f o r . C o m p e n s a t i o n c a n b e l a n d f o r l a n d U n l i k e t h e f o r m e r l a w w h i c h p r o v i d e d f o r c o m p e n s a t i o n m a y b e p a i d i n t o a b a n k , L L E i s s i l e n t o n t h e m e c h a n i c s o f p a y i n g c o m p e n s a t i o n . N o a s s i s t a n c e f o r A P s t o a c c e s s b a n k f o r t h e i r c o m p e n s a t i o n . P r a c t i c e o n t h e g r o u n d i s c a r e f u l a n d p a i n s t a k i n g . l i v e l i h o o d s r e q u i r e d D i s t u r b a n c e c o m p e n s a t i o n r e q u i r e d L a n d f o r l a n d c o m p e n s a t i o n e n c o u r a g e d . R e s e t t l e m e n t c o s t s a n d ‘ s t a r t u p ’ e x p e n s e s r e q u i r e d . f o r s q u a t t e r s a n d e v e n t h e r e b e s t p r a c t i c e d o e s p r o v i d e s o m e c o m p e n s a t i o n t o t h o s e w i t h n o l e g a l t i t l e . P r a c t i c e o f p a y i n g c o m p e n s a t i o n i n t o a b a n k e v e n w h e n A P s n o t a b s e n t e e d i f f i c u l t t o r e c o n c i l e w i t h p r o m p t p a y m e n t o f c o m p e n s a t i o n . a n d p a y m e n t o f c o m p e n s a t i o n . 3 . T h e A D B m o d e l s s h o u l d b e a d a p t e d f o r u s e i n t h e p r o j e c t . T h e l a c k o f a n y d e t a i l i n L L E o n h o w t o a s s e s s c o m p e n s a t i o n a n d t h e c o n t e n t o f c o m p e n s a t i o n ( a p a r t f r o m a r t i c l e 1 3 ) a l l o w s f o r t h e c r e a t i o n o f a c l e a r c o m p r e h e n s i v e a n d f a i r c o d e o n c o m p e n s a t i o n a p p l i c a b l e t o a l l a c q u i s i t i o n s i n c l u d i n g r e s e t t l e m e n t c o s t s w h i c h c a n b e a p a r t o f t h e R P F w i t h o u t d o i n g v i o l e n c e t o t h e e x i s t i n g l a w . 1 0 . N o p r o v i s i o n i n t h e l a w o n r e s e t t l e m e n t s u p p o r t . P r a c t i c e s e e m s a l i t t l e O P 4 . 1 2 r e q u i r e s i m p l e m e n t a t i o n o f r e s e t t l e m e n t p l a n t h e c o n t e n t s o f w h i c h a r e M a j o r g a p o f s u b s t a n c e a s n o t e d i n 4 a b o v e . I f p r e f e r r e d o p t i o n a t 4 a b o v e a c c e p t e d , r e s e t t l e m e n t p l a n i m p l e m e n t a t i o n i s i s s u e : . T h e R P F s h o u l d p r o v i d e f o r t h e m a k i n g o f a r e s e t t l e m e n t p l a n ( 5 a b o v e ) w h i c h s h o u l d Page 127 1 2 7 h a p h a z a r d a n d t e n d s t o t u r n o n l e g a l i t y o f o c c u p a t i o n o f A P s w h o a r e t o b e r e l o c a t e d n o t e d a t 4 a b o v e C h o i c e i s b e t w e e n f o r m a l t o p - d o w n a n d p a r t i c i p a t i v e i n v o l v e m e n t o f A P s w h i c h O P 4 . 1 2 r e q u i r e s . b e b a s e d o n a g u i d e d p a r t i c i p a t i v e a p p r o a c h t o i m p l e m e n t a t i o n . P A R T F O U R : A D M I N I S T R A T I V E & J U D I C I A L P R O C E D U R E S 1 1 . L L E p r o v i d e s f o r a d m i n i s t r a t i v e a g e n c i e s t o m a n a g e a c q u i s i t i o n p r o c e s s e s a n d d e a l w i t h c o m p e n s a t i o n . A P s a r e p a r t o f s o m e c o m m i t t e e s d e a l i n g w i t h c o m p e n s a t i o n . N o p r o v i s i o n f o r c o u r t s t o b e i n v o l v e d o r f o r a p p e a l s . I n p r a c t i c e , c o m m i t t e e s m a y a c t t o s o l v e g r i e v a n c e s N o p r o v i s i o n s f o r e . g . l e g a l a i d t o a s s i s t A P s t o m a k e c l a i m s . P r a c t i c e a t l e a s t i n K a b u l d o e s a p p e a r t o t r y a n d h e l p P A P s . O P 4 . 1 2 s i l e n t o n j u d i c i a l a n d a d m i n i s t r a t i v e a r r a n g e m e n t s . I t r e q u i r e s a p p r o p r i a t e a n d a c c e s s i b l e g r i e v a n c e m e c h a n i s m s t o b e e s t a b l i s h e d f o r t h o s e b e i n g r e s e t t l e d . L o g i c o f O P 4 . 1 2 ’ s r e f e r e n c e s t o ‘ m e a n i n g f u l c o n s u l t a t i o n ’ w i t h A P s a n d m a k i n g u s e o f C B O s a n d N G O s s u g g e s t s p r e f e r e n c e f o r d e c i s i o n - m a k i n g p r o c e s s w h i c h i s n o t j u s t p a r t o f t h e a d m i n i s t r a t i o n . A m a j o r g a p o n g r i e v a n c e m e c h a n i s m s a n d c u r r e n t a d m i n i s t r a t i v e a r r a n g e m e n t s i n L L E d i f f i c u l t t o r e c o n c i l e w i t h t h e p a r t i c i p a t i v e a p p r o a c h o f O P 4 . 1 2 . E a r l i e r l a w s i n v o l v e d p a y m e n t o f c o m p e n s a t i o n i n t h e p r e s e n c e o f a j u d g e a n d a l l o w e d a n a p p e a l a l b e i t f r o m t h e j u d g e t o a M i n i s t e r . D e v e l o p g r i e v a n c e h a n d l i n g p r a c t i c e s b u t k e e p t h e m a d m i n i s t r a t i v e r a t h e r t h a n l e g a l . M a k e l e g a l p r o v i s i o n f o r a p p e a l s f r o m a d m i n i s t r a t i v e d e c i s i o n s a n d d e c i s i o n s o n c o m p e n s a t i o n t o a n i n d e p e n d e n t b o d y . A c o m b i n a t i o n o f l a w a n d p r a c t i c e g u i d a n c e w o u l d b e t h e b e s t w a y f o r w a r d . G r i e v a n c e m e c h a n i s m s t o p r o v i d e f o r c o - o p e r a t i o n w i t h s h u r a s a n d c o m m u n i t y c o u n c i l s i n a r e a s w h e r e A P s a r e . R P F t o p r o v i d e f o r t h e s e 1 2 . L L E d o e s n o t p r o v i d e f o r a n y e x t e r n a l m o n i t o r i n g b o d y o r p r o c e s s O P 4 . 1 2 s t a t e s t h a t t h e b o r r o w e r i s r e s p o n s i b l e f o r a d e q u a t e m o n i t o r i n g a n d e v a l u a t i o n o f t h e a c t i v i t i e s s e t f o r t h i n t h e r e s e t t l e m e n t i n s t r u m e n t . M a j o r g a p o n p r o c e d u r e s b u t a r g u a b l y , m o n i t o r i n g i s n o t p a r t o f l a n d a c q u i s i t i o n s o n o l e g a l i m p e d i m e n t t o p r o v i d i n g f o r s a m e . P r o v i d e m o n i t o r i n g f o r W B p r o j e c t s a s r e q u i r e d b y O P 4 . 1 2 E s t a b l i s h s p e c i a l i s t m o n i t o r i n g a g e n c y f o r a l l p r o j e c t s i n v o l v i n g a c q u i s i t i o n a n d r e s e t t l e m e n t E m p o w e r p r o v i n c i a l a n d l o c a l i n s t i t u t i o n s t o m o n i t o r p r o j e c t s . M e a n i n g f u l m o n i t o r i n g i s r e q u i r e d b y O P 4 . 1 2 . N e w i n s t i t u t i o n s s h o u l d b e k e p t t o a m i n i m u m . C o n s i d e r a t i o n s h o u l d b e g i v e n t o u s e p r o v i n c i a l a u t h o r i t i e s a n d N G O s . R e g u l a r r e p o r t s s h o u l d b e m a d e a n d p u b l i s h e d Page 128 128 3. Eligibility for compensation 3.1 General eligibility General eligibility is defined as, “people who stand to lose land, houses, structures, trees, crops, businesses, income and other assets as a consequence of the project as of the formally recognized cut-off date will be considered as project affected persons (APs)”. APs who will be entitled to compensation or at least rehabilitation under the project are: (i) All APs losing land with or without title, formal land-use rights or traditional land use rights; (ii) Tenants and sharecroppers whether registered or not; (iii) Owners of buildings, crops, plants, or other objects attached to the land; and (iv) APs losing business, income, and salaries. Compensation eligibility will be limited by the cut-off date. All APs who settle in affected areas after this date and who cannot prove that they are displaced users of affected plots will not be eligible for compensation. MEW will inform local communities regarding this cut-off date through their local offices and through the relevant local government agencies. Those that settle after the cut off date however will be given sufficient advance notice to vacate premises/dismantle affected structures prior to project implementation. Their dismantled structures will not be confiscated and they will not pay fines or sanctions. 3.2 Land Tenure and Compensation Entitlements In the case of all the sub-projects, persons who may principally be entitled to compensation will be those who may lose small amounts of land. It is necessary therefore to consider the types of interests in land that such persons may have and whether those interests would entitle them to compensation. It is important to understand the prevailing land relationships and the documents and/or declarations that evince these rights over land and the various assets. The following paragraphs summarise the different types of formal and informal land ownership/possession in Afghanistan. This will be the basis for the land impacts and the more important question of who are entitled for compensation of land affected by the project. The system of Afghan property rights is broadly divided into two categories: formal and informal. Under the formal system , the land law defines ownership of immovable property as private, public and Mawat land s. Written evidences of land ownership under the formal system of property rights are different kinds of deeds or legal documents with copies in the Court Registries. Other formal written documentation may also be utilised for this purpose. Details are to be found in article 5 of the Law on Land Management. Page 129 129 Immovable property owned by an individual is considered as private property. According to Shari’a, private property can be owned individually or collectively. Private ownership may be acquired through (a) purchase, (b), allocation from a municipality, (c) transfer of ownership of which the most common form is inheritance. In addition, private land can be acquired through the principle of “dead land” or “ zameen-e-Bayer .” This classification entitles all legal owners to compensation for affected land. Public land is classified as (a) owned by the state, (b) owned by public juridical persons, (c) allocated for public interests, and (d) recognized by law as public property. In addition to the above, cultivable land which has no owner is deemed to be public land. The law prohibits acquisition of such land without the permission of the government. The state has recently strengthened its grip over land based on a statute of limitation which states that all individual claims to land that has been held by the state for a period exceeding 37 years shall be barred and the state shall be considered the owner of the property. The decree provides that all land in which the ownership of individuals is not established legally shall be considered the property of the state. This classification does not entitle an occupant to compensation for the affected land but such a person is entitled to compensation for all immovable assets which are permanently fixed on the land. Mawat Land meaning “dead land”. In practice, this term refers to land which is not suitable for cultivation. The concept of mawat requires three elements: 1) the ownership history of the land is not known; 2) it has not been cultivated and constructed, and 3) currently the land is not owned by any person. Even barren land ( zameen-e-bayer ) that does not have an owner may only be acquired with the permission of the government. The person who acquires and develops barren land with the permission of the government shall own the land. Shari’a generally recognizes mawat land as property neither owned by a private individual nor by the state and which could be acquired through renovation. Consistent with this, mawat land is recognized under the laws, but whoever wants to acquire mawat land must first secure permission from the President. In theory then, private property may be acquired in accordance with this concept. If mawat land is in the process of being legally acquired or have been acquired by an individual but some formal legal requirements have not been complied with, the possessor/owner is entitled to compensation for his/her affected land. Informal System of Property Rights – There are two types of owners/possessors under the informal system that will be entitled for compensation over land affected by the project. The first group entitled for compensation is the customary or traditional owners of land and their heirs. These are individuals who inherited land that their ascendants occupied for more than fifty years. The original owners were either individuals who received royal land grants ( Firman ) in the form of decrees or legal letters, etc from the ruler of the time, or the original settlers of the land or their survivors who peacefully occupied the land for many generations. In the rural areas, these occupants may have (1) tax receipts or are included in the tax records, (2) unofficial land deeds and (3) been declared or recognised as legitimate users of lands by community development councils, jirgas or local elders. Households or persons who hold customary or traditional deeds for their properties are Page 130 130 people who acquired de facto ownership of their land through purchase from customary or traditional owners of land. The second type of owners/possessors under the informal system entitled to compensation are de facto owners of property who have bought land or a house from legal owners but did not fulfil the legal formalities required to formalize ownership. The transaction was legal but the legal formalities required to obtain a legal deed from the competent court were not completed. In many instances, buyers and sellers conclude customary agreements based on good faith and traditional norms and disregard the need to formalize the sales transaction in a competent court. Many persons perceive that a customary deed suffices to prove ownership of their property, especially when the original owner holds a formal document. The two types of ownership/possession under the informal system of property rights have customary documents called “orfi” to prove their ownership/possession. These documents are usually witnessed by their neighbours, and especially local village and/or religious leaders. These documents include bills of sale and purchase, pawn agreements, wills subdivision agreements, etc. These two types of informal ownership/possession will receive compensation for land affected by the project. These two types of land rights under the informal system cannot be classified any more as public land. In the customary or traditional rights, the adverse, open, continuous and interrupted possession of owners over a very long time has effectively vested in them legal rights over the lands they occupy through acquisitive prescription. In the second type of land rights under the informal system, the lands involved have been effectively segregated from the classification of public land because the lands have been titled by the former owners and the failure of the new owners to comply with the formal requisites to register the lands under their names do not change the private character of these lands. Hence, the two types of land under the formal system are by their very nature private lands and as a consequence, owners will be compensated. The other occupants of lands outside of the classifications of legal and legalisable occupancy or possession such as squatters will not be compensated for the lands that they occupy but will be compensated for the permanent improvements they may have introduced in the affected lands and restoration assistance. The other type of land occupants are encroachers. These are people who move into the project area after the cut- off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project. 3.3 Entitlements to Compensation & Livelihood Restoration The APs in the project are entitled to various types of compensation and resettlement assistance that will assist in the restoration of their livelihoods, at least, to the pre-project standards. They are entitled to a mixture of compensation measures and resettlement assistance, depending on the nature of lost assets and scope of the impact, including social and economic vulnerability of the affected persons. All APs are equally eligible for Page 131 131 cash compensation and rehabilitation assistance, irrespective of their land ownership status, to ensure that those affected by the project shall be at least as well off, if not better off, than they would have been without the project. The compensation packages shall reflect replacement costs for all losses (such as land, crops, trees, structures, businesses, incomes, etc.) as detailed below: • Agricultural land impacts -- These impacts will be compensated at replacement value in cash based on current market rates plus an additional . indemnity for 3 months as transitional livelihood allowance. MEW will shoulder all fees, taxes, and other charges, as applicable under relevant laws incurred in the relocation and resource establishment. • Severe Agricultural Land Impacts -- When >10% of an AP’s agricultural land is affected, APs (owners, leaseholders and sharecroppers) will get an additional allowance for severe impacts equal to the market value of a year’s net income crop yield of the land lost. • Residential/commercial land impacts -- These impacts will be compensated at replacement value in cash at current market rates free of deductions for transaction costs. • Houses, buildings, structures damages -- These impacts will be compensated in cash at replacement cost free of depreciation, salvaged materials, and transaction costs deductions. Compensations will include the cost of lost water supply, electricity or telephone connections. Renters/leaseholders will receive an allowance of geared to the rent they are paying . for 3 months to cover emergency rent costs. • Income from crops losses -- These impacts will be compensated through cash compensation at current market rates for the full harvest of 1 agricultural season. In case of sharecropping, crop compensation will be paid both to landowners and tenants based on their specific sharecropping agreements. • Tree losses -- These impacts will be compensated in cash based on the principle of income replacement. Fruit trees will be valued based on age of the tree in two categories: (a) not yet productive; and (b) productive. Productive trees will be valued at gross market value of 1 year income for the number of years needed to grow a new tree with the productive potential of the lost tree. Non-productive trees will be valued based on the multiple years investment they have required. Non-fruit trees will be valued at dry wood volume basis output and its current market rates. • Businesses losses — Compensation for business losses will be based on actual income to be established by pertinent receipts or other documents if demonstrable, otherwise based on business loss allowance computed as AF 6, 000 a month. Permanent business losses will be based on actual income loss or in cash for the period deemed necessary to re- establish the business (6 months). Compensation for temporary business losses will be cash covering the income of the interruption period up to 6 months based on a monthly allowance of AF 6,000. Business loss is computed at AF 200 per day (AF 6,000/month) Page 132 132 as average net income of typical road businesses such as small stores, repair and vulcanizing shops and small food establishments. • Income losses for agricultural workers and employees -- Indemnity for lost wages for the period of business interruption up to a maximum of 3 months. • Agricultural land leaseholders, sharecroppers, and workers -- Affected leaseholders will receive cash compensation corresponding to one year’s crop yield of land lost. Sharecroppers will receive their share of harvest at market rates plus one additional crop compensation. Agricultural workers, with contracts which are interrupted, will get an indemnity in cash corresponding to their salary in cash and/or kind or both as applicable, for the remaining part of the harvest up to a maximum of 3-months. • House owners/renters -- House owners/renters who are forced to relocate their houses will be provided with relocation allowance equivalent to AF5,000 for 3 months and will be assisted in identifying alternative accommodation. • Community Structures and Public Utilities -- Will be fully replaced or rehabilitated so as to satisfy their pre-project functions. • Vulnerable Households -- Vulnerable people (APs below the poverty line, women household heads, mentally challenged headed households, etc.) will be given assistance in the form of a one-time allowance for vulnerable APs equivalent to AF 5,200 and priority in employment in project-related jobs. • Impacts on irrigation canals -- Project will ensure that irrigation channels are diverted and rehabilitated to previous standards. • Transitional Livelihood allowance -- APs forced to relocate will receive a livelihood allowance of AF 5,200 a month for three months. Transitional livelihood allowance is computed based on the prevailing wage rate of AF 200.00 per day times 26 days or AF 5,200 per month. This is also the basis for cash compensation on lost wages. Land replacement values will be assessed based on a survey of land sales in project areas over the last 3 years and of government rates (if any) as per local revenue papers. Land values and compensation for other assets, will be negotiated between APs and competent authorities if concrete data on land market rates are unavailable. 4. Unit Compensation Rates and Budget 4.1 Establishing Rates for Land Acquisition & Resettlement As noted in the table above at paragraphs 9 and 10, the Law on Land Expropriation refers to prompt and adequate compensation but is silent on the details of compensation, has no specific provisions on resettlement and provides for the Council of Ministers to make decisions on compensation. These provisions fall some way short of what is required by OP 4.12 but it was suggested in the table that the absence of detail could be used to the Page 133 133 advantage of developing rules and principles of compensation. The Law does not forbid the development of detailed rules on compensation and the fact that regulations may be made under the Law suggests that that is where details may ultimately be developed. In the absence of detailed rules, it does not do violence to the Law for details to be developed in the context of this RPF and applied to the project. To comply with the World Bank’s OP. 4.12, rates used to compensate for lost land and assets must be replacement cost at current market value , in order to meet the policy objective of “at least” restoring people’s livelihoods and ensuring that people affected by a project are not left worse off. According to OP 4.12, “replacement cost” is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. In the absence of any survey of any likely project affected community or any consultations carried out with potential stakeholders, the figures which follow are drawn from a Resettlement Planning Document prepared in October 2009 for the North–South Corridor Project Mazar-i-Sharif–Pul-e-Baraq Road Section by the Ministry of Public Works in respect of a contract to be funded by the ADB. These figures would not necessarily be the same for the IRDP project but the principles are the same and the methods of calculation of the rates of compensation are it is suggested sound and may be followed in this RPF. Equally, the problems involved in arriving at valuation of assets are likely to be encountered in the IRDP so that the ‘how to’ aspect of the process is as important as the ultimate result in setting out how to proceed. The MPW project document did discuss the Law on Land Expropriation but in very general terms and not in the context of the valuation of land and assets. The various heads of compensation dealt with in the MPW project are more than those likely to be encountered in the IRDP but it is desirable that all the heads are set out in case they are needed at some point over the course of the project. A further point must be made about the rates. In a project, there would have been, as part of the process of putting a project document together, at the very least a preliminary survey of the land to be affected by the project and the numbers of APs likely to be affected and the way in which they would be affected; e.g. loss of land, loss or diminution of assets, loss of livelihood etc. Discussions would have taken place with such persons so a reasonable estimate could be made of what they would be likely to claim as compensation. So alongside an explanation of the rates that are to be applied to the determination of compensation, a budget would be developed showing the amount of money that would be needed at the proposed rates to satisfy the requirements of compensation for the APs in the project area. Page 134 134 But an RPF is different. As Srinivasan has pointed out an RPF is prepared “when it is not possible to identify precise siting alignments or specific impacts/affected population during project preparation (financial intermediary operations, and projects with multiple subprojects)” and “a Resettlement Action Plan (RAP) is [then] prepared for each subproject that may involve land acquisition, before the subproject is accepted for Bank financing.” So an RPF cannot be accompanied by a budget showing the probable total project costs of the rates of compensation which the RPF is suggesting should be applied. The budget would be a part of each RAP which would come forward once the RPF had been accepted and the project had started. The rates for land, structures, crops and trees that have been used in the cost estimates prepared in the MPW plan were derived through rapid appraisal and consultation with affected parties through the census and inventory of loss survey and relevant local authorities. The affected households were asked about their personal valuation of the affected lands and other assets. This would be an essential preliminary aspect of an RAP. 4.2 Valuation of Land The location of the land influences the actual price per square meter. the nearer the land to a build-up area (e.g. a village ), the higher the valuation and perception of the affected households. Hence, the valuation of the land is pegged on an average, the actual value depending on the nearness to a build up area. In the valuation of agricultural land, the availability of water is very important to determine the fair value or market rates. Residential and commercial lands are largely dictated by the existing road alignment for accessibility rather that crop potential. The land prices are based on the district land prices in the district government. The prices follow the trend that the nearer the land to a population centre, the higher the price of the land. 4.3 Valuation of Structures In the study area of the MPW project, almost all structures were made of mud or mud and bricks except for some government-owned structures that used cement as the binder in lieu of mud, straw and lime. The classification of structures (temporary, semi-permanent and permanent) refers to the materials used in construction. The valuation of structures into class 1(mud/brick/wood walls, mud/tin roof), 2 (tiled roof and normal cement floor) and 3 (RCC, single/double storey building) were determined after various consultations with some owners who recently build their houses, local contractors and some local civil engineers. 4.4 Valuation of Crops and Trees This was quite problematic because of lack of reliable data in terms of yield. The results of the socio-economic survey were not reliable because the majority of the respondents Page 135 135 were not aware of size of their land holdings. Their measurements of farm lots are determined on the basis on the amount of seeds they use in sowing. Hence, they know that a certain parcel will require one kilogram of seeds and expected to yield a certain amount. Hence, in computing crop losses, a combination of four main crops was used to get the average yield and price. The unit price for crop losses for a square meter of land devoted to the four main crops was estimated at AF 5.00 per sqm. The compensation for productive trees is based on the gross market value of 1 year income for the number of years needed to grow a new tree with the productive potential of the lost tree. Non-productive trees will be valued based on the multiple years investment they have required. However, during interviews on trees, the fluctuation of the value of tree products was influenced largely by the supply and demand and the absence of post harvest facilities. Farmers are forced to sell tree crops when everyone one else is doing so During off-season months, the prices of tree crops quadrupled. The compensation rate for a fruit bearing tree is the average yield per tree (AF 1,500) times the age of the tree. For the non-fruit bearing trees, the usual propagation method is grafting. Farmers buy these saplings and these are ready to be transferred in the fields after two years. On the fourth year of the tree, the tree starts to produce fruits. Hence, it is on this basis that the valuation of non-bearing fruit trees was determined. The compensation for non- productive fruit bearing tree is the cost of the sapling plus the cost of maintaining the tree up to the time that the tree was cut because of the project. 4.5 Income Restoration Allowances The resettlement strategy is to provide compensation for all lost assets at replacement cost in order that APs’ incomes and livelihoods are not adversely affected and where possible improved. All APs whose livelihood are affected will be supported for income losses and those whose livelihoods are affected adversely provided with livelihood restoration measures (including allowances and interventions for severely affected, poor and vulnerable APs). Income Restoration Allowance for Crops Losses -- These impacts will be compensated through cash compensation at current market rates for the full harvest of 1 agricultural season. In case of sharecropping, crop compensation will be paid both to landowners and tenants based on their specific sharecropping agreements. Income Restoration Allowance for Business Losses -- compensation for permanent business losses will be in cash for the period deemed necessary to re-establish the business (6 months). Permanent business will receive AF 6,000 a month for 6 months. Compensation for temporary business losses will be cash covering the income of the interruption period up to 3 months based on a monthly allowance of AF 6,000. Income Restoration Allowance for Business workers and employees -- Indemnity for lost wages for the period of business interruption up to a maximum of 3 months. Page 136 136 Income Restoration Allowance for Severe Agricultural Land Impacts -- When >10% of an AP of the agricultural land is affected, AP (owners, leaseholders and sharecroppers) will get an additional allowance for severe impacts equal to the market value of a year’s net income crop yield of the land lost. Vulnerable Group Allowance -- Vulnerable people (APs below the poverty line, women household heads, mentally challenged headed households, etc.) will be given assistance in the form of a one-time allowance for vulnerable APs equivalent to AF 5,200 and priority in employment in project-related jobs. Transitional Livelihood Allowance -- APs losing land or losing a house and forced to relocation will receive a livelihood allowance of AF 5,200 a month for 3 months. Rental Allowance – House Renters forced to relocate will receive a rental allowance equivalent to three (3) months’ rent at the prevailing market rate (AF 5,000/mo) and will be assisted in identifying alternative accommodation. Project-related employment (for unskilled and semi-skilled tasks during construction) - severely affected and vulnerable groups will be given priority for project-related employment opportunities as drivers, carpenters, masons, clearing and digging work, and if possible as clerks or basic administration support staff. 5. Institutional Arrangements 5.1 General The resettlement and rehabilitation program described in this RPF involves distinct processes, dynamics and different agencies. This section deals with the roles and responsibilities of different institutions for the successful implementation of the project. The primary institutions that are involved in the land acquisition and resettlement process are the following; 1. Islamic Republic of Afghanistan (IRA) 2. Ministry of Energy and Water (MEW) 3. Project Management Unit (PMU) 4. Environment and Social Safeguards Unit (ESS) at PMU level 5. Project Implementation Unit (PIU) 6. Implementing Non Government Organization (NGO) 7. Local level MEW 8. Local Government Units (LGUs) The agencies involved in the planning and implementation of resettlement and rehabilitation program are MEW as the EA and the Provincial and District governments together with the appointed NGO. MEW will be acting in the project through the project management office. In the field, it will act and implement through the PIU with the support of a consulting engineer and the implementation consultant who will co-ordinate Page 137 137 all activities related to resettlement implementation. All activities will be coordinated with the relevant local government agencies and community shura in which the package will be implemented. 5.2 Overall Organization – Ministry of Energy and Water (MEW) The Ministry of Energy and Water will be the executing agency (EA). The minister and deputy minister will be responsible for the overall policy level decision, planning, implementation and coordination of project activities. The EA will have proper coordination with other departments of the Government of Afghanistan to resolve the following issues: 1. Land Records and Ownership . To resolve issues related to land records and ownership, a land management committee will be formed in the central level and will include members from the MEW, Ministry of Finance, and the Geology and Cartography Department. 2. Assets Valuation. Values of land and other assets for compensation is determined by the Council of Ministers under the LLE on the basis of the principles set out in this RPF. The decisions are based on the recommendation of a committee consisting of the following (i) the landlord or person who uses the land or their representatives, (ii) an official representative of the agency that needs to acquire the land (e.g. MEW), (iii) a representative of the local municipality, (iv) a representative of the Ministry of Finance, and (v) a representative of the Ministry of Justice. 5.3 Project Implementation 5.3.1 Ministry of Energy and Water MEW, through the project management unit (PMU) will be responsible for the implementation of the LARP. Within the PMU, LARP tasks will be handled by two units described below. Local MEW office and local governments will be responsible to co- ordinate activities in the field including the organization of surveys, consultation meetings, and the fixing of specific compensation rates based on the principles set out in the RPF. The provision of the LARP compensation finances will be the responsibility of MEW and the physical delivery of compensation to the APs will be assigned to a committee selected by the MEW which will include members such as the local governments but under the supervision of the PMU and of the Supervision consultants. There will be two units within the PMU that will be involved in the implementation of the LARP, namely the Environment and Social Safeguards Unit (ESS) and the Project Implementing Unit (PIU). The ESS will be primarily responsible for the social safeguard issues. The PIU will be responsible for the daily field level activities, getting all the necessary clearances required to initiate and implement all resettlement works. It will coordinate with the ESS in the implementation of the project. As necessary, the ESS/PIU will coordinate with MAIL, Cadastre Survey Department, local Governorates, NGOs and the community shuras, locally elected councils and local water user associations Page 138 138 established under the Water Law. The PIU will be responsible for ensuring that all stages of the processes of resettlement, determining and paying compensation, and acquiring land are fully documented and that hard and soft copies of the records are at all times kept in a safe and secure environment. An international social safeguards and resettlement specialist will be recruited as an advisor to the ESS for resettlement issues. In addition, a national safeguards officer will be appointed and local safeguards officers will be located in each of the regional offices. The international safeguards adviser will have overall responsibility for ensuring/monitoring compliance with safeguards. The international adviser would be responsible for mentoring/building the capacity of regional safeguards officers to (i) work with regional technical teams to ensure adherence to safeguard requirements at each stage of sub-project development and (ii) facilitate outreach to other development agencies. 5.3.2 Implementing NGO The specific tasks of the implementing/supervisory NGO will be as follows: 1. Work under close coordination with the ESS/PIU, local government units and MPW local staff to implement the LARP. 2. Assist the ESS/PIU in dissemination of the LARP and other resettlement related information. 3. Generate awareness about livelihood restoration activities and assist the APs to make informed choices including participating in government development programs. 4. Identify training needs of APs for income generation activities and ensure that these are properly funded. 5. Provide counselling and awareness generation to resolve LARP related grievances and assist in seeking redress to unresolved grievances from land acquisition and resettlement disputes with the Grievance Committee. 6. Assist the APs in claims for just compensation including the collection of timely and complete payments. 7. Submit periodic implementation reports on LARP. 8. Conduct and/or undertake any other activities that may be required in the successful implementation of the LARP. The implementing NGO must be a non-profit organization; be legally registered (at least years) as an NGO in Afghanistan; have operated for at least 3 years; have a minimum of five paid staff; be committed to the principles of gender equality in terms of its own staffing; have a management or advisory board; maintain a proper accounting and financial system; have a long term presence and credibility in districts relevant for the project area; have work with government focal agencies; and must be willing to undergo training in resettlement work for project implementation. 5.3.3 Local Government The cooperation and coordination of the local government units (LGUs) are vital in LARP implementation. These are the provincial government, district provincial Page 139 139 government, villages and local community Shuras. Issues relating from land records and ownership and assets valuation originate from this level and will only be taken to the Council of Ministers if these issues are not resolved locally. The provincial government, in cases of disputes on valuation of land will constitute a land valuation committee to determine the disputes on rates. In cases of disputes regarding land ownership, land records goes through 3 offices at district level, (1) District administrator, (2) Revenue collector (Mstowfiet) and (3) the District Court. These offices have the jurisdiction on any matters related with land acquisition and verification of land entitlements. Staff of the Revenue Department (Mstowfiet) , with local municipality will carry out the tasks of identifying the titles and verification of ownership. The Office of Wloswal (the appointed District head) is expected to play a coordinating role. 5.3.4 Gender It is appropriate to draw special attention to gender issues within the context of project implementation. What follows draws heavily on the report of the Social Safeguards Requirements Review of the EIRP. Irrigation governance in Afghanistan is an almost exclusive preserve of men. Initial consultations on EIRP sub projects were with village elders which, while representing the community, do not necessarily reflect the social realities or world views of different groups within it, particularly those of women. Despite playing a key role in agriculture women do not seem to have been either directly informed/consulted at the design stage of EIRP projects or involved in subsequent stages of a project’s development. Discussions with women in projects/villages visited as part of the Social Safeguards Requirements Review confirmed that they have important, although varying, roles in agriculture. Factors such as absence of male family members from the village, ethnicity and local cultural norms all affect women’s role in agriculture. For example, in Herat the consultant heard that women had primary responsibility for cultivating vegetables and fruit trees as well as looking after sheep. Women considered sheep the second most important household asset after land. In some Mazar villages it was also accepted practice for women to carry out agricultural work in the fields ( e.g. weeding and harvesting) where their husbands or other male family members were absent from the village. In Jalalabad women said they have responsibility for looking after animals and poultry close to their home although examples were given of poor women and widows working in the fields away from the immediate household. Representatives from women’s Community Development Councils (CDCs) in villages visited in Herat said that they had some knowledge of the EIRP irrigation schemes through their husbands or other family members. In Mamizal (Turkmani) and Shahara Khiz (Tajik) women CDC members expressed the view that if EIRP projects were beginning in their villages now, they would be consulted from the outset and much better informed about the project’s progress as a result of membership of the CDC. In both villages women CDC members said that the head of the men’s CDC regularly consulted Page 140 140 the head of the women’s CDC on planned projects for the village and that women were able to influence the prioritisation of these projects. For example, in Shahara Khiz, following consultation with the Head of the Women’s CDC, the top priority development project was changed from an electricity to a potable water supply project favoured by the women. In sharp contrast a meeting with women CDC representatives in Mirza Khil (Pashto) village in Jalalabad revealed virtually no knowledge of the EIRP project. The women there also reported no link with the men’s CDC in the village. The government’s commitment to addressing gender equality principles in social and economic development is evident in the Water Sector Strategy and the Afghan National Development Strategy (ANDS). Using established community structures to involve women meaningfully in the new IRDP project will be a challenge and will need to be approached with renewed effort and imagination. Working with women can be done only with female staff and currently there are no female CWDAs employed in the programme. Women’s CDCs should be explored as a possible vehicle for increasing women’s participation in the project. The current EIRP consultation approach tends to assume that communities are essentially homogenous. Specific efforts are not made to seek the views of those groups within communities who are not usually involved in decision-making processes, particularly women. In IRDP, special attention will be paid to female-headed households, both those with and without land, as they are generally amongst the most vulnerable in communities and risk having their rights ignored. Although women’s ownership of land is not widespread it is important to ensure that their land rights receive equal recognition in the project and in any resettlement activities. Thus, the ESS within the PMU will have special responsibility to · Ensure that the IRDP uses women’s CDCs to enhance outreach to women. · Revisit incentives in order to attract women to work as CWDAs and in other capacities at regional level. · Identify NGOs working with women in locality and consider whether/how to ‘piggy-back’ on their work in order to increase the effectiveness of the IRDP project. · Ensure implementing NGOs have female project officers 6. Public Consultation and Participation 6.1 General Public Consultation This section describes the mechanisms for public consultation process with the APs, disclosure of the LARP through distribution of informative material to create awareness among the APs regarding their entitlements and compensation payment procedures and grievances redress mechanism. 6.2 Public Consultation Page 141 141 In addition to informal day-to-day meetings among APs, MEW local staff, and other stakeholders, the formal consultation process in the project area will be ongoing and will be undertaken by supervising consultants and the PMU through village meetings, meetings with water user associations and public consultations with government officials. All these mechanisms and approaches will also be used during the collection of baseline socio-economic data from the APs; and the preparation of LARP and disclosure of LARP to the APs, as explained below. 6.3 Village Meetings A series of village meetings will be held, where the census and socio-economic surveys will be explained and later carried out. The aims and objectives of the IRDP will be explained as will the necessity for, processes and outcomes of any resettlement. The village elders and stakeholders meetings will be scheduled based on the availability of the participants. The ESS will be responsible for conducting village consultations. The project had already conducted an inventory of losses of affected assets and socio- economic survey. In the socio-economic survey, the project will list the names of the owners/users of assets likely to be acquired or damaged for which compensation will be payable and the MEW will prepare a land acquisition and resettlement plan (LARP) for each sub-project that will ensure that all these affected assets are justly compensated. The approved LARP will be presented and explained to all affected households and persons and other interested parties. The census survey will conducted in the affected lands At all times, all people will be encouraged to express their own options about resettlement. These will be relevant to the resettlement options of the APs themselves The primary purpose of these meetings will be to provide the affected households and persons and host communities the opportunities to air and ventilate their issues, concerns and opinions about the project while on the side of the supervision consultants, it is also an opportunity to clarify and elucidate initial results of surveys as well as inquire on subject matters that were not sufficiently covered by questionnaires. . 6.4 Consultations with Government Officials and Other Stakeholders The supervising consultants will meet with provincial and local officials to ensure that they are fully appraised about the project including the formulation and details on the implementation of the LARP. The PIU will coordinate with land valuation committees. There will be coordination with the district governors which have jurisdiction over the sub-project areas as well as village leaders. Information about the entitlement provisions and compensation packages will be shared with these government officials and other stakeholders. 6.5 Preparation of Project Specific Informative Material Page 142 142 Project specific informative materials will be prepared and distributed to the APs to create awareness among the APs regarding their entitlements and compensation payment procedures and grievances redress mechanism. They will cover the following: · After approval of this RPF by the World Bank, it will be translated into local languages and disclosed to the stakeholders especially affected persons by the MEW through consultants and at village meetings. LARPs for sub-projects will be made available to the concerned district governments and village leaders and MEW’s field offices as an official public document. This RPF will also be disclosed on the MEW website. · A summary of this RPF will be prepared specifically for this purpose and will be translated into local languages and presented to all APs in the form of a pamphlet/ brochure, to enable the APs and local communities to read it by themselves and be aware of the IRDPs benefits/compensations to be made to available for various types of APs, as given in the ‘entitlement matrix’. MEW field staff/consultant will distribute the brochures through the village meetings and will explain the mechanisms and procedures of the consultation programme and how APs will be engaged in resettlement activities and the overall process. · A cheque disbursement schedule explaining the date, time and venue for disbursement of compensation cheques of each AP will be prepared in local languages and distributed to all APs. This will also be disclosed in the village meetings. · A package containing following information material will be prepared for each AP. o Inventory of AP’s losses o Schedule for compensation cheque disbursement explaining the date, time and venue for receiving cheque, vacating land and demolition of structures o Pamphlet/ brochure in local languages o Any other relevant information for the AP 6.6 Disclosure Key features of this RPF will be disclosed to the APs through the village meetings, and informal interaction between the APs, consultants and PIU staff. After its approval by the World Bank, the disclosure plan will be followed: · Provision of the RPF in local languages and English to PIU, MEW field offices, APs, provincial officers and district provincial offices, other local and district level offices of the concerned agencies. · Disclosure of the RPF in village meetings · The RPF will be available in all public institutions for general public information · Posting of RPF on MEW website · Publicity will be given to the RPF through all forms of media · Provision of information packet to all APs The local safeguards officers will again conduct meetings with the PIU staff, local government units and other government agencies as part of the disclosure process to Page 143 143 acquaint them of the substance and mechanics of the RPF. They will be responsible to return to the affected villages and communities once this RPF is approved by MEW and the World Bank and conduct disclosure activities through village meetings and meetings with water users’ associations to ensure that affected households will be familiar with this plan before the actual implementation commences. 7. Preparatory Actions and Implementation Schedule 7.1 Preparation Actions MEW/PMU will begin the implementation process of each sub-project immediately after its approval by the World Bank. It will initiate some actions as groundwork and certain preparatory tasks regarding implementation of the LARP as follows: · Establishment of a Project Management Unit (PMU) and Project Implementation Unit (PIU) · Creation of post of National Safeguards Officer (NSO) · Creation of posts of regional safeguards officers (RSOs) · Appointment of two types of resettlement specialists (consultants) · Establishment of Affected Persons Committees (APCs) · Establishment of official cut off date for the first sub-project · A series of public consultative meetings and workshops with APs and local representatives and active involvement APs in preparing a final RP · Endorsement of the first LARP by PMU and PIU and its submission to World Bank for approval · The process for developing the budget for compensation of land, trees, and crops will have already been coordinated with the Ministry of Finance · Establishment of criteria, requirements and procedure for disbursement of compensation cheques · Identification of the implementing consultant that will assist MEW in LARP implementation · Identification of external monitoring agency who will undertake independent monitoring MEW is also committed to provide adequate advance notice to the APs and pay their due compensation based on the eligibility criteria defined in this RPF for resettlement including relocation and income restoration/assistance prior to start of construction work. The APs of affected structures/assets (houses, shops, etc.) will be paid their due compensations at least three months (90 days) prior to demolition of the structures. This time will allow them to dismantle and remove all salvageable material for rebuilding of houses and reestablishment of businesses. Payment of compensation of assets other than structures (land, crops, and trees) will be made at least 90 days prior to actual possession of the space being utilized by the APs. However, in case of a dispute, up to 70% of the assessed/allocated amount of compensation will be paid to APs and the rest pledged in the names of the concerned APs, pending the resolution of the dispute. . In such an exceptional case, the MEW may Page 144 144 possess the land without full payment of compensation. Grievances or objections (if any) will be redressed as per grievance redress procedure adopted in this RPF.. However, all activities related to land acquisition and resettlement will be completed prior to initiation of civil works for irrigation infrastructure rehabilitation and dam building with resettlement impacts. 7.2 Process of LARP Implementation The following paragraphs explain in detail how compensation will be delivered to APs and the prerequisites needed in triggering the release of financial resources to the ultimate beneficiaries. These steps are formulated in the light of the assumed availability of finance, the security situation, and travelling time. No account is taken of the likely situation in any province or district where sub-projects might take place. The steps for the delivery of compensation for all eligible APs will be the following: i. Obtain financial resources based on the final budget of each LARP. PMU shall obtain the needed money for its counterpart to fund the land acquisition component from the Ministry of Finance. ii. Verification of the list of qualified APs: PMU through the implementing consultant will verify the list of APs provided in the LARP to ensure that all eligible APs will be properly compensated and non-eligible APs will be excluded. To ensure that identification and qualifications are guaranteed, village elders and community Shuras will be consulted to resolve issues rising from the list. iii. Notification of a detailed compensation package: PMU through the implementing consultant will prepare and provide each APs with a detailed breakdown of affected assets, and the unit cost of each asset affected and the total compensation that they will receive. iv. Final conciliation/expropriation: APs who disagree with the amount of the detailed compensation package and how it was arrived at will be provided with a last or final chance to settle these issues with the implementing consultant facilitating this meeting. In the event that PMU and the APs still cannot agree, the PMU will file expropriation proceedings in the appropriate court, asking that MEW be permitted to take possession of the affected asset. The PMU will pay the AP 70% of the contested sum and deposit the remaining amount in an escrow account in a bank. v. Locate absentee owners: The PMU through the implementing consultant and village leaders shall try to locate absentee owners of affected assets. There are some cases where owners are residing or working in other places and every effort must be undertaken to locate these absentee owners. vi. Notification to the public: available media and community bulletin boards will be utilized to inform the public that lands with the corresponding owners will be affected by the project. These will provide sufficient time for any adverse claimants on lands that will be affected to raise their opposition or claims over the affected lands. vii. Preparation of invoices: Invoices for each of the eligible APs will be prepared by PMU/Implementing consultant. This document entitles each of the APs to receive the amount indicated in the invoice. Page 145 145 viii. Delivery of the money to local bank: the money from MEW/MoF will be remitted to a local bank in the nearest town to the sub-project site. However, the MEW/PMU may remit the money for compensation to any bank of its choice. The bank account will be opened by PMU which will receive from Kabul the compensation in behalf of the APs. ix. Payment: the APs will each receive a cheque for the whole amount of compensation from the PMU. The AP will sign a document acknowledging the receipt of the whole compensation and a waiver attesting that he/she has no longer any pending claim over the affected property. A photograph shall be taken with the AP receiving the cheque as part of project documentation. x. The AP will cash the cheque by presenting their national identification card (NIC) and/or election registration card to the bank. Persons without NICs will have to explain to the pertinent authorities the reasons why they are not in possession of the NIC. APs will be encouraged to open a bank account in any bank and only carry necessary money to their respective villages to avoid unnecessary exposure to those who might wish illegally or with force to relieve them of their cash. The benefits of having a saving account will be part of the information to be provided by the implementing consultant. 8. Complaints and Grievance Redress Based on the LLE when private landholdings are acquired for public purposes such as dam building, compensation is paid to the owner based on the category and location of the affected land and the values of land for compensation are determined by the Council of Ministers. The decision is based on the recommendation of a land acquisition committee (LAC) consisting of the following members: · Affected person who uses the land or his/her representative, · Representative of Ministry of Energy and Water, · Representative of the Ministry of Finance, · Representative of the Ministry of Justice, and · Representative of the local municipality, The land acquisition process is initiated with the constitution of the land acquisition committee. As land and other assets are acquired for a public purpose, the law does not permit any objection to the acquisition of an individual’s property by the state. Usually, there are dissatisfactions that arise with these acquisitions, mostly relating to the value of compensation. The LAC inquires into the matter and reviews the valuation and tries to arrive at a win-win solution. The whole process is based on a negotiated approach and as the AP or his/her representative is a member of this legally constituted LAC, a consensus is reached on the replacement value of the land and assets lost. The LAC thus also performs the tasks of a grievance redress committee. However, if after this negotiated approach, the issue remains unresolved, the affected person may elevate the matter to a Grievance Redress Committee (GRC) to try to resolve the issue. It should be pointed out however, that this committee does not possess any legal mandate or authority to resolve land issues but rather acts as an advisory body or facilitator to try to resolve issues between the affected household and the MEW/PMU Page 146 146 who would implement the valuation based on the decision of the LAC. The GRC will be composed of the following members: · Affected person or his/her duly appointed representative, · Representative of the local administration (from the office of the governor), · Representative from MEW - ESS, · Representative from the local legal department, · Representative of the implementing NGO The grievance redress committee will register the unresolved matter and meet to try to resolve the issue. A recommendation should be made within 7 –10 working days. In the case of the absence of any of the members during the decision-making process, an appropriate candidate will be nominated by the original representative. If no decision has been promulgated after 10 working days from the last meeting of the grievance redress committee, the affected person may take the issue to the next level. The AP always has the final recourse to seek redress through the legal system. However, every effort must be exerted to avoid this alternative because it entails loss of time and expenses of the part of the AP. As the concept of just compensation for affected assets for public works such as dams is new to Afghanistan, the ESS and the implementing consultant (NGO) will assist in disseminating this concept to APs, its procedures and prerequisites in filing the proper complaints. The process of grievance redress has been made simple to hasten the process of decision-making and facilitate getting on with the works. The grievance redress committee includes a representative from the local administration and the affected individual. Grievances are expected to be redressed locally within the existing framework. 9. Monitoring & Evaluation 9.1 General Project activities will undergo both internal and external monitoring. Internal monitoring will be conducted by the PIU, assisted by the Supervision Consultant. External monitoring will be assigned to an independent External Monitoring Agency (EMA) to be hired by MEW/PMU, and approved by the World Bank. 9.2 Internal Monitoring Internal monitoring will be carried out routinely by the PMU through the PIU and results will be communicated to World Bank through the regular project implementation reports. Indicators for the internal monitoring will be those related to process, immediate outputs and results. This information will be collected directly from the field and reported monthly to the PMU to assess the progress and results of LARP implementation, and to adjust the work program, if necessary. The monthly reports will be consolidated every quarter in standard supervision reports and submitted to the World Bank. Specific monitoring benchmarks will be: · Information campaign and consultation with APs; Page 147 147 · Status of land acquisition and payments on land compensation; · Compensation for affected structures and other assets; · Relocation of APs; · Payments for loss of income; · Income restoration activities. 9.3 External Monitoring The implementation of the IRDP will take several years. It will therefore be necessary that external monitoring is carried out on a regular basis with the results communicated to the PMU and the World Bank through a bi-annual compliance report. The EMA will be responsible for the preparation of the compliance report confirming that all compensation and related resettlement assistance in cash or kind are being delivered to the affected households. Based on the results of the compliance report, the EMA will recommend to MEW/the World Bank if the necessary civil works on irrigation rehabilitation and dam building with resettlement impacts can commence A copy of the compliance report and its recommendations will be submitted to the PMU, supervising consultant and the World Bank simultaneously. The EMA will also assess the status of project affected vulnerable groups such as female- headed households, disabled/elderly and poor families. The following will be considered as the basis to develop the indicators for monitoring and evaluation of the project: · Socio-economic conditions of the APs in the post-resettlement period; · Communications and reactions from APs on entitlements, compensation, options, alternative developments and relocation timetables etc.; · Changes in housing and income levels; · Rehabilitation of squatters (if any); · Valuation of property; · Grievance procedures and outcomes; · Disbursement of compensation; and · Level of satisfaction of APs in the post resettlement period. For each subproject, the EMA will carry out a post-implementation evaluation of the LARP about 1 year after its implementation to find out whether the LARP objectives were attained or not. The socio-economic survey base-line will be used to compare pre- and post- project conditions. The EMA will recommend supplemental assistance for the APs in case the outcome of the study shows that the objectives of the LARP have not been attained. 9.4 Management Information Systems All information concerning resettlement issues related to land acquisition, socio- economic information of the acquired land and affected structures, inventory of losses by APs, compensation and entitlements, payments and relocation will be collected by the Page 148 148 implementing consultant. This data bank would form the basis of information for RAP implementation, monitoring and reporting purposes and facilitate efficient resettlement management. 9.5 Reporting Requirements The implementing consultant will be responsible for supervision and implementation of LARP and prepare monthly progress reports on resettlement activities and submit to the PMU for review. The implementing consultant will also monitor RAP implementation and submit quarterly reports to MEW/PMU and the World Bank. The external monitoring agency (EMA) will submit bi-annual reviews directly to the World Bank and determine whether or not resettlement goals have been achieved, more importantly whether livelihoods and living standards restored/enhanced and suggest suitable recommendations for improvement. Page 149 1 4 9 1 0 . 1 M a t r i x o f A c t i o n s u n d e r t h e R P F A C T I O N S , M E A S U R E S , C O M P E N S A T I O N E N T I T L E M E N T S A N D C A T E G O R I E S I N T H E R P F A C T I O N S T O I M P L E M E N T T H E I D R P W h o W h a t W h e n W h y ( O b j e c t i v e ) C o m m e n t s M E W E s t a b l i s h l i a i s o n a r r a n g e m e n t s w i t h o t h e r M i n i s t r i e s w h i c h w i l l n e c e s s a r i l y b e i n v o l v e d i n I R D P : M A I L ; M O F ; M O J ; A s s u m i n g t h e s e a r r a n g e m e n t s a l r e a d y e x i s t w i t h r e s p e c t t o E I R P , t h e y c a n b e u t i l i s e d a s o o n a s p o s s i b l e t o b r i n g t h e s e M i n i s t r i e s u p t o d a t e o n I R D P T o f a c i l i t a t e t h e s m o o t h i m p l e m e n t a t i o n o f t h e b e g i n n i n g a n d o p e r a t i o n o f t h e I R D P T h e v i t a l f i r s t s t e p i n t h e p r o c e s s o f d e v e l o p i n g t h e I R D P M E W E s t a b l i s h P M U i n t w o d i v i s i o n s : 1 . E S S 2 . P I U O n a p p r o v a l o f R P F b y W o r l d B a n k C r e a t i o n o f t h e i n t e r n a l M i n i s t r y a r r a n g e m e n t s t o i m p l e m e n t R P F P r e p a r a t o r y w o r k t o b e d o n e b e f o r e a p p r o v a l o f R P F M E W A p p o i n t n a t i o n a l s a f e g u a r d s o f f i c e r a n d r e g i o n a l s a f e g u a r d s o f f i c e r s D e s i r a b l e t o a p p o i n t t h e s e o f f i c e r s w e l l b e f o r e t h e c o m m e n c e m e n t o f I R D P C r e a t i o n o f i n t e r n a l M i n i s t r y a r r a n g e m e n t t o i m p l e m e n t R P F E a r l y a p p o i n t m e n t w i l l f a c i l i t a t e t r a i n i n g o f t h e s e o f f i c e r s . T r a i n i n g o r g a n i s e d b y E S S M E W C o m m e n c e t h e p r e p a r a t i o n o f m a t e r i a l s o n t h e R P F f o r d i s t r i b u t i o n t o p r o b a b l e A P s A t c o m m e n c e m e n t o f 2 0 1 1 T o g i v e a s m u c h a d v a n c e p u b l i c i t y t o I R D P a s p o s s i b l e a n d t o a l e r t p r o b a b l e A P s o f r e s e t t l e m e n t N o n e e d t o w a i t f o r a p p r o v a l o f R P F b y W o r l d B a n k . T h i s w o r k s h o u l d s t a r t a s s o o n a s p o s s i b l e M E W P r e p a r e t e r m s o f r e f e r e n c e f o r i n t e r n a t i o n a l s o c i a l s a f e g u a r d s c o n s u l t a n t A t c o m m e n c e m e n t o f 2 0 1 1 . A d v e r t i s e m e n t s c a n g o o u t b e f o r e R P F a p p r o v e d b u t a p p o i n t m e n t w o u l d b e d e p e n d e n t o n R P F a p p r o v a l T o e n s u r e r a p i d r e c r u i t m e n t p r o c e s s e s o n c e R P F a p p r o v e d T h e r e w i l l n e e d t o b e c o n s i d e r a b l e c o n s u l t a t i o n o n t h i s p o s t s o a c t i o n n e e d s t o s t a r t e a r l y o n M E W A p p o i n t t h e i m p l e m e n t i n g N G O w h i c h i s g o i n g t o c a r r y o u t t h e p r o c e s s e s o f r e s e t t l e m e n t I n i t i a l w o r k o n a p p o i n t m e n t – t e r m s o f r e f e r e n c e ; b a s i c r e q u i r e m e n t s f o r a n N G O t o b e q u a l i f i e d t o a p p l y ; v e t t i n g a p p l i c a n t s – c a n s t a r t i n e a r l y 2 0 1 1 . A p p o i n t m e n t w o u l d n o t b e m a d e u n t i l R P F a p p r o v e d T h e i m p l e m e n t i n g N G O w i l l h a v e a n i m p o r t a n t r o l e t o p l a y i n a l l s i g n i f i c a n t r e s e t t l e m e n t e x e r c i s e s . F o r s u b - p r o j e c t s w h e r e n o o r v e r y s m a l l - s c a l e r e s e t t l e m e n t w i l l t a k e p l a c e , t h e E S S a n d t h e r e g i o n a l s a f e g u a r d s o f f i c e r c o u l d b e t h e i m p l e m e n t e r s b u t a n y t h i n g o v e r t h a t a n d t h e i m p l e m e n t i n g N G O w o u l d b e i n v o l v e d . Page 150 1 5 0 M E W C o n t i n u e w i t h p r o c e s s o f l o c a t i n g s i t e s a n d p r e p a r i n g t e c h n i c a l p l a n s e t c f o r s u b - p r o j e c t s u n d e r t h e I R D P o n g o i n g T o e n s u r e n o d e l a y i n b e g i n n i n g i m p l e m e n t a t i o n o f I R D P N o c o m m e n t n e e d e d . S e l f - e v i d e n t a c t i o n . P I U M E W W h e r e l i k e l y r e s e t t l e m e n t w i l l b e i n v o l v e d i n a s i t e l o c a t e d f o r a c t i o n u n d e r I R D P b e g i n p r e p a r a t i o n o f R A P u n d e r t h e R P F T h i s a c t i o n s h o u l d b e g i n t o b e i n c o r p o r a t e d i n t o p l a n s d e v e l o p i n g t h e s i t e s f o r a c t i o n u n d e r I R D P T o e n s u r e n o d e l a y i n b e g i n n i n g o f i m p l e m e n t a t i o n o f I R D P P r o c e s s e s f o r p r e p a r i n g R A P s e t o u t i n t h e t e x t o f R P F M E W C e n s u s o f r e s i d e n t s a n d p r o b a b l e A P s w i t h i n s u b - p r o j e c t a r e a A s e a r l y a s p o s s i b l e o n c e s u b - p r o j e c t s i t e i d e n t i f i e d A n e s s e n t i a l f i r s t s t e p i n t h e p r o c e s s o f r e s e t t l e m e n t E x p l a n a t i o n o f t h e i m p o r t a n c e o f t h i s i n t h e R P F M E W B e g i n t h e p r o c e s s e s o f p u b l i c i t y a n d c o n s u l t a t i o n w i t h A P s . A l o n g s i d e t a k i n g t h e c e n s u s o f A P s A n e s s e n t i a l f i r s t s t e p i n t h e p r o c e s s o f p l a n n i n g r e s e t t l e m e n t a n d d e v e l o p i n g a r e s e t t l e m e n t a c t i o n p l a n C o n s u l t a t i o n m u s t b e g e n u i n e . A s m u c h i n f o r m a t i o n a s p o s s i b l e m u s t b e g i v e n t o A P s . U t i l i s e v i l l a g e m e e t i n g s M E W C o n s u l t a n d l i a i s e w i t h l o c a l g o v e r n m e n t s a n d r e g i o n a l o f f i c e s o f a s s o c i a t e d M i n i s t r i e s o n a b o v e a c t i o n s . A l o n g s i d e c o n s u l t a t i o n w i t h A P s E s s e n t i a l t o e n s u r e t h a t M i n i s t r i e s a n d l o c a l g o v e r n m e n t s k n o w o f w h a t i s h a p p e n i n g T h e s e b o d i e s w i l l b e n e e d e d t o a s s i s t w i t h v i l l a g e m e e t i n g s a n d c o n s u l t a t i o n w i t h A P s . M E W U n d e r t a k e t h e p r o c e s s o f i n v i t i n g A P s t o s u b m i t c l a i m s f o r c o m p e n s a t i o n ; a s s e s s i n g d i s c u s s i n g a n d s e t t l i n g c l a i m s w i t h A P s P a r t o f t h e p r o c e s s o f c o n s u l t a t i o n a n d p r e p a r i n g a n R A P a s a n R A P m u s t c o n t a i n p r e c i s e d e t a i l s o f t h e c o m p e n s a t i o n a n d r e s e t t l e m e n t p a y m e n t s C o m p e n s a t i o n a n d t h e p r o c e s s o f r e s e t t l e m e n t i s a t t h e h e a r t o f a n R A P a n d i t s i m p l e m e n t a t i o n . E S S a n d N G O w i l l b e i n v o l v e d h e r e G R C T h e G R C w i l l b e i n v o l v e d i n a t t e m p t i n g t o s e t t l e a n y g r i e v a n c e s w h i c h A P s m a y h a v e o v e r t h e c o m p e n s a t i o n t h a t t h e y a r e b e i n g o f f e r e d T h e G R C s h o u l d b e r e a d y t o b e i n v o l v e d f r o m t h e c o m m e n c e m e n t o f t h e p r o c e s s o f a s s e s s i n g a n d d e t e r m i n i n g t h e c o m p e n s a t i o n p a y a b l e t o A P s T o a s s i s t i n t h e p r o c e s s o f s e t t l i n g c l a i m s t o c o m p e n s a t i o n T h e G R C m u s t b e p r e p a r e d t o w o r k s p e e d i l y a n d f l e x i b l y s o a s t o e n s u r e t h a t a s u b - p r o j e c t d o e s n o t g e t b o g g e d d o w n i n n e v e r - e n d i n g d i s p u t e s a b o u t c o m p e n s a t i o n . M E W F i n a l i s e R A P P r e p a r a t i o n o f R A P i s a c o n t i n u o u s p r o c e s s c o m m e n c i n g w i t h c o n s u l t a t i o n i n c o n n e c t i o n w i t h c e n s u s t a k i n g A n e c e s s a r y s t e p t o c o m m e n c i n g a c t i o n o n t h e g r o u n d R A P m u s t b e a p p r o v e d b y W o r l d B a n k Page 151 1 5 1 M E W P r e p a r e i n f o r m a t i o n p a c k f o r e a c h A P T h e i n f o r m a t i o n p a c k t o b e d i s t r i b u t e d w h e n R A P a p p r o v e d T h e p a c k p r o v i d e s a l l t h e b a s i c i n f o r m a t i o n w h i c h a n A P w i l l n e e d t o k n o w . W h a t i s t o o c c u r o n r e s e t t l e m e n t ; h o w m u c h c o m p e n s a t i o n w i l l b e p r o v i d e d ; h o w t h e c o m p e n s a t i o n w i l l b e p r o v i d e d a n d t h e o p p o r t u n i t i e s f o r c o m p l a i n t s a n d s e t t l i n g s a m e . T h i s i s a v i t a l c o m p o n e n t o f a n R A P . T h e d e t a i l s o f w h a t m u s t b e i n t h e i n f o r m a t i o n p a c k a r e c o n t a i n e d i n t h e R P F M E W I m p l e m e n t t h e c o m p e n s a t i o n a n d r e s e t t l e m e n t p r o c e s s e s o f t h e R A P E v e r y t h i n g s h o u l d b e r e a d y t o b e r o l l e d o u t o n c e t h e R A P i s a p p r o v e d O n c e t h e A P s h a v e b e e n p a i d t h e i r c o m p e n s a t i o n a n d b e e n r e s e t t l e d , i n f r a s t r u c t u r a l a c t i v i t i e s o n t h e g r o u n d m a y c o m m e n c e I t i s a b s o l u t e l y v i t a l t o b e a r i n m i n d t h a t a l l A P s c l a i m s m u s t b e s e t t l e d ( s u b j e c t t o t h e l i m i t e d e x c e p t i o n o f p a y m e n t o f o n l y p a r t o f c o m p e n s a t i o n i f a d i s p u t e i s g o i n g t o c o u r t a s s e t o u t i n t h e R P F ) b e f o r e e n t r y m a y b e m a d e o n t o l a n d f r o m w h i c h A P s h a v e b e e n m o v e d a n d i n f r a s t r u c t u r a l a c t i v i t i e s m a y c o m m e n c e . I m p l e m e n t i n g N G O 1 . W o r k c l o s e l y w i t h E S S i n g e n e r a t i n g a w a r e n e s s o f a l l a s p e c t s o f r e s e t t l e m e n t a n d c o m p e n s a t i o n 2 . W o r k c l o s e l y w i t h A P s i n a s s i s t i n g i n m a k i n g , n e g o t i a t i n g a n d i f n e c e s s a r y t a k i n g t o t h e G R C c l a i m s f o r c o m p e n s a t i o n 3 . S u b m i t r e g u l a r r e p o r t s o n t h e p r o c e s s t o M E W a n d t h e m o n i t o r s T h r o u g h o u t t h e e x e c u t i o n o f t h e R A P T h e p r e s e n c e o f a n i n d e p e n d e n t a g e n c y w h o s e p r i m e f u n c t i o n i s t o a c t o n b e h a l f o f a n d s u p p o r t A P s i n t h e i r c l a i m s f o r c o m p e n s a t i o n i s d e s i g n e d a s a g u a r a n t e e t h a t t h e p r o c e s s c o m p l i e s w i t h p r i n c i p l e s o f s u b s t a n t i v e a n d p r o c e d u r a l ( a d m i n i s t r a t i v e ) j u s t i c e T h i s i s a k e y e l e m e n t i n t h e R P F . I t w i l l b e i m p o r t a n t t h a t a r e p u t a b l e a n d e f f e c t i v e N G O i s a p p o i n t e d a n d t h a t t h e e x t e r n a l m o n i t o r i n g b o d y h a s t e r m s o f r e f e r e n c e t h a t e m b r a c e t h e m o n i t o r i n g o n t h e N G O G R C H a n d l e A P g r i e v a n c e s o v e r c o m p e n s a t i o n D u r i n g t h e p r o c e s s o f d e t e r m i n i n g c o m p e n s a t i o n . A s w i t h t h e i m p l e m e n t i n g N G O , a G R C i s a f u r t h e r A n o t h e r k e y e l e m e n t o n t h e R P F . I m p o r t a n t t h a t t h e Page 152 1 5 2 M e e t r e g u l a r l y a n d s e t t l e d i s p u t e s w i t h i n 1 0 d a y s . g u a r a n t e e t o A P s t h a t t h e p r o c e s s i s b o t h s u b s t a n t i v e l y ( a s e c o n d a n d i n d e p e n d e n t o p i n i o n o n c o m p e n s a t i o n ) a n d p r o c e d u r a l l y ( a n A P c a n h a v e a h e a r i n g a n d p u t h i s / h e r c a s e ) f a i r m e m b e r s o f t h e G R C s e e t h e m s e l v e s a s i n d e p e n d e n t a n d o p e r a t e a c c o r d i n g l y . T h e y a r e n o t t h e r e ‘ t o s a v e g o v e r n m e n t m o n e y ’ . M E W I n t e r n a l m o n i t o r i n g c o n d u c t e d b y P M U T h r o u g h o u t t h e p r o c e s s o f t h e i m p l e m e n t a t i o n o f a n R A P w i t h r e g u l a r r e p o r t s t o t h e W o r l d B a n k T h e P M U i s r e s p o n s i b l e f o r m a n a g i n g t h e I R D P . I t w i l l n o t h a v e t h e m a j o r h a n d s - o n r o l e w h i c h w i l l b e t h a t o f t h e i m p l e m e n t i n g N G O . S o i t i s i n a g o o d p o s i t i o n t o m o n i t o r a n d r e p o r t o n w h a t i s h a p p e n i n g a n d w i l l d o t h a t v i a o f f i c e r s o f M E W i n t h e f i e l d A n e s s e n t i a l a s p e c t o f t h e R P F a s i t p r o v i d e s a n e l e m e n t o f p r o j e c t a s s u r a n c e t o t h e W o r l d B a n k w i t h r e s p e c t t o t h e i m p l e m e n t a t i o n o f t h e I D R P E M A . M u s t b e i n d e p e n d e n t o f a l l b o d i e s i n v o l v e d i n t h e i m p l e m e n t a t i o n o f t h e I D R P a n d w i t h i n d e p e n d e n t s t a n d i n g i n i t s o w n r i g h t . C o u l d b e a U n i v e r s i t y d e p a r t m e n t o r a c o n s o r t i u m o f d e p a r t m e n t s . E x t e r n a l m o n i t o r i n g c o n d u c t e d b y t h e E M A . T h r o u g h o u t t h e p r o c e s s o f t h e i m p l e m e n t a t i o n o f t h e I D R P w i t h r e g u l a r r e p o r t s t o t h e W o r l d B a n k a n d g u a r a n t e e d a c c e s s t o s i t e s ; A P s ; d o c u m e n t s ; o f f i c i a l s i n M E W a n d o t h e r r e l e v a n t p u b l i c a n d p r i v a t e b o d i e s A n i n d e p e n d e n t o v e r v i e w o f t h e i m p l e m e n t a t i o n o f t h e I D R P T h e i n d e p e n d e n c e o f t h e E M A m u s t b e a s s u r e d i n t h e c o n t r a c t b e t w e e n i t a n d t h e M E W . T h e W o r l d B a n k h a s a s u b s t a n t i a l i n t e r e s t i n t h e E M A a n d i t s o u t p u t s s o w i l l l i k e l y b e i n v o l v e d i n t h e s e l e c t i o n p r o c e s s . Page 153 1 5 3 1 0 . 2 M a t r i x o f C o m p e n s a t i o n E n t i t l e m e n t s a n d R a t e s E L I G I B I L I T Y C R I T E R I A F O R I D E N T I F Y I N G A P s W h o i s e l i g i b l e W h a t a r e t h e y e l i g i b l e f o r H o w t o d e t e r m i n e e l i g i b i l i t y a n d c o m p e n s a t i o n l e v e l s W h a t ’ s t h e o b j e c t i v e C o m m e n t s L a n d o w n e r s L o s s o f l a n d a n d r i g h t s t o l a n d 1 . O f f i c i a l d o c u m e n t a t i o n i s s u e d b y o r o n b e h a l f g o v e r n m e n t 2 . C u s t o m a r y d o c u m e n t s ; : i . e . d o c u m e n t s r e c o g n i s e d b y b o t h o f f i c i a l a n d c u s t o m a r y l a w a s g i v i n g r i s e t o o w n e r s h i p r i g h t s 3 . O r a l a n d o t h e r e v i d e n c e w i t h p r o b a t i v e v a l u e t h a t t h e c l a i m a n t a n d h i s / h e r f a m i l y h a v e b e e n i n o c c u p a t i o n o f t h e l a n d f o r a t l e a s t 3 5 y e a r s . 4 . O p e n , c o n t i n u o u s a n d i n t e r r u p t e d p o s s e s s i o n o f p e r s o n s o v e r a v e r y l o n g t i m e w h i c h e f f e c t i v e l y v e s t s i n t h e m l e g a l r i g h t s o v e r t h e l a n d s t h e y o c c u p y t h r o u g h a c q u i s i t i v e p r e s c r i p t i o n . T h e a i m o f O P . 4 . 1 2 i s t o c o m p e n s a t e a l l t h o s e w h o h a v e l o s t ‘ t h e i r ’ l a n d . O P 4 . 1 2 g o e s b e y o n d t e c h n i c a l r u l e s o f l a w o r e v i d e n c e w h i c h i n p a r t a r e d e s i g n e d t o b r i n g d i s p u t e s o v e r l a n d t o a n e n d a n d e n s u r e s e c u r i t y t o t i t l e . O P 4 . 1 2 a i m s a t s i m p l e a n d s u b s t a n t i v e j u s t i c e : “ i f y o u ’ v e b e e n o n t h i s l a n d f o r a l o n g t i m e a n d t h e r e i s g o o d e v i d e n c e o f t h a t t h e n y o u s h o u l d b e c o m p e n s a t e d f o r l o s i n g i t ” A s t h e m a t r i x o n t h e c o m p a r i s o n o f t h e L L E a n d O P 4 . 1 2 s h o w s , t h e r e i s n o t h i n g i n L L E w h i c h p r e v e n t s t h e a p p r o a c h o f 4 . 1 2 b e i n g a d o p t e d h e r e S q u a t t e r s P e r m a n e n t i m p r o v e m e n t s t h e y h a v e m a d e t o t h e l a n d t h e h a v e o c c u p i e d O b s e r v a n c e o f p e r m a n e n t i m p r o v e m e n t s ; q u e s t i o n i n g t h e s q u a t t e r a n d n e i g h b o u r s o n w h e n i m p r o v e m e n t m a d e ; c o n s u l t i n g m a p s a n d o t h e r r e l e v a n t d o c u m e n t s T h e o b j e c t i v e h e r e i s t o c o m p e n s a t e t h e s q u a t t e r f o r e x p e n d i t u r e o n t h e l a n d b u t n o t f o r t h e v a l u e o f t h e l a n d i t s e l f D i t t o t o a b o v e . A g r i c u l t u r a l t e n a n t s L o s s o f i n c o m e c a s h c o m p e n s a t i o n c o r r e s p o n d i n g t o o n e y e a r ’ s c r o p y i e l d o f l a n d l o s t . A f a i r a p p r o x i m a t i o n o f l o s s o f i n c o m e D i t t o S h a r e c r o p p e r s L o s s o f i n c o m e t h e i r s h a r e o f t h e h a r v e s t a t m a r k e t r a t e s p l u s o n e D i t t o t o a b o v e D i t t o Page 154 1 5 4 a d d i t i o n a l c r o p c o m p e n s a t i o n . H o u s e o w n e r s / r e n t e r s C o s t s o f r e l o c a t i o n t o o t h e r a c c o m m o d a t i o n r e l o c a t i o n a l l o w a n c e e q u i v a l e n t t o A F 5 , 0 0 0 f o r 3 m o n t h s a n d a s s i s t a n c e i n i d e n t i f y i n g a l t e r n a t i v e a c c o m m o d a t i o n T h i s i s a v e r y s t a n d a r d e l e m e n t o f c o m p e n s a t i o n i n a l l s y s t e m s N o t s p e c i f i c a l l y p r o v i d e d f o r i n L L E b u t n o t h i n g t o s t o p i s b e i n g p a i d L o s s o f l i v e l i h o o d s b y a g r i c u l t u r a l i s t s R e p l a c e m e n t c o s t s f o r a l l l o s s e s 1 . l o s s e s w i l l b e c o m p e n s a t e d a t r e p l a c e m e n t v a l u e i n c a s h b a s e d o n c u r r e n t m a r k e t r a t e s p l u s a n a d d i t i o n a l . i n d e m n i t y f o r 3 m o n t h s a s t r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e . 2 . W h e n > 1 0 % o f a n A P ’ s a g r i c u l t u r a l l a n d i s a f f e c t e d , A P s w i l l g e t a n a d d i t i o n a l a l l o w a n c e f o r s e v e r e i m p a c t s e q u a l t o t h e m a r k e t v a l u e o f a y e a r ’ s n e t i n c o m e c r o p y i e l d o f t h e l a n d . T h e a i m i s t o p r o v i d e a r e a s o n a b l e m e a s u r e o f c o m p e n s a t i o n f o r l o s s o f l i v e l i h o o d s b u t o n t h e a s s u m p t i o n t h a t A P s w i l l m a k e a g o o f t h i n g s o n t h e i r n e w l a n d . I t p r o v i d e s t e m p o r a r y r e l i e f b u t n o t a n a m o u n t w h i c h i n v i t e s f u t u r e i n d o l e n c e T h i s i s a l r e a d y a n a p p r o a c h w h i c h h a s b e e n a c c e p t e d i n A f g h a n i s t a n R e s i d e n t i a l / c o m m e r c i a l l a n d i m p a c t s R e p l a c e m e n t c o s t s f o r a l l l o s s e s R e p l a c e m e n t v a l u e i n c a s h a t c u r r e n t m a r k e t r a t e s f r e e o f d e d u c t i o n s f o r t r a n s a c t i o n c o s t s S e e a b o v e . T h e s a m e r e a s o n i n g a p p l i e s D i t t o T h o s e w h o l o s e o r h a v e b u i l d i n g s d a m a g e d R e p l a c e m e n t c o s t s T h e s e i m p a c t s w i l l b e c o m p e n s a t e d i n c a s h a t r e p l a c e m e n t c o s t f r e e o f d e p r e c i a t i o n , s a l v a g e d m a t e r i a l s , a n d t r a n s a c t i o n c o s t s d e d u c t i o n s . R e n t e r s / l e a s e h o l d e r s w i l l r e c e i v e a n a l l o w a n c e g e a r e d t o t h e r e n t t h e y a r e p a y i n g . f o r 3 m o n t h s t o c o v e r e m e r g e n c y r e n t c o s t s . S e e a b o v e . D i t t o T h o s e w h o l o s e i n c o m e f r o m c r o p R e p l a c e m e n t o f l o s t i n c o m e T h e s e i m p a c t s w i l l b e S e e a b o v e D i t t o Page 155 1 5 5 l o s s e s c o m p e n s a t e d t h r o u g h c a s h c o m p e n s a t i o n a t c u r r e n t m a r k e t r a t e s f o r t h e f u l l h a r v e s t o f 1 a g r i c u l t u r a l s e a s o n . I n c a s e o f s h a r e c r o p p i n g , c r o p c o m p e n s a t i o n w i l l b e p a i d b o t h t o l a n d o w n e r s a n d t e n a n t s b a s e d o n t h e i r s p e c i f i c s h a r e c r o p p i n g a g r e e m e n t s . T h o s e w h o h a v e l o s t i n c o m e f r o m l o s s o f t r e e s R e p l a c e m e n t o f l o s t i n c o m e I n c o m e r e p l a c e m e n t b a s e d o n t y p e s o f t r e e s l o s t . S e e a b o v e D i t t o T h o s e w h o h a v e s u f f e r e d b u s i n e s s l o s s e s R e p l a c e m e n t o f l o s t i n c o m e C o m p e n s a t i o n f o r b u s i n e s s l o s s e s w i l l b e b a s e d o n a c t u a l i n c o m e t o b e e s t a b l i s h e d b y p e r t i n e n t r e c e i p t s o r o t h e r d o c u m e n t s i f d e m o n s t r a b l e , o t h e r w i s e b a s e d o n b u s i n e s s l o s s a l l o w a n c e c o m p u t e d a s A F 6 , 0 0 0 a m o n t h . S e e a b o v e D i t t o T h o s w h o h a v e s u f f e r e d l o s s o f w a g e s R e p l a c e m e n t o f l o s t w a g e s f o r a l i m i t e d p e r i o d U p t o t h r e e m o n t h s w a g e s S e e a b o v e D i t t o V u l n e r a b l e h o u s e h o l d s A d d i t i o n a l c o m p e n s a t i o n o v e r a n d a b o v e s t r i c t l o s s o f i n c o m e V u l n e r a b l e p e o p l e ( A P s b e l o w t h e p o v e r t y l i n e , w o m e n h o u s e h o l d h e a d s , m e n t a l l y c h a l l e n g e d h e a d e d h o u s e h o l d s , e t c . ) w i l l b e g i v e n a s s i s t a n c e i n t h e f o r m o f a o n e - t i m e a l l o w a n c e f o r v u l n e r a b l e A P s e q u i v a l e n t t o A F 5 , 2 0 0 a n d p r i o r i t y i n e m p l o y m e n t i n p r o j e c t - r e l a t e d j o b s . T h i s i s a r e c o g n i t i o n t h a t t h o s e c l a s s i f i e d a s v u l n e r a b l e h o u s e h o l d s w i l l l i k e l y s u f f e r l o s s e s o v e r a n d a b o v e i n c o m e l o s s a n d w i l l f i n d i t e s p e c i a l l y h a r d t o g e t s t a r t e d a g a i n s o m e w h e r e e l s e . D i t t o T r a n s i t i o n a l l i v i n g a l l o w a n c e f o r A P s f o r c e d t o r e l o c a t e D i s t u r b a n c e c o m p e n s a t i o n A P s f o r c e d t o r e l o c a t e w i l l r e c e i v e a l i v e l i h o o d a l l o w a n c e o f A F 5 , 2 0 0 a m o n t h f o r t h r e e m o n t h s . T r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e i s c o m p u t e d b a s e d o n t h e p r e v a i l i n g w a g e r a t e o f T h i s i s a s t a n d a r d h e a d o f c o m p e n s a t i o n i n m o s t s y s t e m s o f c o m p e n s a t i o n . D i t t o Page 156 1 5 6 A F 2 0 0 . 0 0 p e r d a y t i m e s 2 6 d a y s o r A F 5 , 2 0 0 p e r m o n t h . E S T A B L I S H I N G V A L U A T I O N R A T E S F O R A C Q U I S I T I O N W h a t i s b e i n g v a l u e d H o w i s v a l u a t i o n c o n d u c t e d I n p u t o f A P s I n d i c a t i v e f i g u r e s C o m m e n t s M a t t e r s c o m m o n t o a l l s p e c i f i c t y p e s o f v a l u a t i o n R a p i d a p p r a i s a l ; c o n s u l t a t i o n w i t h A P s ; i n f o r m a t i o n d e r i v e d f r o m c e n s u s a n d f r o m l o c a l a u t h o r i t i e s Y e s b u t n o t n e c e s s a r i l y d e c i s i v e W h e r e f i g u r e s a r e g i v e n t h e a r e i n d i c a t i v e o n l y b e i n g b a s e d o n a 2 0 0 9 v a l u a t i o n e x e r c i s e . T h e y w i l l a l m o s t c e r t a i n l y b e c h a n g e d w h e n b u d g e t s f o r R A P s a r e d e v e l o p e d u n d e r t h e I D R P n o n e L a n d V a l u a t i o n o f t h e l a n d i s p e g g e d o n a n a v e r a g e , t h e a c t u a l v a l u e d e p e n d i n g o n t h e n e a r n e s s t o a b u i l d u p a r e a . L a n d p r i c e s a r e b a s e d o n t h e d i s t r i c t l a n d p r i c e s i n t h e d i s t r i c t g o v e r n m e n t L a n d v a l u e s a r e s o f a r a s p o s s i b l e d e t e r m i n e d o n t h e b a s i s o f ‘ o b j e c t i v e ’ f a c t o r s b u t i t i s n o t p o s s i b l e t o i g n o r e t h e a s s u m p t i o n s o f A P s a b o u t l a n d v a l u e s w h i c h d o p l a y a p a r t i n v a l u a t i o n N o n e L a n d v a l u e s a r e d e a l t w i t h a f t e r a f a s h i o n i n t h e L L E . . T h e C o u n c i l o f M i n i s t e r s d e t e r m i n e s v a l u e s b u t t h e r e i s a l o c a l p r o c e s s t h a t v a l u a t i o n g o e s t h r o u g h . S t r u c t u r e s S t r u c t u r e s m a y b e c l a s s i f i e d ( t e m p o r a r y , s e m i - p e r m a n e n t a n d p e r m a n e n t ) b a s e d o n t h e m a t e r i a l s u s e d i n c o n s t r u c t i o n . T h e y m a y b e c l a s s i f i e d i n t o c l a s s 1 ( m u d / b r i c k / w o o d w a l l s , m u d / t i n r o o f ) , 2 ( t i l e d r o o f a n d n o r m a l c e m e n t f l o o r ) a n d 3 ( R C C , s i n g l e / d o u b l e s t o r e y b u i l d i n g ) I n t h e p r o j e c t f r o m w h i c h t h e s e c l a s s i f i c a t i o n s a r e b a s e d , t h e y w e r e a r r i v e d a t a f t e r v a r i o u s c o n s u l t a t i o n s w i t h s o m e o w n e r s w h o r e c e n t l y b u i l d t h e i r h o u s e s , l o c a l c o n t r a c t o r s a n d s o m e l o c a l c i v i l e n g i n e e r s . N o n e T h i s a p p r o a c h t o s t r u c t u r e s s e e m s a g o o d o n e t o a d o p t . S o m e A P s c o n s i d e r e d t h a t t h e l e n g t h o f t i m e a s t r u c t u r e h a d b e e n s t a n d i n g s h o u l d a f f e c t v a l u e b u t t h i s w a s n o t a f a c t o r u s e d i n v a l u a t i o n C r o p s i n c o m p u t i n g c r o p l o s s e s , a c o m b i n a t i o n o f f o u r m a i n c r o p s w a s u s e d t o g e t t h e a v e r a g e y i e l d a n d p r i c e . . T h e u n i t p r i c e f o r c r o p l o s s e s f o r a s q u a r e m e t e r o f l a n d d e v o t e d t o t h e f o u r m a i n c r o p s w a s e s t i m a t e d a t A F 5 . 0 0 p e r s q m . V a l u a t i o n w a s p r o b l e m a t i c b e c a u s e o f l a c k o f r e l i a b l e d a t a i n t e r m s o f y i e l d . T h e r e s u l t s o f t h e s o c i o - e c o n o m i c s u r v e y w e r e n o t r e l i a b l e b e c a u s e t h e m a j o r i t y o f t h e r e s p o n d e n t s w e r e n o t a w a r e Page 157 1 5 7 o f s i z e o f t h e i r l a n d h o l d i n g s . T r e e s C o m p e n s a t i o n f o r p r o d u c t i v e t r e e s i s b a s e d o n t h e g r o s s m a r k e t v a l u e o f 1 y e a r i n c o m e f o r t h e n u m b e r o f y e a r s n e e d e d t o g r o w a n e w t r e e w i t h t h e p r o d u c t i v e p o t e n t i a l o f t h e l o s t t r e e . N o n - p r o d u c t i v e t r e e s a r e v a l u e d b a s e d o n t h e m u l t i p l e y e a r s i n v e s t m e n t t h e y h a v e r e q u i r e d . C o m p e n s a t i o n f o r n o n - p r o d u c t i v e f r u i t b e a r i n g t r e e i s t h e c o s t o f t h e s a p l i n g p l u s t h e c o s t o f m a i n t a i n i n g t h e t r e e u p t o t h e t i m e t h a t t h e t r e e w a s c u t b e c a u s e o f t h e p r o j e c t . D u r i n g i n t e r v i e w s w i t h A P s o n t r e e s , i t w a s p o i n t e d o u t t h a t t h e f l u c t u a t i o n o f t h e v a l u e o f t r e e p r o d u c t s w a s i n f l u e n c e d l a r g e l y b y t h e s u p p l y a n d d e m a n d a n d t h e a b s e n c e o f p o s t h a r v e s t f a c i l i t i e s . F r u i t w a s s o l d w h e n a l l o t h e r f a r m e r s s o l d t h e i r f r u i t . I n t h e o f f - s e a s o n , p r i c e s w e r e h i g h e r b u t f e w f a r m e r s c o u l d s t o r e t h e i r c r o p s u n t i l t h e n T h e c o m p e n s a t i o n r a t e f o r a f r u i t b e a r i n g t r e e i s t h e a v e r a g e y i e l d p e r t r e e ( A F 1 , 5 0 0 ) t i m e s t h e a g e o f t h e t r e e . T h e s a m e p o i n t a s a b o v e a p p l i e s h e r e t o o R e s t o r a t i o n o f i n c o m e 1 . C r o p l o s s e s c a s h c o m p e n s a t i o n a t c u r r e n t m a r k e t r a t e s f o r t h e f u l l h a r v e s t o f 1 a g r i c u l t u r a l s e a s o n . I n c a s e o f s h a r e c r o p p i n g , c r o p c o m p e n s a t i o n w i l l b e p a i d b o t h t o l a n d o w n e r s a n d t e n a n t s b a s e d o n t h e i r s p e c i f i c s h a r e c r o p p i n g a g r e e m e n t s . N o a p p a r e n t i n p u t f r o m A P s . B u t t h e r e m a y b e d i s p u t e s b e t w e e n o w n e r s a n d s h a r e c r o p p e r s w h i c h o f f i c e r s f r o m t h e i m p l e m e n t i n g N G O a n d p o s s i b l y f r o m E S S m i g h t b e c o m e i n v o l v e d i n N o f i g u r e s c a n b e g i v e n A s n o t e d i n c o l u m n 3 t h i s m a y n o t b e a s s t r a i g h t f o r w a r d a s i t s e e m s . I n t e r - A P d i s p u t e s m a y e r u p t a n d t h e G R C c a l l e d i n t o a c t i o n . 2 . B u s i n e s s l o s s e s c o m p e n s a t i o n f o r p e r m a n e n t b u s i n e s s l o s s e s w i l l b e i n c a s h f o r t h e p e r i o d d e e m e d n e c e s s a r y t o r e - e s t a b l i s h t h e b u s i n e s s ( 6 m o n t h s ) . C o m p e n s a t i o n f o r t e m p o r a r y b u s i n e s s l o s s e s w i l l b e c a s h T h e f i g u r e s i n t h e n e x t c o l u m n d o n o t s e e m t o a d m i t o f n e g o t i a t i o n b u t t h e r e w i l l b e a n i s s u e o f w h e t h e r a b u s i n e s s i s p e r m a n e n t o r t e m p o r a r y o n w h i c h A P s w i l l w i s h t o b e c o n s u l t e d a n d h a v e t h e i r v i e w s P e r m a n e n t b u s i n e s s w i l l r e c e i v e A F 6 , 0 0 0 a m o n t h f o r 6 m o n t h s . T e m p o r a r y b u s i n e s s l o s s e s w i l l b e p a i d f o r u p t o 3 m o n t h s a t A F 6 , 0 0 0 a m o n t h T h i s i s a n o t h e r a r e a w h e r e d i s p u t e s c o u l d a r i s e b u t b e t w e e n t h o s e o f f e r i n g a n d t h o s e r e c e i v i n g c o m p e n s a t i o n . Page 158 1 5 8 t a k e n o n b o a r d 3 . I n c o m e r e s t o r a t i o n f o r w o r k e r s a n d e m p l o y e e s I n d e m n i t y f o r l o s t w a g e s f o r t h e p e r i o d o f b u s i n e s s i n t e r r u p t i o n u p t o a m a x i m u m o f 3 m o n t h s T h i s d o e s n o t a d m i t o f m u c h n e g o t i a t i o n a l t h o u g h t h e r e m a y b e d i f f e r e n c e s o f o p i n i o n o f w h a t c o u n t a s w a g e s N o f i g u r e s b e c a u s e w a g e s d i f f e r d e p e n d i n g o n t h e w o r k b e i n g d o n e D i t t o b u t i n a d d i t i o n , t h e r e c o u l d b e d i s p u t e s b e t w e e n e m p l o y e r a n d e m p l o y e e o n w a g e s w h i c h t h e p r o j e c t w i l l h a v e t o a r b i t r a t e o n . I n c o m e R e s t o r a t i o n A l l o w a n c e f o r S e v e r e A g r i c u l t u r a l L a n d I m p a c t s W h e n > 1 0 % o f t h e a g r i c u l t u r a l l a n d o f a A P i s a f f e c t e d , A P s w i l l g e t a n a d d i t i o n a l a l l o w a n c e f o r s e v e r e i m p a c t s e q u a l t o t h e m a r k e t v a l u e o f a y e a r ’ s n e t i n c o m e c r o p y i e l d o f t h e l a n d l o s t . G i v e n t h e p r o b l e m s o f m e a s u r e m e n t o f A P s ’ h o l d i n g s – s e e a b o v e c o l u m n 5 o n c r o p l o s s e s – t h i s m a y b e d i f f i c u l t t o c o m p u t e a n d c a r e f u l n e g o t i a t i o n s w i t h t h e A P s w i l l b e n e c e s s a r y N o f i g u r e s b e c a u s e t h e e x a c t s u m s o f m o n e y i n v o l v e d w i l l d e p e n d o n t h e u s e t o w h i c h t h e l a n d i s b e i n g p u t A l t h o u g h t h i s h a s t h e a p p e a r a n c e o f o b j e c t i v i t y f o r r e a s o n s n o t e d i n c o l u m n 3 t h e r e m a y b e d i s p u t e s w h i c h w i l l n e e d t o b e h a n d l e d s y m p a t h e t i c a l l y . V u l n e r a b l e g r o u p a l l o w a n c e V u l n e r a b l e p e o p l e ( A P s b e l o w t h e p o v e r t y l i n e , w o m e n h o u s e h o l d h e a d s , m e n t a l l y c h a l l e n g e d h e a d e d h o u s e h o l d s , e t c . ) w i l l b e g i v e n a s s i s t a n c e . T h e r e w i l l n e e d t o b e c a r e f u l a n d s y m p a t h e t i c c o n s u l t a t i o n a n d n e g o t i a t i o n w i t h t h e s e A P s A o n e - t i m e a l l o w a n c e f o r v u l n e r a b l e A P s e q u i v a l e n t t o a t l e a s t A F 5 , 2 0 0 a n d p r i o r i t y i n e m p l o y m e n t i n p r o j e c t - r e l a t e d j o b s . W h e t h e r t h i s w i l l b e s e e n a s a d e q u a t e w i l l d e p e n d o n t h e i n c o m e f o r g o n e . I t m i g h t b e a d v i s a b l e t o b u i l d i n s o m e f l e x i b i l i t y h e r e h e n c e t h e ‘ a t l e a s t ’ . T r a n s i t i o n a l l i v e l i h o o d a l l o w a n c e A P s l o s i n g l a n d o r l o s i n g a h o u s e a n d f o r c e d t o r e l o c a t e w i l l r e c e i v e a l i v e l i h o o d a l l o w a n c e . D i s t u r b a n c e i s a s t a n d a r d h e a d o f c o m p e n s a t i o n b u t i t w i l l n e e d a w i l l i n g n e s s t o b e f l e x i b l e o n r a t e s a s d i s t u r b a n c e i s n o t a n o b j e c t i v e m a t t e r . A t l e a s t A F 5 , 2 0 0 a m o n t h f o r 3 m o n t h s T h i s i s v e r y m u c h a ‘ g u e s t i m a t e ’ . I t m a y b e t h e b e s t t h a t c a n b e d o n e i n t h e c i r c u m s t a n c e s . H e r e t o o t h e w o r d s ‘ a t l e a s t ’ h a v e b e e n a d d e d t o p r o v i d e f o r s o m e f l e x i b i l i t y R e n t a l a l l o w a n c e H o u s e r e n t e r s f o r c e d t o r e l o c a t e w i l l r e c e i v e a r e n t a l a l l o w a n c e a n d w i l l b e a s s i s t e d i n i d e n t i f y i n g a l t e r n a t i v e a c c o m m o d a t i o n N e g o t i a t i o n s w i t h A P s c e n t r a l t o t h e o p e r a t i o n o f t h i s h e a d o f c o m p e n s a t i o n 3 m o n t h s ’ r e n t a t t h e p r e v a i l i n g m a r k e t r a t e w h i c h i n t h e p r o j e c t a r e a f r o m w h i c h t h e s e f i g u r e s a r e t a k e n w a s A F 5 , 0 0 0 / m o W h a t t h e p r e v a i l i n g m a r k e t r e n t i s m u s t d i f f e r f r o m p l a c e t o p l a c e . I t i s p r o b a b l y n o t w o r t h w h i l e t r y i n g t o c r e a t e a ‘ s h a d o w ’ m a r k e t . A s w i t h o t h e r h e a d s o f ‘ a l l o w a n c e s ’ s o m e f l e x i b i l i t y m u s t b e b u i l t i n t o t h e o u t c o m e . Page 159 159 11.1 A draft Resettlement Code made under the authority of article 22(5) of the Law on Land Expropriation and based on the principles and processes set out in this RPF. 1 . Duty to resettle The duty to resettle requires that an acquiring authority make all necessary arrangements whether through a plan or otherwise to ensure that project affected persons who are to be relocated as a consequence of the acquisition of their land are – · informed about their options and rights to be resettled; · consulted on and offered choices and provided with realistic and feasible resettlement alternatives; · assisted to resettle; and · provided with compensation at full replacement cost in accordance with the Code for losses attributable directly to the acquisition of their land. 2. Project affected person not obliged to accept resettlement under this Code 1. A project affected person who has a right to be resettled under this code is under no obligation to accept resettlement under and in accordance with this code but may instead apply to receive compensation in lieu of resettlement under this code. 2. A project affected person may decide not to avail him- or herself of resettlement under this code at the commencement of, or at any time during the preparation of, or on the completion of a resettlement plan. 3. The acquiring authority shall, after satisfying itself that the project affected person is making an informed decision on the matter and has considered the needs and interests of any dependents, pay such compensation as that project affected person is entitled to in lieu of resettlement under this code. 4. A project affected person who is paid compensation under this article shall on receipt of the compensation sign a disclaimer of any entitlement to resettlement under this code. 3 . Circumstances when resettlement plan required 1. Where the numbers of project affected persons required to vacate certified land and move to some other land exceeds two hundred persons, the acquiring authority shall be under a duty to prepare in accordance with the provisions of this code a resettlement plan. 2. In determining the number of project affected persons required to leave certified land, the acquiring authority shall calculate the number taking into account the entirety of the project notwithstanding that the project may be planned to be implemented in several sub-projects over a number of years. 4 . Resettlement committee 1. An acquiring authority shall, in any case specified in regulation 3 and after consulting with and taking account of the advice of the provincial and local authorities having jurisdiction within the area of certified land, arrange for and assist in the establishment of a resettlement Page 160 160 committee consisting of not less than seven nor more than twenty project affected persons for each sub-project. 2. The functions of a resettlement committee shall be to – · be involved in the preparation and implementation of a plan; · represent to the acquiring authority and all persons and organisations working with the acquiring authority the concerns and interests of all project affected persons; · undertake such other activities as are calculated to further the interests of project affected persons. 3. The Ministry shall make rules providing for the mode of establishing a committee and the rules shall be designed to ensure that the members of a committee shall be representative of all project affected persons and for the procedures for the conduct of the committee. 5. Preparation of plan 1. The acquiring authority shall cause to be prepared a plan in any case referred to in regulation 3 where it is necessary for a plan to be prepared. 2. A plan shall be prepared by any person or organisation with the necessary social and technical skills and knowledge from the public or private sector, including a non-governmental organisation or an association of persons from the area concerned and such a person or organisation shall be referred to in this code as ‘the planner’. 3. The planner shall – · prepare a plan within three months of being appointed to prepare a plan; · comply with the provisions of sub-articles 4 to 10 in preparing a plan; · comply with the provisions of paragraphs 4 and 7 to 10 in preparing a guide, and shall be responsible for arranging public meetings, village meetings, water associations meetings and meetings of the resettlement committee referred to in sub-regulations 4 to 10 with such timings so as to comply with the time-scales for the preparation of the plan or guide. 4. The planner shall conduct a survey of the certified land, the project affected people and any land which may be used for purposes of resettlement to ascertain the conditions, circumstances and wishes of the project affected persons and the persons already in occupation of the land which may be used for resettlement in relation to any resettlement. 5. The planner may hold such public meetings with project affected persons and persons in areas which may be used for resettlement as will in its opinion contribute to he understanding of the circumstances and needs of such persons. 6. The survey, together with a report of any public meetings referred to in sub-article 4, shall be placed before and considered by the resettlement committee. 7. The planner shall prepare a draft of a plan or guide on the basis of the survey, other relevant information, the views of the acquiring authority and any comments made at any meetings referred to in paragraph 3 and by the resettlement committee. Page 161 161 8. A draft plan shall be placed before one or more public meetings on or near to the certified land and any land planned to be used for resettlement to enable the project affected persons and other persons to comment on and suggest additions and amendments to that draft plan or guide. 9. The draft plan or guide together with a report of the public meetings referred to in paragraph 8 shall be placed before and considered by the resettlement committee. 10. The planner shall have regard to any comments and suggestions for changes to the plan or guide made at any public meetings and by the resettlement committee and shall amend the plan accordingly. 11. The planner shall submit the plan or guide to the acquiring authority which shall be responsible for its implementation. 12. The acquiring authority shall hold regular meetings with the resettlement committee in connection with the implementation of the plan. 6. Content of plan and guide 1. A resettlement plan prepared to give effect to the duty referred to in regulation 4 shall include measures to ensure that project affected persons are provided with – · financial and practical assistance during relocation; · housing, or housing sites, or, as required, agricultural sites or sites for commercial premises which are at least equivalent to the advantages of the place which the project affected persons are leaving; · where necessary, income and other support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and · where necessary, development assistance in addition to compensation measures including but not limited to land preparation, credit facilities, training, and job opportunities . 2. A plan which requires that project affected persons shall be resettled in places which are already occupied shall include measures to assist the existing occupiers of the land to adjust to and not be disadvantaged by the arrival of project affected persons and such measures may include or be similar to the measures specified in paragraph 1. 3. A plan shall include a detailed programme for the phased relocation and resettlement of project affected persons. 7. Assessment of cost of plan or guide 1. The planner shall, as part of the plan, prepare an estimate, to be known as a compensation assessment, of the cost of implementing that plan. A compensation assessment shall include: · the rights and interests in land which all project affected persons have or claim to have, including rights and interests to use land in common; Page 162 162 · the rights and interests in plants and trees which all project affected persons have or claim to have; · the livestock and other moveable property which project affected persons will be taking with them when they are resettled; · the income and the sources of income which project affected persons have; · the preferences which project affected persons have for the nature of the compensation which they may receive; · an estimate of the value of each claim and of the amount of compensation and the nature of the compensation which will be required to meet the claims set out in the assessment; · an estimate of the costs of providing such other services and facilities to mitigate the costs of, and provide assistance for, relocation and resettlement; · such other matters as in the opinion of the planner should be the subject of a compensation assessment or as may be directed to be included by the acquiring authority. 3. A compensation assessment shall not affect any claim to compensation made by a project affected person or the amount of compensation that may be awarded to such a person. 8. Implementation of plan The implementation of a plan shall involve all or any of the following actions depending on the nature of the resettlement and the numbers of persons to be resettled – · where the land to which project affected persons (in this regulation referred to as “settlers”) are to be relocated is already occupied by existing occupiers, regular meetings shall be arranged between the resettlement committee and settlers and existing occupiers to settle any disputes and ensure a harmonious atmosphere prevails during and after resettlement; · the acquiring authority shall cause to be prepared sites and houses for settlers and basic services of water and electricity in such time that such sites and housing are usable before settlers move in; · notice of not less than ninety days shall be given to settlers before they are required to move to their new sites and houses; · assistance is provided to settlers to dismantle any structures on their existing land which they wish to re-erect on their new sites; · transport is provided for the movement of settlers, their possessions, building materials if any, and livestock, if any, in sufficient quantity so that settlers are not required to wait on the day scheduled for their relocation for a period in excess of six hours before being transported to their new sites; · advice and assistance from local safeguards officers from the area from which settlers are being relocated and from other persons with qualifications relevant to resettlement are available both at the site from which settlers are being relocated and at the new site at the time of relocation and from time to time thereafter at the new site to deal with any problems and disputes arising out of resettlement; · settlers are paid any lump sum compensation due to them before the time of relocation; · arrangements are in place and have been explained to settlers for the payment of any sums of money or other things as compensation on a regular basis for a specific period of time; Page 163 163 · such other matters are provided for as may be agreed upon between the acquiring authority and the resettlement committee after good faith negotiations on such matters. 9. Grievance Redress Committee 1. There shall be established a Grievance Redress Committee (the Committee) for the project. 2. The Committee shall be composed of · the project affected person or his/her duly appointed representative, · a representative of the local administration · a Representative from ESS, · a Representative from the legal department of the province or district · a Representative of the implementing NGO 3. The Committee shall register any complaint made by a project affected person on any matter connected with a resettlement plan and its implementation as it affects him or her. 4. The Committee shall consider any registered complaint and shall have power to call for any documentation relating to the resettlement plan. 5. The Committee may permit the complainant and a representative of the acquiring authority or any organisation carrying out functions connected with the implementation of the resettlement plan on behalf of the acquiring authority to appear before it and participate in discussions and negotiations about the complaint. 6. The Committee shall issue its recommendation on the complaint within ten days of the complaint being made to it. 7. If a complainant is not satisfied with the recommendation of the Committee he or she may take the complaint to a local court. 10. Monitoring resettlement 1. An external monitor shall have the duty of monitoring resettlement and the preparation and implementation of a plan and guide. 2. In pursuance of the duty set out in paragraph 1, the external monitor is empowered to – · attend any meeting of the planner and of the resettlement committee and any public meeting; · have access to, review and comment on any plan or other document produced in connection with the preparation of a plan; · meet with and discuss any aspect of resettlement with the acquiring authority; · meet with and discuss any aspect of resettlement with any project affected person; · be present at any phase of the implementation of a plan; · make representations on any aspect of the implementation of a plan to the acquiring authority which representations shall be acted upon in a timely manner by the acquiring authority; and Page 164 164 · prepare full and regular reports on the preparation and implementation of a plan or guide which shall be submitted to the acquiring authority and shall be made available to the public. 11.2 Commentary on the draft Resettlement Code This code deals with resettlement; the relocation of PAPs from their land which is being acquired to other land. This code builds on practice in Afghanistan as evidenced by existing resettlement plans and on international best practice as set out in World Bank OP 4.12. Regulation 1 : Duty to resettle establishes the duty to resettle PAPs that have to be moved and sets out the content of the duty; basically, to involve PAPs in the preparation and execution of any plan of resettlement, to pay compensation and to assist PAPs in their move and in their resettlement. Regulation 2: Project affected person not obliged to accept resettlement under this code This regulation provides that a PAP is not obliged to accept resettlement but can take his or her compensation and ‘go it alone.’ If he or she does that then when receiving compensation, they must sign a disclaimer to the effect that they accept the State is under no obligation to resettlement them once they have received their compensation. Regulation 3 : Circumstances when resettlement plan required This regulation provides that a resettlement plan will be required where more than 200 PAPs are to be resettled. There is no particular magic in the number 200 but its used in OP 4.12 and given that the figure is used in an influential statement of international best practice, it is sensible to follow it. Regulation 4 : Resettlement committee establishes a resettlement committee of PAPs and provides for its functions. If participation is the key to successful and co-operative resettlement, it is clearly sensible to provide for a committee of PAPs with whom the acquiring authority, its officials and resettlement planners can work. The committee must itself keep in touch with the PAPs and be involved in the planning and implementation of a resettlement plan. Regulation 5 : Preparation of plan sets out the process for the making of plans. The acquiring authority is responsible for the plan but may appoint a firm or some other body (the planner), e.g. an NGO to prepare a plan. The regulation provides a fairly simple straightforward process of plan making: survey; public meetings; report on same to committee; draft plan; public meetings on draft; committee to consider draft plan in light of views of public meetings; revised plan to acquiring authority which is responsible for implementing it. Regulation 6 : Content of plan sets out the content of the plan. Financial and other assistance during relocation; provision of sites in the relocation area for housing and other activities; income and other support during a Page 165 165 transitional phase and compensation for losses. Where the relocation area is already occupied, the plan must contain measures to assist existing occupiers and to assist in the integration of newcomers into the existing community. A programme of implementation must also be included. Regulation 7 : Assessment of cost of plan provides for the financial aspects of a plan. The plan must contain an assessment of the costs and this regulation sets out what any such assessment must contain. It is basically the value of what PAPs will be losing; the costs of moving; the costs of resettlement; the costs of income support in the new location; the costs of compensation and general administrative costs. This paragraph puts the onus on the planner who has to go round to the project affected persons (PAP), discuss with them what their likely losses are and what type and form of compensation they would want. The exercise is a co-operative exercise in which the PAP are to play an important part putting forward their ideas and requirements. Regulation 8 : Implementation of plan sets out the steps required for the implementation of a plan or guide. These involve regular meetings with PAPs and existing occupiers of the relocation land; help to PAPs to dismantle moveable buildings and pack up; transport of livestock (if any); of the PAPs with due and fair notice; help with resettlement; payment of compensation; and arrangements in place for income support to be provided once PAPs have moved. Regulation 9: Grievance Redress Committee This regulation establishes a Grievance Redress Committee which provide a semi-formal avenue for a project affected person who considers that he or she has not been treated fairly in the resettlement process to make a complaint about the treatment received. The GRC will adopt a conciliatory and negotiating approach to the grievance and try to ensure that the matter is not taken further. It has the powers to call for any documentation and will usually invite both sides to its meeting to try and reach an acceptable resolution to the complaint. A project affected person still dissatisfied by the recommendation of the GRC may take the matter further to a local court. Regulation 10: Monitoring resettlement creates a duty on the acquiring authority to monitor resettlement. Monitoring will be both internal and external. This regulation deals with external monitoring and gives an external monitor all necessary powers to monitor and check on the resettlement plan and its implementation by being able to interview PAPs, by accessing documents; visiting relocation sites. The external monitor must produce a regular reports for the acquiring authority which must also be made available to the public. Page 166 Annex 18 – Preliminary Environmental and Social Assessment of Small Dam Site through Remote Sensing A preliminary assessment of potential environmental and social impacts was carried out using Google Earth Imageries (December, 2007) supplemented by tools from Arc MAP Geographic Information System (GIS). Land Use and Land Cover (LU/LC) classification was carried out based on visual interpretation of the imageries for 10 km radius (buffer) around each of the 22 dam locations. Table 1 summarizes the findings. It may be observed from Table 1 that the most dominant land cover across all the 22 dams is the barren and fallow lands. Contributions from land use such as settlement and agriculture are far less and so also the vegetation. Dense vegetation is virtually absent in all buffer areas. Settlement areas are prominent in the buffer areas around Pasha and Bato Baba dams. Digital Elevation Model (DEM) was sourced from Shuttle Radar Topography Mission (SRTM) with 90m resolution 21 . A 90 m spatial resolution gives elevation information (elevation in meters) for area 90 m x 90 m. For each dam location, DEM was generated at 1 m interval by interpolation algorithms available in Arc MAP. Watersheds were generated for 17 of the 22 dams based on DEM and locations of small dams. Estimation of submergence area was done for 10 of the 22 dams assuming 10 m of impoundment using tools available in Arc MAP. Table 2 provides a summary of results. It may be observed that for the 10 dam sites analyzed, environmental and social impacts due to submergence may be considered as nil or negligible, except for Masjet Sabz dam. The above preliminary assessment has helped in screening and scoping of 22 dams to arrive at a shortlist for more detailed processing. For detailed assessment at feasibility level, it is proposed that satellite stereo imageries are used and extraction of Visible and Infrared (VIR) data is done using software such as ERDAS. Such data can be sourced from SPOT, IRS, ASTER, IKONOS or QuickBird. Using such data sets and processing will provide more accurate estimation of watersheds, submerge areas and dam volumes. This approach will be considered for the final list of dams as shortlisted or identified for implementation as well as later in the phase of monitoring and assessment. 21 http://glcfapp.glcf.umd.edu:8080/esdi/index.jsp Page 167 1 6 7 T a b l e 1 : S u m m a r y o f L a n d C o v e r a n d L a n d U s e C l a s s i f i c a t i o n o f 2 2 D a m s S / N N a m e o f P r o p o s e d D a m L a t i t u d e L o n g i t u d e A g r i c u l t u r a l L a n d S e t t l e m e n t D e n s e V e g e t a t i o n S p a r s e V e g e t a t i o n W a t e r b o d y F a l l o w L a n d B a r r e n L a n d 1 S h a m a r 3 6 º 1 4 ' 5 . 7 " 6 8 º 1 3 ' 1 9 " 4 7 . 9 8 0 . 6 0 0 0 0 0 2 6 5 . 5 7 2 Q u r a n d a r a 3 6 º 2 5 ' 2 1 " 6 8 º 9 ' 3 4 . 5 " 1 6 . 2 0 0 . 4 4 0 1 2 . 9 0 0 0 2 8 4 . 6 1 3 B a t o B a b a 3 6 º 1 3 ' 4 2 . 8 " 6 8 º 4 ' 3 6 . 8 " 1 . 2 4 9 . 5 8 0 0 0 6 4 . 3 6 2 4 1 . 4 2 4 C h a s h m a D a r a R e s e r v o i r 3 6 º 2 9 ' 3 9 . 5 " 6 7 º 4 0 ' 2 6 " 2 3 . 4 2 2 . 3 5 0 0 . 1 6 0 0 2 8 8 . 6 2 5 S h i r a b a D a m 3 6 º 0 8 ' 3 3 " 6 6 º 0 9 ' 5 " 1 6 . 0 0 5 . 2 1 0 . 4 3 0 . 2 8 0 0 2 9 2 . 3 0 6 M a s j e t S a b z 3 5 º 5 0 ' 4 9 " 6 6 º 1 9 ' 3 0 " 7 . 1 3 1 . 9 5 0 . 0 4 1 . 3 9 0 0 3 0 3 . 6 5 7 G u d a r a D a m 3 5 º 4 9 ' 4 3 . 8 " 6 6 º 2 2 ' 5 7 . 3 " 2 6 . 0 9 3 . 1 3 2 . 1 1 4 . 8 1 0 0 2 7 8 . 0 5 8 P a s c h a D a m 3 6 º 2 0 ' 3 7 . 9 " 6 7 º 2 6 ' 1 9 . 9 " 0 0 0 0 0 7 7 . 4 3 2 3 6 . 7 3 9 S h a k r a k 3 5 º 1 9 ' 3 8 " 6 4 º 3 4 ' 4 5 . 1 " 1 2 . 6 7 1 . 7 4 0 . 3 8 1 . 5 9 0 . 0 1 0 2 9 8 . 0 0 1 0 Y a t i Q u l u q 3 5 º 4 7 ' 2 3 " 6 4 º 2 0 ' 3 8 " 2 1 . 6 7 3 . 5 0 0 . 0 8 5 . 5 2 0 0 2 8 4 . 1 4 1 1 T o i M a s t D a m 3 5 º 3 5 ' 2 0 . 5 " 6 4 º 1 5 ' 1 7 . 1 " 4 0 . 4 8 4 . 3 7 0 . 1 8 1 1 . 8 9 0 0 2 5 7 . 4 6 1 2 D a r z A a b D a m 3 6 º 0 ' 1 3 . 8 " 6 5 º 2 1 ' 5 2 . 5 " 0 . 9 5 4 . 3 2 0 . 4 8 1 . 3 6 0 0 3 0 7 . 0 3 1 3 F a y z A b a d D a m 3 6 º 2 9 ' 3 3 " 6 6 º 2 0 ' 4 2 " 0 1 . 4 6 0 0 0 0 3 1 2 . 6 9 1 4 S h a h A b d u l l a h 3 6 º 0 ' 2 6 " 6 7 º 3 5 ' 7 . 4 " 0 1 . 4 6 0 0 0 7 1 . 8 2 2 4 0 . 9 8 1 5 A n b a r 3 5 º 4 3 ' 5 0 " 6 8 º 2 ' 5 . 2 4 " 7 9 . 9 4 0 . 2 9 0 0 . 1 2 0 . 0 3 0 3 0 9 . 0 8 1 6 J a h i l K a l a 3 5 º 3 6 ' 5 3 " 6 7 º 7 ' 5 4 . 6 " 9 . 6 9 0 . 3 9 0 0 0 . 3 9 0 3 0 3 . 8 4 1 7 T a n g i S h a d y a n 3 6 º 3 4 ' 6 . 3 " 6 7 º 8 ' 3 1 " 0 0 . 9 4 0 1 . 0 3 0 . 0 2 1 6 3 . 6 0 1 4 8 . 5 6 1 8 P a s h a D a r a 3 5 º 5 3 ' 0 9 " 6 4 º 4 8 ' 3 0 " 2 5 . 0 9 1 5 . 5 1 0 . 4 5 0 . 7 5 0 0 2 7 2 . 4 9 1 9 D a h a n e D a r a 3 5 º 4 9 ' 3 4 " 6 4 º 5 1 ' 5 4 " 1 4 . 6 0 3 . 0 6 0 0 . 2 9 0 3 1 . 3 5 2 6 4 . 8 5 2 0 K o l e R e h m a t 3 5 º 3 3 ' 0 " 6 8 º 0 ' 2 4 " 5 2 . 2 2 1 . 1 8 0 0 . 0 4 2 . 8 9 0 2 5 7 . 8 3 2 1 D a r a e N e g a a r 3 5 º 4 5 ' 0 8 " 6 7 º 5 3 ' 0 " 0 . 1 1 1 . 3 8 0 0 0 . 1 6 1 8 . 9 4 2 9 3 . 6 3 2 2 A b e K e l i 3 5 º 5 2 ' 2 2 " 6 7 º 5 6 ' 4 8 " 1 . 6 6 0 . 5 2 0 0 0 2 2 . 5 4 2 8 9 . 4 7 T a b l e 2 : W a t e r s h e d , V o l u m e a n d S u b m e r g e d a r e a o f 1 0 D a m s Page 168 1 6 8 S / N N a m e o f P r o p o s e d D a m W a t e r s h e d A r e a ( S q K m ) S u r f a c e A r e a ( S q K m ) V o l u m e ( C u b i c m ) S u b m e r g e d a r e a ( S q K m ) A g r i c u l t u r a l L a n d S e t t l e m e n t D e n s e V e g e t a t i o n S p a r s e V e g e t a t i o n W a t e r b o d y F a l l o w L a n d B a r r e n L a n d 1 B a t o B a b a 1 0 8 . 4 0 . 3 2 1 0 1 9 8 4 5 . 3 5 0 . 3 2 0 0 0 0 0 0 0 . 3 2 2 C h a s h m a D a r a R e s e r v o i r 1 3 0 . 4 6 0 . 3 8 3 8 5 5 8 7 2 . 2 1 0 . 3 8 0 0 0 0 0 0 0 . 3 8 3 S h i r a b a D a m 1 1 4 . 4 7 0 . 2 5 2 5 0 4 3 2 3 . 6 9 0 . 2 5 0 0 0 0 0 0 0 . 2 5 4 M a s j e t S a b z 4 4 . 9 3 0 . 2 5 1 3 1 9 0 3 1 . 4 2 0 . 2 5 0 0 . 0 8 0 0 . 1 7 0 0 0 5 S h a k r a k 4 6 . 3 9 0 . 0 1 3 1 2 1 0 1 . 2 9 0 . 0 1 0 0 0 0 0 0 0 . 0 0 5 6 Y a t i Q u l u q 8 0 . 1 1 0 5 0 7 9 5 . 5 5 0 . 1 0 0 0 0 0 0 0 . 1 7 T o i M a s t D a m 4 1 . 9 4 0 . 0 6 6 2 9 9 8 5 8 . 0 8 0 . 0 6 0 0 0 0 0 0 0 . 0 6 8 A n b a r 1 8 3 . 2 2 1 . 0 2 6 8 9 8 6 9 3 4 . 3 1 . 0 2 0 0 0 0 0 0 1 . 0 2 9 D a r a e N e g a a r 1 3 6 . 8 8 0 . 4 7 9 0 7 5 1 8 . 9 2 0 . 4 7 0 0 0 0 0 0 0 . 4 7 1 0 P a s h a D a r a 7 . 1 4 0 . 0 4 4 9 1 5 6 3 . 2 1 0 . 0 4 0 0 0 0 0 0 0 . 0 4 Page 169 1 6 9 Page 170 170 Annex 19: Community Consultation Summary for Two Dam Sites Introduction: C A O T (A) Summary of the consultations for Cheshmadara Dam, Samangan: D S (1) G I N C D L F N S P R N R B S K GPS  C N E N N N O K N P FOA MEW M E S D E FAO E G S N T M R FAO E G R A D WMD S L A D G W C CDC Page 171 171   Page 172 172 I D C C · H · W · I · W I · T I CDC · T CDC M CDC · S · N L · H · H · D · T T · S · Y D · W · H C · H I · N · Y T CDC  · T S · A I · A · A · T D · W · H · T C T · T M I · W · S Page 173 173 Page 174 174 (B) Summary of the consultations for Dahan Dara Dam, Faryab: Date: October 12, 2010 (1) G I N D D D L P K F P R N R B S GPS  C N E N N Name of nearest village (u/s and d/s): Dahane Dara, Number of households: 10000 HH P FOA MEW M E S D E FAO E G S N T M R FAO E H D MWD F L A W C CDC Page 175 175 Page 176 176 I D C C · H · W CDC WUA · I · W I · T · M CDC · M S · Y T L · H · H · D · · I · F · Y D · W · H C · H I · N H · T N 5.  S · A I · A · A · A 6. D · W · H · T · A F M Page 177 177 i A good explanation of injurious affection is provided by a Canadian judicial decision given in 1916: “The basis of a claim for lands injuriously affected by severance must be that the lands taken are so connected with or related to the lands left that the owner of the latter is prejudiced in his ability to use or dispose of them to advantage by reason of the severance.” The value of the lands left is reduced by virtue of the taking and that must be compensated for. B. Denyer-Green (2003) Compulsory Purchase and Compensation 7 t h ed (Estates Gazette, London), 234.