E N VI R 0 N M E N T * - (a F 9 ~~D E P A R T M E N T- : * ~~~PA P ER S EPRMT TOWARD ENVIRONMENTALLY AND SOCIALLY SUSTAINABLE DEVELOPMENT SOCIAL ASSESSMENT SERIES 045 African Involuntary Population Resettlement in a Global Context Michael M. Cernea February 1997 Environmentally Sustainable Development The World Bank .-SD Environment Department Papers Social Assessment Series 017 Azerbaijan: Baku Water Supply EC3IV & EMTEN Rehabilitation Project '023 Beneficiary Assessment: Lawrence F. Salmen An Approach Described 024 *Participatory Poverty Assessment: Lawrence F. Salmen Incorporating Poor People's Perspective into Poverty Assessment Work 043' Social Assessment in World-Bank and Ma. Concepcion Cruz GEF-Funded Biodiversity Conservation Shelton H. Davis Projects 044- Hydropower Dams and Social Impacts: Michael M. Cemea A -Sociological Perspective 045 African Involuntary Population Michael M. Cernea Resettlement in a Global Context xxx -Social Dimensions of Economic Neil J. Smelser Development Copies are available from the World Bank's Environment Department, Social Policy & Resettlement Division. L~ Social Policy and Resettlement Division AfricaLn Involuntary Population Resettlement in a Global Context Michael M. Cernea February 19197 * Michael M. Cemea is Senior Advisor for Social Policy and Sociology of the World Bank. He has written several books and numerous studies on development, social change, population resettlement, rural organizations and the diffusion of innovations, and is the editor of the volume Putting People First: Sociological Variables in Rural Development (Oxford University Press, 2nd edition, 1991). The findings, interpretations, and conclusions express;ed in this paper are those of the author and should not be necessarily attributed to the World Bank, or its affiliated organizations. Acronyms and Abbreviations AGR Agriculture CAR The Central African Republic ENV Environment FY Fiscal Year IEN Industry and Energy JESS Juba Environmental and Social Studies PHR Population and Human Resources TWU Transportation, Water and Urban Contents Acknowledgment ii 1. Introduction 1 2. Population Movements and Developiment 2 3. Resettlement in Africa 5 4. Relative and Absolute Size of Resettlement 7 5. Social Research and African Resettlernent 9 6. World Bank Assisted Projects with Resettlement in Africa 12 7. The Basic Goal: Avoiding Impoverishiment and Restoring Livelihoods 18 8. The Causes of Failure 21 9. Strategies for Improving Resettlement 23 Formulating Resettlement Policies in Africa 23 Baseline Research for Preparing Resettlement 28 A Productive Basis for Resettled 'Groups 29 Implementation Challenges 31 New Issues on the Resettlement Agenda 33 10. Brief Conclusions 35 Notes 37 References 39 Acknowledgment The author expresses his thanks to difficult, often very painful, experiences Cynthia C. Cook, Dan Aronson, Cyprian of involuntary resettlement. As I met Fisiy, Scott Guggenheim, Francois them during my field analyses of dis- Falloux, and Thayer Scudder for their placement and resettlement in Togo, valuable comments on the earlier ver- Kenya, Madagascar, Tanzania, Uganda, sions of this study, and to Warren van Somalia, and other African countries, Wicklin who assisted with updating the they helped me gain a fuller under- data, commenting on, and editing the standing of the hard and complex hu- present paper. Sven Sandstrom, Ismail man consequences of uprooting and Serageldin and Andrew Steer provided relocation. support not only to the work that led to this study, but also to improving overall Finally, my thanks go to Gracie Ochieng work on resettlement operations under and Kerry Brady, who processed sev- World Bank-financed projects. eral drafts of this paper, and to Cristy Tumale who desk-topped it I am most grateful to countless people of Africa who shared with me their Michael M. Cernea ii 1. Introduction In Africa as well as worldwide, popula- about resettlement under World Bank- tion settlement and resettlement pro- financed projects in Africa. The analysis cesses are linked to the core of today's of the World Bank's experience in development agenda. This paper' addressing involuntary resettlement in discusses several common characteris- Africa, both at the policy and opera- tics and issues of involuntary resettle- tional levels, provides important in- ment processes resulting from develop- sights for understanding the complex ment programs and offers an overview socio-economic content of forced dis- of involuntary resettlement in Africa in placement and resettlement, as well as the context of similar processes world- the policy dimensions of managing such wide. It also provides detailed data processes. Social Assessment Series 2. Population Movements and Development Around the world, involuntary resettle- study estimated in 1990 that the African ment processes caused by development continent contains some 35 million projects are only a subset of much migrants-fully half of the world's total broader population movement pro- (Russell, Jacobsen, and Stanley, 1990). cesses. The latter are caused by eco- The same study also found no evidence nomic mobility, industrialization and to suggest that the volume of interna- urbanization, or by war, ethnic strife, or tional migration will be substantially natural calamities such as droughts. reduced in the future. Traditionally, Africa is a continent rich in natural spatial mobility is a central feature of resources, but often the spatial distribu- many African societies. For example, tion of its people and its resources do estimates from Somalia, before the not coincide. Therefore, much of the collapse of the state and the civil war's impetus for population movements in induced mass starvation, indicated that Africa also comes from efforts to match as much as 60 percent of the population the people with the resources they need was involved in one or another form of for sustenance and growth (Cook and transhumance (JESS, 1990). Falloux, 1994). Warfare, famine, and natural ecological The challenges posed by mandated distress have all played their parts in processes of involuntary resettlement forcing African populations to abandon epitomize some of the most complex their places and move. But so too have problems involved in inducing, acceler- certain political or ethnic repression, ating, and managing development, urbanization, industrialization, and They raise core questions about the role energy development of the state in population relocation decisions, the goals and the social actors Our topic here is a specific type of of development, its costs, pathologies, resettlement involuntary or forced and benefits. resettlement, which is distinct from voluntary (spontaneous or assisted) land The scale of human movements in settlement, or from usual rural-urban Africa can be awesome. A World Bank migration flows. 2 Environment Department Papers Population Movements and Development Involuntary resettlement shares with Table 1 voluntary and spontaneous population People Displaced by Major Dams Outside Africa movement certain common difficulties Dam Country No. of People Displaced and challenges regarding economic Dams Already Built development, food security, and envi- Assad Syria 60,000 ronmental management. However, it Ataturk Turkey 55,000 also differsfrom voluntary processes in Bargi India 114,000 Chungju Korea 46,500 several significant ways. Cirata Indonesia 56,000 Danjiangkou China 383,000 First, involuntary resettlement is itself Dongjiang China 53,000 Donpinghu China 278,000 never the primary objective of a projectl Hirakud India 70,000 that causes displacement; it is the by- Hoa Binh Vietnam 58,000 product - often unavoidable - of Itaipu Brazil 59,000 Itaparica Brazil 50,000 urban programs or of the construction of Kaptai Banglaldesh 100,000 dams, highways, industrial estates, Mangla Pakistan 90,000 ports, forestry natural resource man- Narayanpur India 84,000 Paulo Alfonso IV Brazil 52,000 agement projects, and so forth. Second, Pong India 150,000 whereas other types of projects explic- Rengali India 57,000 itlyaim to increase agricultural produc- Rihand India 49,000 aim to increase Saguling Indonesia 60,000 tivity and people's incomes, forced Sanmenxia China 319,000 resettlement starts by taking away land, Shuikou China 68,000 the main asset for family livelihood. Singur India 65,000 Sobradinho Brazil 65,000 Third, unless properly addressed by the Srisailam India 100,000 state, involuntary resettlement opera- Tarbela Pakistan 86,000 tions are certain to degenerate into Ukai India 80,000 Victoria Sri Lanka 45,000 processes of massive impoverishment Wuqiangxi China 85,000 and social disarticulation (Cernea, 1990; Xinanjiang China 306,000 1996e). Currently Under Construction Almatti India 136,000 Narmada Sardar Sarovar India 127,000 Involuntary resettlement in Africa Tehri India 105,000 caused by various types of develop- Three Gorges China 1,130,000 ment projects should be seen in the Xiaolangdi China 182,000 context of similar involuntary relocation Yacyreta Argentina & Paraguay 50,000 context relocation Under Desien or Consideration occurring elsewhere in the world, due Gandhi Sagar India 100,000 to the same development-related Jatigede Indonesia 22,000 causes. Table 1 shows some of the Kalabagh Pakistan 80,000 Kali Gandaki "A" Nepal 44,000 largest resettlement operations outside Kamali (Chisapani) Nepal 55,000 Africa, caused by the construction of Longtan China 73,000 major dams. Low Pa Mong Laos 52,000 Sapta Kosi Nepal 75,000 Source: Based on data from project documents and public sources. Social Assessment Series 3 African Involuntary Population Resettlement in a Global Context Significantly, three of the largest coun- Brazil, to Chixoy in Guatemala or tries in the world - China, India, and Yacyreta in Argentina and Paraguay, Brazil - which are currently engaged in and in other Latin American countries. massive industrialization and electrifi- cation programs, are precisely the Voluntary resettlement programs, in countries with the biggest ongoing turn, also occur on a large scale. These involuntary resettlement operations. In are epitomized by the transmigration China, for instance, as a result of dam program in Indonesia, or the mixed construction alone more than 10 million voluntary and involuntary resettlement people were involuntarily resettled programs like the well-known over a period of forty years. About Mahaweli program in Sri Lanka. Comn- 14 million were displaced by urban parable, even though different, pro- projects and over 7 million by transpor- cesses are land colonization and rural- tation projects (World Bank, 1993, p. 2). urban internal migration. Colombia, for In India, the aggregate numbers are of instance, is a country which, during two comparable magnitude - about 21.5 decades of accelerated industrialization, million people over four decades, has gone from being 35 percent urban to which include displacement from reser- being 35 percent rural. This massive voirs, urban sites, thermal plants and rural-urban migration was the result of mines (Fernandes, Das and Rao, 1989). a complex set of factors and, in turn, had Two dams now under construction on many beneficial influences; it has been the Krishna River in Karnataka state - accompanied by more than a doubling the Almatti Dam and the Narayanpur of real per capita income in the country, Dam - will deprive over 220,000 a nearly 10 percent annual increase in people of either their homes, their land, gross national product, and a ten-year or both. The highly controversial increase in life expectancy at birth. Narmada Sardar Sarovar Dam, together with its network of downstream irriga- Worldwide, all these large-scale sponta- tion canals and roads, will affect the neous ebbs and flows of population, land and/or houses of approximately together with direct or forced resettle- 250,000 people, of which some 127,000 ment, are part and parcel of the devel- in the reservoir and about 125,000 in the opment process, and pose major chal- downstream area. Latin America has lenges to governments trying to pro- had its own share of massive dam- mote strategies for economic growth induced resettlement programs - from and social change. Itaipu, Sobradinho, Xingu and others in 4 Environment Department Papers 3. Resettlement in Africa The African continent, in turn, is the dards of living and tend to rapidly scene of massive population resettle- deplete the natural resources of the ment processes of all types, including areas of refuge. painful involuntary displacements of people. Currently, however, Africa's Even when the causes of forced dis- most important forced displacements placements disappear or subside, return are not those caused by development resettlement and reconstruction at the programs, but those triggered by social places of origin demands large re- and political causes such as wars and sources from both the people and the civil wars, ethnic, racial and/or reli- state. Mozambique, for instance, had to gious persecutions, or by natural causes face the daunting task of resettling some such as droughts and famines. These 4 million people who became refugees result in more than 35 million of refu- during the recent civil war that ravaged gees - either "international refugees"' the country. But - surprisingly and (15 million) who cross international fortunately - this was accomplished borders to find protection, shelter and much sooner than expected through food in another country, or "internal spontaneous return and self resettle- refugees" (20 million) who still remain ment by the refugees themselves, with within the borders of their countries but limited official assistance. The collapse have abandoned their houses and lands of the apartheid system in South Africa (Cernea, 1993b; U.S. Committee on has made possible the resettlement of Refugees, 1996, pp. 4,6). many millions of black people who were displaced against their will; but Displaced populations are not only desirable as such resettlement is, it is far themselves deprived of normal liveli- from easy or painless (de Wet, 1995). hood and pushed to the limits of pov- erty and starvation, but often represent In Africa, planned land settlement has an enormous burden on the host popl- been tried in countries as diverse as lations, thus compounding the complex- Kenya, Tanzania, Sudan, Ghana, ity of the displacement-triggered prob- Senegal, Burkina Faso, Egypt, and lems. They may lower the hosts' stan-- Ethiopia (Chambers, 1973; Dieci and Social Assessment Series 5 African Involuntary Population Resettlement in a Global Context Viezzoli, 1992; Lassailly-Jacob, 1992, excellent monograph on Ethiopian 1994; S0rbo, 1994). While several of resettlement, the "stereotypes of re- these schemes did in fact improve the settlement as either purely induced by well-being of participants, in general famine or enforced by Government are terms these efforts have fallen short of equally misleading simplifications." expectations. True, the expectations themselves may have been unrealisti- More recent efforts to direct population cally high in many cases, given the movements have included investments resources available. Nonetheless, both targeted at infrastructure along agricul- tangible achievements and indisputable tural frontiers. These aim to steer drawbacks to large planned settlement people toward suitable settlement areas schemes exist, including their high cost, while requiring less government inter- reliance on prolonged public sector vention than full-fledged planned settle- intervention, and the constraints they ment schemes. Typical examples of this have placed on the private initiative of approach are the settlement models resettlers. Yet such settlements have implemented in Africa (S0rbo, 1994; created new opportunities and have Chambers and Morris, 1973) or those often met the motivations and immedi- being considered in the West African ate needs of many settlers. Complex areas cleared of river blindness (as political, social and economic forces discussed by McMillan, Painter and have been involved in such programs Scudder, 1992; see also Scudder, 1973, and, as Pankhurst (1992) argued in his 1988,1 990). 6 Environment Department Papers 4. Relative and Absolute Size of Resettlement Involuntary resettlement caused by Table 2 government sponsored development People Displacement Associated with programs has generated, and continues Major Dams in Africa to generate, a distinct set of problems on Dam CountUr No. of People the African continent (Cook and Displaced Mukendi, 1994). Construction of major dams in Africa, particularly during the Akosombo Ghana 84,000 Aswan High Dam Egypt 100,000 1960s and 1970s (Conac, 1995; Bakolari Nigeria 12,000 Goodland, 1996; Cernea, 1997), has Cabora Bassa Mozambique 25,000 entailed population displacements of Dadin Kowa Nigeria 26,000 entailed population displacements of' Kainji Nigeria 44,000 large magnitude in both absolute and. Kariba Zambia/Zimbabwe 57,000 relative terms. Kiri Nigeria 19,000 Kossou CUte dlvooire 85,000 Manantali Senegal 11,000 The absolute numbers of people dis- Nangbeto Togo 11,000 placed by 13 major African dams are Roseires Sudan 19,000 listed in Table 2. Selingue Mali 12,000 Source: Based on rounded data from project The relative size of some dam-caused documents and public sources. displacements reveals more about resettlement in Africa than the absolute numbers. Indeed, seldom is it realized Akosombo and Kossou alone displaced that displacements such as those caused an astounding proportion - about in Africa by the Akosombo, Kossou or 1 percent of the population of Ghana Kariba Dams have affected a much and C6te d'Ivoire respectively. In higher proportion of the country's total comparison, Narmada Sardar Sarovar population than the displacements dam and Xiaolangdi dam will displace caused in Asia by even the biggest only 0.015 percent of the populations in dams of the continent - India or China India and China, respectively, which is included-vis-a-vis the total population 66 times less on a percentage basis. of those countries (Lassailly-Jacob, 1980, Furthermore, in terms of total land 1990; Tomakloe, 1994). For example, condemned, the impacts were some- Social Assessment Series 7 African Involuntary Population Resettlement in a Global Context times even more disproportionate in those projects (Diaw and Schmidt- Africa. Akosombo's reservoir covers Kallert, 1990; Scudder, 1990, 1993). 3.5 percent of the land area of Ghana, During the 1980s and 1990s, the con- compared to Narmada's 0.01 percent struction of such gigantic dams has share of India and Xiaolangdi's slowed down in Africa. However, the 0.003 percent share of China. Thus, they aggregate number of development have strained the state's resources and projects causing displacements on a affected those African nations in a much smaller scale, particularly urban dis- more profound way, notwithstanding placements, has increased considerably. the benefits to be eventually yielded by 8 Environment Department Papers 5. Social Research & African Resettlement Social anthropology as a discipline and Assoc., 1993; Lassailly-Jacob, 1980, owes a considerable share of its generail 1992; Roder, 1994; Salem-Murdock, knowledge about involuntary resettle- 1989; Scudder 1968, 1973, 1985, 1993). ment to Africa's early experiences with forced displacements caused by high Social geographers and other social dams. It was largely the disruption and scientists have focused on the Niger sufferings endured by forcibly dis- River displacements (Grove, 1985; placed African farmers that became the Adams, 1992). Less widely known but teaching grounds of several eminent good studies have been published on anthropologists, enabling them to learn the displacement of the Tema fishermen about the pains and arrows of develop- to make room for the Tema port ment-caused displacement. They dis- (Amartefio, 1966), from the urban reloca- tilled this knowledge into concepts and tion of the Yoruba evacuated because of theories about involuntary resettlement the slum clearance project in Central that were then confirmed elsewhere as Lagos (Achunine, 1992), and from the well. displacement of farmers from the Tana river valley (Mburugu, 1994; Odinga, The Volta resettlement from Ghana's 1979). Several African scholars have Akosombo and Kpong Reservoirs, the dedicated multi-disciplinary research to resettlement of the Gwembe Tonga in the adjustment of the people in the Zambia at Kariba, or the relocation of Kainji Lake Basin to their new resettle- the Egyptian Nubians from the Aswan ment sites (Oyedipe, 1983, 1987; Dam are the best known cases, virtually Imerbore and Adegoke, 1975; Ayeni, "classic" cases, studied by social scien*- Roder and Ayanda, 1994; Amaugo, tists. Their research has yielded a vast 1977). The valuable lessons derived by body of writings - anthropological and many of these studies are, unfortu- sociological case-monographs, as well nately, still far from being consistently as of comparative studies (Adu-Aryee, used in practice by policy makers and 1991; Chambers, 1990; Colson, 1971; planners as prescriptions against repeat- Fahim, 1981, 1983; Fernea, 1973; Geiser, ing tragic mistakes. 1986; Grimm, 1991; Horowitz, Koenig Social Assessment Series 9 African Involuntary Population Resettlement in a Global Context There is also a vast literature on African extending the "four stages" framework population displacements and resettle- to involuntary relocations is in doubt, ment caused by civil wars and ethnic and Scudder concluded that findings strife, which are not the subject of this from many unsuccessful involuntary paper (see, in this respect, a vast bibli- resettlement operations demonstrate ography in Tim Allen (ed.) In Search of that not all the four stages take place. Cool Ground). Another conceptual model developed Research on development-caused more recently, (Cernea, 1990, 1996a, resettlement and land settlement 1996e), takes a different, complementary schemes in Africa has also enabled approach, aiming not at distinguishing social scientists to theorize about re- the stages of resettlement, but at identi- settlement by several generalized fying the fundamental impoverishment "models" of such processes, applicable risks intrinsic to resettlement and the beyond Africa as well. Several such key socio-economic processes critical conceptual models have been in use in for reconstructing the livelihoods of the social science literature over the last resettlers (for details, see Chapter 7). two decades. Studying the ecology of resettlement in The first model in the literature was hydropower dam programs, anthro- Robert Chambers' (1973) conceptual pologists have also raised another major representation of population land policy and planning issue, yet to little settlement as a three-phase process. avail with African governments and This model was based largely on project planners: the issue of integrated another's study of the experience of river basin development (Scudder, 1973, Mwea and other population settlements 1980, 1988; Newson, 1992). Indeed, in Africa. about every single major river dam in the African continent has been planned Another conceptual framework was and constructed as an insulated opera- formulated by Scudder and Colson tion rather than as part of a pre-elabo- (1982) who distinguished four stages: rated master plan for basin-wide devel- recruitment, transition, adaptation, and opment The adverse environmental incorporation. Scudder (1985) has consequences and additional social and argued that these four stages apply to economic costs resulting from piece- both voluntary and involuntary resettle- meal, dam by dam, approaches are ment processes. A good number of multiple: the potential of the river basin researchers have employed the is not brought out in an integrated and Scudder-Colson framework in their harmonious manner; people resettled investigations, with relevant findings. from one reservoir area to other sites More recently, however, empirical adjacent to the river are sometimes evidence suggests that the validity of displaced a second time, when a new 10 Environment Department Papers Social Research and African Resettlement dam on the same river is being built; the dams which suddenly modify the impact upon downstream agricultural pattern of annual water flows and of systems -resulting from upstream recessional agriculture-is overlooked Social Assessment Series 11 6. World Bank Assisted Projects with Resettlentent in Africa when the ecology of the river basin as a projects needed by a growing economy whole is not taken into account (see also must often displace people, at times later in this paper). large populations, from their homes and Little synthesized statistical information sources of livelihood. is available on resettlement at a global scale or at the scale of Africa as a whole. Forced resettlement, therefore, should One way to partly overcome data scar- be a path not chosen lightly, and all city and to outline a broader image over efforts must be made to minimize it a longer period of time is to consider But there are times when resettlement is the data available from World Bank unavoidable. There are only so many lending, including lending to Africa for places to build a dam or site a road; development programs entailing invol- only so many ways to construct an untary resettlement Of course, the urban sewage treatment plant without overall population resettlement pro- acquiring land that is already inhabited. cesses in Africa are much larger in scale In these situations, resettlement may be and more diversified in content a necessary element in the efforts to promote the common good. Development projects that build hydro- power stations, irrigate arid lands, The issue that we must face is when, improve urban transportation or supply and under what conditions, involuntary clean water to cities, aim at enhancing resettlement should proceed. If the productive capacities and social ser- public interest requires the expropria- vices. Yet although these projects are tion of land necessary for projects that necessary as means towards develop- will help meet basic human needs, what ment, they also involve trade-offs. There can be done to minimize the problems arefinancial trade-offs: the money caused by displacement? committed to a large dam is money that cannot be spent on schools. There are To answer this question, we can begin technical trade-offs: roads that are easy to draw upon both Africa's and the to build are often too costly to maintain. World Bank's experiences with and And there are social trade-offs: the research on the consequences of resettle- 12 Environment Department Papers WB Assisted Projects with Resettlement in Africa ment Much social research has found that resettlement is not going well in, Table3 Africa or elsewhere. Increasingly we Population Displacement in Projects find that development projects that Assisted by the World Bank benefit the majority confer all too few (Approved during FY80 - FY95*) benefits on those people who, as one of FY No. of No. of Affected my Indian colleagues has put it, "gave Projects People** their today so that we could have a better tomorrow." 81 118 12442,20 82 6 46,620 A typical category of infrastructure 83 11 173,428 projects that cause dislocation are dams 84 13 284,280 and the reservoirs they form (Cernea, 85 10 184,617 1997). Since 1970, the Bank has pro- 86 8 135,592 vided financing for dams in more than 88 12 217,085 100 countries and supported the con- 89 16 301,439 struction of about 350 large dams 90 13 137,683 around the world. But dams are not the 91 11 52,278 only cause of involuntary resettlement. 92 21 176,314 It occurs in projects as diverse as widen- 94 25 479,506 ing a downtown road, expanding a port 95 24 115,559 area, or even, as in a recent case in Mozambique, building a school. Table 3 Total 225 3,147,437 shows involuntary population displace- ment being present in more than 200 * For the period FY80-85, this table refers only Bank-assisted development projects to two key sectors, agriculture and hydro- over a sixteen year period (1980-1995). power; it does not include some projects in the urban, mining, thermal and other With about 3 million people to be subsectors that also entailed compulsory re- displaced during that period alone, settlement. compulsory resettlement is clearly no ** The overall numbers of affected people that small problem. entered each year the cycle of displacement and relocation are derived, in some cases, from best mid-term or final assessments. Within these overall numbers, the These are more correct, and tend to be con- sectoral and geographic distribution of siderably higher than the initial estimates Bank-assisted projects with resettlement made at the project appraisal stage. is far from even. By geographic region, *** The much higher than average number in the large majority of projects during this FY94 is due largely to one large scale resettle- 1980-1995 period are in Asia (over ment project approved for China (Xiaolangdi of projects and 87 percent of Dam) which alone displaces over 180,000 65 percent orpoet n /prel fpeople. displaced people) followed by Africa people. Social Assessment Series 13 African Involuntary Population Resettlement in a Global Context Table 4 Population Displacement by Sector in New Projects Approved During FY80 - FY95 No. of Sector No. of Projects Affected People Agriculture (AGR) 41 1,436,383 Industry and Energy (LEN) 74 684,336 Transportation, Water and Urban Dev. (TWU) 103 1,003,340 Other: -- Environment (ENV) 3 22,396 Population and Human Resources (PHR) 4 982 Total 225* 3,147,437 The total number of active proects with ongoing implementation of resettlement components during this period (FY80-95) was still higher, as some of these projects had been approved prior to FY80. (about 21 percent and only 6 percent of Sectoral diversity, as well as changes in people). By sector, the largest number of the relative weight of resettlement in projects entailing resettlement ap- different sectors, are clearly reflected in proved by the World Bank over the this table. The global shift from dams to sixteen years (FY80-95), as shown in urban infrastructure projects as the Table 4, are in the urban and infrastruc- leading cause of involuntary resettle- ture sectors. Yet it is the agricultural ment occurs visibly in Africa as well. In projects (primarily irrigation dams) that the early 1980s, dams, whether for have affected the largest number of power, water, or both, were the most people. frequent cause of displacement. By the 1990s, dams were a fairly infrequent The diversity and ubiquity of involun- cause, as portrayed in the two pie charts tary resettlement processes in Africa, in covering the two periods (Fig. 1). virtually all sectors with development Whereas 67 percent of Bank assisted programs, can be understood by consid- projects with resettlement in Africa from ering the development projects financed 1980 to 1986 were dams (in industry, by the Bank. A detailed list of Bank- energy, and agriculture), and displaced assisted projects in Africa over the last a total of 35,000 people, only 27 percent fifteen years ( the FY80-95 period) is of the projects from 1987 to 1995 were contained in Table 5. dams, displacing just over 20,000 people. This reflected lower overall 14 Envirorment Department Papers WB Assisted Projects with Resettlement in Africa Table 5 Africa: Projects Entailisig Involuntary Population Rese*tlement Financed by the World Bank (FY81 - FY94)* Country Sector FY Project Name People Affected** Mauritania AGR 81 Gorgol Irrigation 3,000 Swaziland IEN 81 Power III 300 Cameroon INU 83 First Urban 24,000 C6te d'Ivoire AGR 83 Fourth Rubber Prod. 2,000 Malawi TWU 83 Lilongwe Water I & II 400 Tunisia TWU 83 Urban Development III 3,100 Kenya IEN 84 Kiambere Hydro Power 6,000 Togo IEN 84 Nangbeto Hydro Power 10,000 Zaire-Burundi- Rwanda IEN 84 Ruzizi Hydro Power II 15,000 Ethiopia AGR 87 Forestry Plantation Development 3,000 Tunisia TWU 87 Urban Development IV 1,250 Malawi INU 88 Northern Transport Corridor I 3,000 Mozambique PHR 88 Education and Manpower 200 CAR IEN 89 Mbali (Energy I) 300 Cameroon TWU 89 Second Urban 8,000 Madagascar AGR 89 Agricultural Research 80 Mozambique TWU 89 Urban Rehabilitation 2,400 Mozambique TWU 89 Health and Nutrition 350 C6te d'lvoire AGR 90 Forestry Sector 50,000 Ghana INU 90 Urban II (Secondary Cities) 1,000 Guinea INU 90 Second Urban 8,000 Kenya INU 90 Third Nairobi Water Supply 500 Madagascar AGR 90 Tana Plain Development 10,400 Nigeria TWU 90 Oyo State Urban Development 5,700 Uganda TWU 90 Water Supply II 360 Djibouti TWU 91 Urban Development II 2,500 Kenya IEN 91 Export Development 450 Uganda IEN 91 Power III 300 Egypt IEN 92 Kureimat Thermal Power 500 Lesotho TWU 92 Highlands Water Phase IA 14,500 Malawi IEN 92 Power V 50 Malawi TWU 92 Local Government 100 Nigeria TWU 92 Multi-State Water I 3,300 Sao Tome & Pr. PHR 92 Health and Education 400 Morocco TWU 93 Land Development for Housing 14,000 Nigeria INU 93 Lagos Drainage and Sanitation 300 Sierra Leone TWU 93 Freetown Infrastructure 80 Tanzania IEN 93 Power VI 50 Tunisia AGR 94 Agriculture Sector 2,000 * In FY95 the new projects approved for Africa did not include any project entailing involuntary displacement and relocation. ** The numbers of affected people are either estimates at appraisal, or subsequently corrected/ updated assessments. Most projects in this table are still under implementation. Social Assessment Series 15 African Involuntary Population Resettlement in a Global Context Figure 1 Africa: Sectoral Distribution of Bank Projects with Resettlement FY 80-86 Transportation, Water and Urban Development 33% Agriculture and Natural Resources 22% Industry and Energy 45% Transportation, Water & Urban Development 33% Industry and Energy 45% ..... 4X- E -. - .. : -E. qE .- :.......E :.i.h. -E. :EE'. . ........ I1 ...-.'.".:. ..I.1 Agriculture and Natural Resources 22% FY 87-95 Transportation, Water and Urban Development 57% Human Resources 10% Agriculture and Natural Resources 13% ,Industry and Energy 20% Industry and Agriculture and Natural Transportation,. Resources - Water and Urban 13R Development Resources D P 16 Environment Department Papers WB Assisted Projects with Resettlement in Africa capital investments in Africa in large there will be more than two billion dams, during 1987 to 1995. On the othler people living in large cities of more hand, urban and transportation infra- than one million inhabitants. In cities structure projects grew from 33 percent such as Sao Paulo, Lagos, Douala, in FY80-86 to 57 percent in FY87-95, thlus Rabat, Shanghai, or Mexico City, mas- becoming in recent years the principal sive investments in infrastructure for cause of resettlement in Bank assistecl transportation, rehousing, sanitation projects. and other services, are needed, and will be increasingly needed, for improving Urban involuntary resettlement seems living standards and economic expan- likely to grow even faster in the future. sion (Cernea, 1990b). Such urban invest- United Nations data shows that world- ment will inevitably entail further land wide urban growth rates have exceeded, acquisition and involuntary displace- on average, six percent per year. The ment, thus keeping the issues of ad- number of people living in large cities equate resettlement present on the has grown from 200 million in 1950, to development agenda. 850 million today. By the year 2025 Social Assessment Series 17 7. The Basic Goal: Avoiding Impoverish- ment and Restoring Livelihoods To improve the handling of unavoid- genuinely attain the objective of simple able resettlement operations, the World income restoration implies to re-estab- Bank formulated an explicit social lish the resettlers at levels comparable policy, originally issued in 1980 (World to those that would have been reached Bank, 1980; Cernea, 1988, 1996d). This without the project-induced resettle- policy explains the basic criteria which ment (Cernea, 1988, p. 20). Further every Bank financed project must meet assistance is necessary to help in im- It defines its fundamental objective as proving the livelihoods of the restoring the income and livelihood of relocatees, above the income restoration affected people, and improving living level. These policy elements are often standards further whenever possible. overlooked, but they are crucial. In The policy also requires minimizing China, for instance, the policy orienta- displacement. It asks Bank staff, and tion for resettlement operations calls for recommends to borrowing agencies, to "resettlement with development"; in consider the economic and cultural other words, it explicitly formulates the characteristics of the people to be goal of using the resettlement operation moved and how these affect their ability as an opportunity for improving, not to cope in the new environment, only restoring, standards of living (Shi, 1996; Shi, Hun and Yu, 1996). Since displacement and resettlement takes a number of years, during which Over the last sixteen years, in every case there is a significant drop in income, when the Bank's resettlement policy has simply restoring the resettlers' incomes been applied to a new project consis- at the pre-displacement level does not tently, it has led to specific improve- accomplish the policy goal of protecting ments in planning, resource allocation, the livelihoods of those resetfled. It is in execution and in outcomes. It is very likely that the living standards of relevant to note that significant im- those people would, in any way, have provements have been achieved even in grown during the project years, had the cases (quite numerous) when the there not been a project2 Therefore, to overall goal of income restoration has 18 Environment Department Papers Basic Goal: Avoiding Impoverishment and Restoring Livelihoods not been fully accomplished for all other. At the same time, the model displaced people. Yet the application serves as a guide for problem-resolu- of this policy by both borrowers and the tion, and as a prescription for action to Bank has not been consistent in all overcome the problems that resettle- projects, as will be discussed further. ment causes. The central risk incurred in forced The main impoverishment risks are: population displacement is impoverish- ment of people. In final analysis, the * Landlessness; basic challenge in resettlement is the * Joblessness; imperative of preventing and avoiding the * Homelessness; impoverishment of people. * Marginalization; * Food Insecurity; Many of the people subjected to forced * Loss of Access to Common displacement are poor even before Property Resources; displacement, or are in a marginal * Increased Morbidity and Mortality; economic situation. They have already and been working hard to overcome poverty * Community Disarticulation. and to improve their incomes, health and sanitation. Then, suddenly, a Conversely, beyond disguising the development program intended to risks, this conceptual model also pro- bring benefits to many people (triggers vides a compass for reconstructive a resettlement operation that is so strategies: for land-based resettlement, inequitably designed and implemented for employment-opportunity provi- that it fails to protect the affected people sions, for house reconstruction pro- from a worsening of their situation. Such grams, health care and nutrition safe- a program turns displacement into at guards, and community rebuilding. weapon that aggravates rather than alleviates poverty. The paradox is ais Not every one of these processes neces- blatant as it is unjust and unacceptable. sarily occurs in each displacement operation. Nor do all affect every The risk and reconstruction model individual family simultaneously. But summarized below (see, for more de- taken together, they capture what tails, Cernea, 1990,1996a, 1996e) high- happens in resettlement operations that lights the main processes through which fail. It grimly warns about the likely impoverishment tends to occur. It is risks and pitfalls that must be either derived from empirical data from mLany avoided or mitigated, and reversed scholarly studies and operational field through reconstructing livelihoods. reports. These processes are interlinked Therefore, this conceptual model is in their effects, and compound each both a synthesis of past adverse experi- Social Assessment Series 19 African Involuntary Population Resettlement in a Global Context ences and (more importantly) a produc- nize these processes from his or her own tive and planning tool for improving field work. Thus, there is no need to resettlement. Field researchers of re- further document them in detail here settlement processes can also use this (see related studies in the bibliography). model in organizing empirical field However, there is every possible need work. to address these risks at all times when resettlement is planned or imple- An experienced resettlement practitio- mented. ner or researcher will instantly recog- 20 Environment Department Papers 8. The Causes of Failure The responsibility for effecting ad- last-moment salvage operation equate resettlement is vested in the state rather than an opportunity for socio- that initiates it. For African governnien- economic development. tal agencies involved in decisions causing displacement, it is essential to * People are forced to move when it analyze why resettlement programs fail suits the schedule of the civil works and to develop strategies to counteract construction (e.g., the reservoir is resettlement's adverse impacts. about to be filled), and thus they are moved late, in a rushed, insuffi- Social research on involuntary resettle- ciently prepared manner. ment, in Africa and elsewhere, has identified the following as chronic causes * Assistance to resettlers is typically of the most common problems that short-term. Various subsistence and recur in resettlement operations: hardship allowances end before full reestablishment at the new site. * Planning has traditionally centered on removing (displacing) people! * Resettlement operations are from the site of the main project, and underfinanced. Pre-move income only addressed resettlers' reestalb- levels are often not even known by lishment as a second priority. planners, so investments necessary for reestablishment are often miscal- * Estimates of the population to be culated. displaced tend to undercount (some- times deliberately, other times by * The productive capacities and in- imprecise on-the-ground measure- comes of those displaced are not ments) the actual number of people restored within a reasonable transi- whose land and/or house are con- tion period. The result is lasting demned. impoverishment. * Government agencies tend to con- * State resettlement agencies often lack ceive and execute resettlement as a explicit policies, norms, and guide- Social Assessment Series 21 African Involuntary Population Resettlement in a Global Context lines for reestablishing people seeking redress disempower the productively, and focus primarily on resettlers. expropriation. Without clearly stated Worldwide experience shows that, livelihood restoration goals, plan- however difficult resettlement problems ning fails. are, these problems are not intractable if identified and responsibly addressed. * Resettlers and hosts are not in- Treating resettlement as a mechanism formed and consulted in time. Their only to get people out of the way of a organizations are not invited to join project, and at low cost, has proved to in planning, negotiating and execu- be the cause of untold human misery. tion. Their knowledge is not used, Conversely, approaching unavoidable and incorrect assumptions are made resettlement as a development opportu- about resettler preferences. nity is the way to mobilize the resources of the state, the donor agencies, the e Development (or local) agencies resettlers themselves and the host charged with managing resettlement communities in relocation areas for lack the skills, adequate staffing and sustainable development. organizational capacity. These two distinct perspectives lead to * Evaluation and monitoring arrange- differences in the conceptualization, ments to correct deficient relocation design, financing and implementation programs are rarely set up. of resettlement programs. * "Second generation" environmental The remainder of this paper will review, effects from resettlement are not with specific examples, five main as- anticipated by preparation studies, pects: resettlement policies; baseline affecting host populations as well. research; productive reestablishment; implementation of resettlement pro- * Lack of institutionalized grievance grams; and new issues on the involun- procedures and of legal means of tary resettlement agenda. 22 Environment Department Papers 9. Strategies for ][mproving Resettlement Formulating Resettlement for losses, on the one hand, and resettle- Policies in Africa ment on a productive basis, on the other hand, is a crucial one. In Africa, compulsory resettlement is carried out in most countries by govern- The World Bank recommends that its ment agencies largely in a policy borrowing countries define and institut vacuum (Cernea, 1996c; Lassailly-Jacob, cheir own national policies and legal 1992). These countries do have laws frameworks for guiding involuntary that empower the state to expropriate resettlement operations and for protect- land "needed for the public good" and ing the livelihood of the people affected displace the owners of those lands. But by forced displacement. The Bank sorely missing in most African countries itself, as a development agency, formu- are explicit policies and legal frame- lated its resettlement policy in 1980 works to compel relevant state agencies (World Bank, 1980) and expects that the to effectively address the vital issues of countries which borrow for projects livelihood restoration and productive entailing resettlement design and reestablishment of those displaced implement those projects in a manner (Okidi, 1993). consistent with the policy. The expropriation laws generally lay Policy principles alone are never suffi- down rules only for the type of financial cient, however, and must gain their compensation (relief) that must be paid actual embodyment through a resettle- for the expropriated land. However, the ment plan. The heart of this plan is the very notion of "compensation" -relief "development package." This refers to payment for land taken for public use- the set of provisions that will recon- is a narrow concept that differs in sub- struct the productivity and social base stance from the more exacting principle of those relocated. The policy requires that the state has the obligation to re- that resettlement plans are based on store people's economic well-being and field surveys of the affected population, capacities as productive agents. This contain clear implementation time- distinction between mere compensation tables, and an adequate budget that Social Assessment Series 23 African Involuntary Population Resettlement in a Global Context finances each necessary activity, before Despite many improvements, however, the Bank will agree to appraise and in some major projects with resettle- approve a project loan. The resettle- ment, old mistakes made during the ment plan and the development pack- initial poor planning of the projects age must be creatively adapted to local proved difficult to redress: such cases circumstances. include, for instance, the Douala urban resettlement in Cameroon, the Narmada The Bank emphatically states that its and Singrauli projects in India, and own policy is not a substitute for do- Kedung Ombo in Indonesia. The dis- mestic resettlement policies. It consis- connect between policy and perfor- tently advises developing countries to mance in the country's and the Bank's adopt national policies and legislative activities in the Narmada projects was frameworks adequate to their circum- thoroughly criticized in 1992 by the stances, which would regulate the independent report of the Morse Com- unsatisfactory resettlement practices mission (Morse and Berger, 1992). The occurring not only under Bank-assisted Bank accepted the essence of the Morse projects, but even more frequently, review's criticism and decided to ini- under domestically financed programs tiate an exhaustive internal review of all (Cook and Mukendi, 1994). its ongoing projects with resettlement components, in order to identify and The formulation of the Bank's resettle- prevent any other "failures in the mak- ment policy was not a one-shot affair, ing". Thus, in 1993-1994 a vast new but can be described as a steady process study was carried out that covered all of policy reformulation and improve- Bank-assisted projects involving re- ment, which proceeded in an iterative settlement which were active between manner through several rounds in 1986-1993.3 The review addressed 1985/96, 1988, 1990, and 1993/94. Five policy and performance issues and led years after the policy was formally to the adoption of strategic measures adopted, in 1985/86, an analysis of that strengthened both the policy and performance in applying the Bank's new operational activities (World Bank, resettlement policy was carried out in- 1996/1994). house, called for reinforcing the Bank's procedures further. This was done by Remarkable progress has been made issuing an additional "operational recently in three Africa countries in policy note" in 1986 and by strengthen- terms of their policies for relocation ing the in-house staff resources working operations: C6te d'Ivoire, Uganda and on resettlement In 1988, both policy the Central African Republic.4 documents (1980 and 1986) were inte- grated into a single Bank paper on In 1996 the Central African Republic resettlement, issued publicly for the became the first African country to first time and made widely available. adopt a new involuntary resettlement 24 Environment Department Papers Strategies for Improving Resettlement law. It was developed in connection selves. The World Bank worked with with the joint preparation by CAR and the Government of Uganda to make the World Bank of the Malimaka Canal certain that such unacceptable practices component of the Urban Environment would not recur under any of the sev- Rehabilitation Project. Remarkably, eral projects the Bank was considering although the law was adopted to meet financing in Uganda. The draft policy World Bank standards for the Bank- was prepared through a consultative financed projects that cause displace- process6, with various interested parties ment, the CAR government decided t:hat participating (Government of Uganda, the new law should apply to all devel- 1995). The agreed upon text is (as of the opment projects in the country, the vast date of this writing) under review in majority of which are not Bank-financed. Uganda's Prime Minister's office. The law is based on the principle of full Closely modeled on the Bank's resettle- compensation for lost assets, assistance ment policy, Uganda's draft policy, during the period of relocation, and when adopted, could become a major assistance to resettlers in income resto- improvement over existing practice ration and improving their living condi- primarily by protecting the rights of tions at the new sites. Paralleling the involuntary resettlers. The draft policy Bank's resettlement policy, the CAR law requires resettlement to be conceived requires careful plans, complete bud- and executed as a development pro- gets, income recovery, and full consulta- gram; it provides for improvement of tion with affected households and living standards, prompt compensation communities.5 This legislative progress at full replacement cost, institution of puts the onus now on improving jMple- grievance procedures, and states that mentation, consistent with policy. the absence of formal title to land in areas where customary law is the rule In turn, the Uganda draft national re- should not be grounds for denying settlement policy was developed to fill compensation and rehabilitation. a policy gap, not for a particular project. Uganda had severe problems resulting The World Bank proactively pursued from forced population displacements, the development of a resettlement which occurred within a policy vacuum; policy for guiding the large scale C6te for instance, the case of violent expul- d'Ivoire Forestry project (see Box 1), to sion in 1992 of approximately 35,000 eliminate or minimize displacement people from the Kibale game corridor and avoid a resettlement fiasco like and forest reserve (see Box 1). This Kibale in Uganda (World Bank, 1996/ forced eviction included brutalities and 1994, p. 118). Through ongoing policy burning of houses, to compel inhabit- dialogue with the World Bank, the ants to depart. Displaced people were Forestry Department developed a given only a few tools and some unde- resettlement policy statement for the veloped land, and left to fend for them- forestry sector, entitled "Charte pour la Social Assessment Series 25 African Involuntary Population Resettlement in a Global Context Box 1 Policies Make A Difference in Practice: From Violent Expulsion to Reduced Displacement Major differences exist between countries on how displacement's social risks are treated and how relocation takes place. The difference is made primarily by policy. The two project cases described below show how these major risks - homelessness, landlessness, food insecurity, and increased morbidity - either become full-blown realities or can be prevented through decisive policy restrictions supported by altema- tive solutions. Two ongoing projects in the forest sectors of two African countries, both of which seek to eliminate encroachment in gazetted forests, demonstrate this difference dra- matically. A forest management project financed by a multilateral European donor agency in Uganda proposed a few years ago the massive displacement of communities living in the Kibale game corridor and forest reserve, without offering a viable economic alternative. The population obviously refused to move. The country's Forest Depart- ment, which had long threatened the local population with displacement, decided to implement the threat in 1992. The following is an excerpt from a field report written by a social anthropologist, Dan Aronson, who visited the site, about how expulsion took place: On March 31,1992 and for some days following, an attack without prior warning was launched by game wardens, foresters, local government officials, and perhaps prison labor. All houses were burned, and personal property and food stores were either destroyed or looted. A handful of people were killed on the spot. Patrols have kept people from returning since. About 35,000 people were violently displaced and evicted in 1992 from the Kibale forest. After many weeks, plans were made to take the displaced people to new settlements 150 miles away, in the under-population county of Bugangaizi. From September 1992 to May 1993, the Ministry of Labor, with the aid of several NGOs, placed about 19,000 people in 22 village blocks. People were given only a few tools from relief agencies and virtually no government services, but were left to fend for themselves. They have struggled to build shelter and produce sufficient food, and have to cope with poor health and sanitary conditions. OXFAM has drawn interna- tional attention to this case and has spearheaded an effort to provide relief to those displaced and clustered in camps. Little is known by project authorities about the con tinued on next page 26 Environment Department Papers Strategies for Improving Resettlement Box 1 con tinued ... many thousands of other people evicted from the Kibale forest.* (It has to be stated (see main text, further) that after 1992, and largely due to the lessons of the Kibale failure, Uganda took a turn towarcls adopting policy guidelines to prevent such disasters in the future). In another country, a Bank-assisted forestry sector project in Cote d'Ivoire, resettle- ment was handled very differently. The project was intended to prepare and intro- duce forest management plans for several high priority areas. Before the project, the Forestry Department initiated a crash campaign to recover control of forests by using forestry staff trained as a paramilitary force, with no compensation and little concern for evicted forest communities. Learning at appraisal that the policy of the Forestry Department was to evict up to 200,000 residents in a similar manner, the Bank's mission opposed and rejected this approach. The Bank sought and received agree- ment on a different approach, congruent with Bank policy, which will: reduce dis- placement from about 200,000 people to less than 40,000; provide better conditions for resettlers; consolidate existing scattered populations into 'agroforestry zones" within the legal limits of classified forests; and integrate resettlers into forest management general plans. This approach is new for C6te d'Ivoire and was never considered before the Bank-assisted project. What could have been a massive and violent uproot- ing for tens of thousands of people was averted. The Bank-assisted C6te d'Ivoire project is still very far from having solved all prob- lems: the new government policy has been drafted but is not yet formally issued; the "forest-farmers" commissions are only partly active; and management plans are still in preparation. Because of this, the Bank has kept this project on its problem project list for some time and monitors it closely. Although forest authorities and the project's executing agency have renounced. violent, uncompensated displacement, they are still learning how to do constructive relocation, how to provide better conditions for the 20 percent of forest people scheduled to move to agroforestry zones, and how to integrate resettlers effectively into forest management plans. The Bank has increased its assistance to the project to help the country achieve its economic, social, and envi- ronmental objective in the forest sector and to set a precedent for reducing displace- ment in other sectors. * This is not an isolated example: in a neighboring East African country, within a similar forest protection project financed by another bilateral European donor agency, several villagers were burned down in order to displace their inhabitants rapidly. Social Assessment Series 27 African Involuntary Population Resettlement in a Global Context rehabilitation du domaine forestier de Baseline Research for Preparing l'Etat", which the Department adopted Resettlement in June 1994.7 No involuntary resettle- ment had been carried out by 1996; the A major problem in African countries is dialogue with the World Bank has that many involuntary resettlement prevented inadequate resettlement in operations are planned without a good the interim.' A further step would be working knowledge of the size and enactment of this policy statement as nature of the population to be dis- national law in C6te d'Ivoire. placed. Census data and statistical Major ef s fwork, as well as sociological assess- Major efforts for evolving new policies ments, have been unacceptably weak. for resettlement have been undertaken in the recent three years in South Africa, For example, the appraisal report for the policies intended to revert and redress tr-national Ruzizi Hydroelectric project the injustice of past forced relocations involving Zaire, Rwanda and Burundi and land dispossessions during the badly underestimated this number, apartheid period in that country assuming initially that fewer than 200 (Ngubane, 1995; de Wet, 1995; Dewar, people would be displaced by the 1996). South Africa is poised now to project (World Bank, 1983, p. 12). In the pursue profound processes of land end, as many as 15,000 people were reform and associated population affected in one way or another. A recent relocations and the experience of this field study on displacement entailed by yet unchartered course will provide the Funtua Dam in Nigeria has demon- extremely interesting lessons. strated that while local planners esti- These eme g ls amated that displacement will affect only These emerging laws and policies in about some 100 people, the real number many countries of the continent about of affected people will be more than various types of resettlement are just 3,000 (Tamakloe, 1993). In 1983, project the beginning of what is needed in feasibility studies assumed that fewer Africa. But they provide a worthwhile than 1,000 people would be displaced experience for close consideraion and by the Kiambere Reservoir on the Tana emulation for other African countries. It River in Kenya; three years later, after is noteworthy also that the Africa Devel- the project started, more accurate stud- opment Bank started in 1995 work for ies revealed that displacement would formulating and adopting its own affect more than 6,000 inhabitants policy guidelines for the projects entail- (Mburugu, 1994). This is even more ing resettlement that it finances - a step distresin in l ht of thef t or towars neessar impovemets i its distressing in light of the fact that prior towards necessary improvements in itS experience with dam building in the practices. 28 Environmnent Department Papers Strategies for Improving Resettlement Tana River's upper and lower basins, chance to relocate away from neighbors such as Kamburu, Gtaru, Masinga and and kin groups -this is the "bread and others, had certainly alerted the plan- butter" of useful applied social science. ners to the hazards of population dis- It is obvious why such knowledge is placement and impoverishment needed for resettlement. It is far better (Odinga, 1979). to spend a little more time and money on research at an early stage to prepare Inadequate baseline research backfires a solid resettlement program than to in many ways, and undermines what is "save" in the beginning, only to find called the project's "quality at the entry" that enormous sums must be allocated as well as its implementation. The later to fix a faulty design that collapsed inadequacy of pre-project field research during implementation. often goes beyond simple miscalcula- tions regarding how many people will A Productive Basis for be displaced; one penetrating study Resettled Groups (Adu-Aryee, 1991) shows how lack of iin- depth understanding of local land Because resettlement is too often tenure patterns created widespread viewed as a problem of getting people opposition to Ghana's Akosombo out of the way of a project, there is a project's resettlement program. recurrent failure to think of ways to tap otheir productive potential at the new Africa is blessed with a long-standing sites. Yet this is the key to successfully tradition of applied social science, in restrtis iveyihods. particular rural sociology and anthro- reconstructing livelihoods. pology, that understands well the social Providing land as a productive basis is issues of involuntary resettlement essential for rural resettlers, and often Developing successful resettlement for urban resettlers too. This is as programs is a difficult task that simply generally true in Africa as anywhere cannot be done without drawing on the else. But compared to the rest of the skills of social researchers and other developing world, Africa has a charac- professions. Yet all too often, social teristic feature which may facilitate scientists are only involved in reporting successful resettlement: its low popula- on the final outcome of resettlement tion density lower than in South Asia, operations, rather than in designing the East Asia, or Latin America. It is com- resettlement program from the outselt, paratively easier in Africa to resettle and helping in prevention and problem- those involuntarily displaced on alter- solving. Ascertaining local patterns of native lands -because available lands land tenure, identifying community are easier to find -and thus help potential for reconstructing livelihoods, resettlers to reestablish themselves learning who wants to be relocated with productively, socially and economi- whom and who would welcome the Social Assessment Series 29 African Involuntary Population Resettlement in a Global Context cally, in a relatively shorter period of resettlers' land-based incomes. Alterna- time. tive income generating strategies must be developed. For irrigation projects that aim to facili- tate more intensive cultivation, for One example is the Lesotho Highlands instance, the most effective resettlement Water Project (Tshabalala, 1994). Al- solution is often to introduce the though very few people will be physi- resettlers to the command area through cally relocated by this project, several a planned assistance program that helps thousand will lose access to grazing them take advantage of the new produc- lands being inundated by a reservoir tive potential of irrigated fields. This supplying water to South Africa. In the approach was successfully applied for interim, the project is supplying grain the resettlers in the Gorgol Dam and and fodder for a 15-year period to Irrigation Project in Mauritania. maintain the herds and herder incomes. This is not a long term sustainable Another all-too-often neglected resource solution, however, but rather a tempo- is the reservoir itself, which our experi- rary damage limitation approach. ence shows has substantial fisheries Therefore the resettlement specialists potential. After impoundment, fish working on this project took a proactive have become a major product of approach designed to transform loss of Akosombo, Kariba, and Victoria reser- grazing land into a development oppor- voirs, among others. Traditionally, tunity financed by the revenues that however, the development of reservoir water transfer from the reservoir will fisheries has been left to Mother Nature, generate. Non-land based income an expedient but also slow solution. generating alternatives were explored. Where fisheries based on scientific A Highland Trust Fund has been recom- aquaculture have been planned prior to mended with prepayment of water reservoir impoundment, the results transfer royalties, to be supplemented have been spectacular. In Indonesia's by ongoing royalties once the reservoir Saguling reservoir, for example, fish is completed. Among the activities it production through basket and capture could fund are scholarships, training, fisheries, processing plants, and coop- tourism development (with resettler erative transport is so high that the employment as guides, etc.), crafts current economic value of the fish knitting and sewing, market gardening, harvest exceeds several-fold the value brick making, ferry services, spring of the harvest of the ricelands that were water bottling, and other small enter- flooded by the reservoir (Soemarwoto, prise, service, and trading activities. 1989). In another case -Burkina Faso's Sometimes there is no command area or Ouagadougou Water Supply Project- alternative land for re-establishing other income-generating options consid- 30 Environment Department Papers Strategies for Improving Resettlement ered as a basis for restoring resettlers' field in 1993- that the resettlement livelihoods include: support for component encountered serious execu- artisanal fishing; promotion of women's tion difficulties soon after the project production cooperatives; expansion of started, hampering the progress in cultivation; and charcoal and fuel wood achieving the project's basic goals. production. When I made a field assessment, in Whatever specific income generating 1985, of the resettlement from the reser- strategies are chosen, the important voir of the Nangbeto Dam in Togo, it point is that resettlement can succeed, in appeared that the sites for the villagers Africa as elsewhere, only if it provides to be relocated were not well selected. people with new sources of income and They had neither sufficient land sur- opportunities to use their labor produc- rounding them, nor were they cleared tively. Resettlers should not be trans- ahead of time to receive the relocatees. I formed into long-term passive recipi- found that many resettlers from ents of grain and fodder handouts, Nangbeto still practiced slash and burn because temporary relief, although agriculture, with significant areas left in needed will ultimately be phased out fallow for several years. Yet, the land leaving resettlers with no means of self- allocation at the new site were calcu- sufficiency. lated by planners to approximately match the annually cultivated areas per Implementation Challenges family, but did not allow fallow land for adequate rotation. Nor were the There is little reason to be satisfied with resettlers assisted technically by the the recent performance of resettlemenrt project for a gradual transition from under many development projects in slash and burn to stable cultivation. Africa. For instance, both the Ruzizi The implementation calendar of the Hydropower project (Zaire/Rwanda/ relocation component fell behind the Burundi) and Kenya's Kiambere project advance in dam construction. Some suffered from major design shortcom- corrective measures were taken, but ings and execution failures, and were those were too little too late. not consistent with the Bank's policy guidelines in more than one respect. In A few years after Nangbeto's comple- turn, the Antananarivo Plain project in tion, an evaluation study (Michard, Madagascar, an urban redevelopment Kolawole and Aziable, 1992) made clear project that may eventually remove that: (a) cultivable land per family had between 10,000 and 12,000 people from decreased to about half the amount their lands, houses, or both, started before relocation; (b) some of the new without an adequate relocation plan. villages were sited on uneven plat- No surprise therefore-as I found out forms, with poor drainage; (c) the core when I first reviewed this project in the housing units were poorly constructed Social Assessment Series 31 African Involuntary Population Resettlement in a Global Context with mud bricks, and soon started to future World Bank lending for the entire collapse; and (d) the water supply and urban sector in Cameroon would be sanitation facilities for the new village dependent upon the demonstration of settlements were missing or inadequate. satisfactory progress on the urban Moreover, when some of the farmer resettlement operations (World Bank, representatives went to the authorities 1996, pp. 25-26). to protest and demand better condi- tions, they were arrested and impris- Implementation is, of course, the ulti- oned. This was in total disregard of mate test for resettlement programs. their entitlements, as well as of the What makes for good implementation? international legal agreement between And how do we know that a program is the Bank and the country for imple- successful? These are not easy questions menting this project. to address, but they can be answered. In cases in which the implementation of To begin with, the implementation of a resettlement gets seriously out of com- resettlement program needs a resettle- pliance with World Bank resettlement ment organization staffed with people policy and practice, the Bank is com- who have social as well as technical pelled to take more drastic measures. skills. There are in Africa social scien- This can include project suspension. tists who are professionally trained to Such was the case with the urban sector deal with settlement and resettlement project in Cameroon. The First Urban and they must be invited by govern- project (approved in 1983) closed ment agencies to contribute to good June 30, 1998 without satisfactorily project designs and implementation. resettling 1,500 people, and therefore Ensuring that resettlement organiza- the responsibility for relocating those tions have the capacity and commitment people was rolled over into the Second to establish a major field presence is a Urban project financed by the World key element in resettlement success. In Bank in Cameroon. The second project, this regard, it is crucial that the resettle- however, was launched and imple- ment units have the technical and finan- mented at a time when Cameroon's cial resources, as well as the autonomy, economy was contracting. The allocated needed to carry out their mission. We local funds for the staff and operations must not find at the last minute that the of the resettlement unit were, again, not truck intended for transporting given. The lack of commitment from resettlers to their new sites has been government agencies to good resettle- commandeered to haul cement! ment under this project led the Bank to suspend its financial assistance to the Equally important, a way must be project and to decline to extend the created for the resettlers thems,elves to closing date (June 1994) of the project make their voices heard throughout the The Bank notified the government that resetflement process. In Africa, commu- 32 Environment Department Papers Strategies for Improving Resettlement nication and participatory planning New Issues on the processes have proven to be a very Resettlement Agenda weak point in resettlement Resettle- ment experts have emphasized repeat- In addition to improving the standards edly the need to involve local organiza-- of various ongoing involuntary resettle- tions among both host and resettler ment operations, one must be aware of populations in resettlement planning the new issues and concerns that are and implementation. coming up in this difficult domain of Another lesson emerging from social development work in Africa. science research on African resettlement First, it appears that the overall need for is that people should be moved with carrying out involuntary displacements care to preserve existing social group- and relocation is not likely to subside; ings as much as possible. Helping on the contrary, in many African coun- resettlers sustain and perpetuate local tries it is likely to increase. Confirming associational and cultural networks, and recent trends, the rise will be more involving locally recognized commu- pronounced in the urban than in the nity leaders in decision making, mini- agricultural areas -specifically in urban mizes the losses and facilitates the infrastructure projects such as slum logistics of resettlement. Project plan- upgrading, road widening, water sup- ners must learn about existing social ply and sanitation. units and groups and how they can be identified and reestablished while Furthermore, in the longer run, the reducing their disruption. In communi- activation of Africa's huge but yet ties where the ability to activate credit unused potential for irrigated agricul- from a kinsman enables a newly mar- ture will entail a rise of involuntary ried couple to start a small business, relocation processes in rural areas as where having a grandmother take care well. And as African countries are of the children allows a mother to man- gradually overcoming the financial age a food stall, or where the entire crises of the 1980s and early 1990s, they village uses and manages the grazing are likely to return to the construction of lands together, stable social relation- dams for increasing the supply of en- ships are the pre-conditions for eco- ergy for industry and urban life (Cernea, nomic viability. Better knowledge of 1997) community structures must be gener- ated through social research, and re- Further, a "new" variety of resettlement settlement strategies must strive to appearing on the development agenda preserve or reconstruct group structures is the involuntary resettlement of as a social support for increasing the people out of forests and national parks economic viability of post-relocation in Africa. As state-driven efforts for arrangements. Social Assessment Series 33 African Involuntary Population Resettlement in a Global Context protecting tropical forests, establishing annual flood would destroy much of the new parks and biosphere reserves, or downstream production options, reduce preventing deforestation are increasing, food production, impoverish many and result in large-scale government farmers and degrade the environment. programs (some co-financed by external The studies recommended an operating donors), some forest agencies tend to regime for the dam that would incorpo- take an overly simplistic approach and rate controlled water releases for artifi- to pursue the forced displacement of cial floods, with trade-offs acceptable communities, some of which have for irrigation and power generation. traditionally made a living in the forests Extending such a regime of multipur- (see Box 1, in prior section). Complex pose water management to other rivers social and legal issues are involved in where it may be found adequate would these situation, such as: customary greatly increase the flood plain's capac- rights of long-term forest inhabitants; ity to sustain a dense human population illegal encroachment; population and thus help partially solve some growth around and inside forests; lack problems created by upstream displace- of alternative income sources for many ment forest dwellers; and genuine conserva- tion imperatives combined with inad- As in the recent past, however, develop- equate problem-solving approaches of ment-caused displacement in Africa will forest agencies. It will be increasingly in the near future continue in parallel important to monitor forthcoming with a currently much broader process forestry related programs in African - the resettlement of large groups of countries for their displacement impli- refugees involuntarily displaced by cations and to develop alternative civil wars or ethnic and religious perse- strategies. cution. Since often different agencies deal with different kinds of resettle- Another issue, closely related to the ment, and people's coping strategies impacts of reservoir projects, has been tend to differ as well, it is important to raised by researchers focusing on the understand both the similarities and downstream impacts of dams on rivers differences between these various types whose annual floods have been long of relocation and social reinsertion incorporated in local farming systems. processes, and deliberately attempt to For instance, studies on the Senegal cross-exchange improved policy ap- River below the Manantali Dam proaches and practical experiences in (Horowitz, 1991; Horowitz and Salem- addressing the lasting and painful Murdock, 1991, 1993; Grimm, 1991) have problems of resettlement (Cernea, pointed out that the termination of the 1996b; Allen and Turton, 1996). 34 Environment Department Papers 10. Brief Conclusions Summing up the main points above, it lated growth of cities. Since much of appears clearly, first, that resettlement is further resettlements will be required and remains an unavoidable side effect by growth of the private sector, new of necessary development programs. Its balances will have to be struck between incidence will likely increase in the regulatory frameworks, private sector future, as the need for development objectives, and the pubic interest Emi- projects, and for nature-conservation nent domain law -the state's ability to programs that involve some displace- acquire land for public utility pur- ment, continues to rise while the alter- poses -will be an insufficient legal base natives to relocation diminish. for displacements caused by private investment, and the private sector will Second, both past and ongoing resettle- have to budget adequate resources to ment operations have suffered from lack cover the costs of relocation without of policy and legal frameworks. This impoverishment. vacuum undermines good implementa- tion and adequate resource allocation. Fourth, the measurements of outcomes There is a need for urgent action on on the ground are insufficient They these fronts in all developing countries often fail to call high level attention to that seek to remedy failing resettlement. recurrent grave problems. The crucial question to ask is whether the central Third, we can anticipate that private objective, the restoration of resettlers' sector investments will put new issues income, is achieved in each resettlement on Africa's resettlement agenda. The operation. In many domestic projects continent's national economies are no performance indicators on resettle- recovering now from the crises of the ment are built into the overall project 1980s and early 1990s and start growing indicators. It is essential to shift all again; the pressures to carry out various resettlement operations from a compen- involuntary resettlement operations will sation-focused approach to a people- also multiply when urban areas are centered and livelihood reconstruction upgraded, and attempts are made to approach. bring under control the largely unregu.. Social Assessment Series 35 African Involuntary Population Resettlement in a Global Context Fifth, there are certain fundamental tools, and institutional capacities for goals and procedures that must be carrying out resettlement adequately. taken into account during any resettle- ment operation. For the Bank, these standards are codified in its policy on involuntary resettlement In addition, the resettlement work being supported Nobody has found the perfect solution by IFC projects stands most clearly at governments and their agencies will the inltersection between public andgoen ntadthiaeceswl private interests. Based on lessons meet these challenges better by provid- derived from past experiences (World ing more opportunities for socially deriv 1996/994) pthe Bank will decline skilled professionals working on these Bank 1996/1994), roblems around the world to get to finance large scale projects causing involved in the complex planning and displacement that cannot meet its policy execution of resettlement, share their requirements. The Bank is prepared to assist borrowing governments in devel- experiences, and consistently pursue oping national or sectoral resettlement the goals of risk minimization and policies, legal frameworks, operational reconstruction of people's livelihoods. 36 Environment Department Papers Notes 1. An earlier, much shorter, version of 3. This overall Bankwide Resettlement this paper was presented in an Review was carried out by a central international conference in Uganda Task Force, led by the author of this and was included in: Involuntary paper. It became the most extensive Resettlement in Africa: Selected Papers internal review of a social issue in from a Conference on Environment and the history of the Bank and was Settlement Issues in Africa, edited by published in full (World Bank, 1994, Cynthia C. Cook. World Bank Tech- 1996; the 1996 reprinted version also nical Paper No. 227,1994, Washing- contains a detailed summary in ton, D.C. The present paper was French and Spanish). Rather than considerably revised, updated, and being a desk-bound, static stock- largely rewritten. It includes new taking exercise, the review was data, collected after the Uganda designed deliberately to become an conference, a broader review of the in-depth analysis of resettlement in social science literature on resettle- the field. The review process con- ment in Africa, and substantial new sisted of intensified field supervi- information on specific projects sion; analysis of project preparation, during the last several years. appraisal, supervision, and imple- mentation; on-site consultations with 2. To estimate this, the Bank requires NGOs and displaced people; devel- an economic analysis and projection opment of new technical tools; and a of the "with-and-without-the-project" considerable number of joint reme- type, that is applied usually for dial actions initiated by the Bank assessing returns and compare and the countries for projects that investment opportunities. This kind fell below established standards and of analysis must be applied also to objectives. define the resettlement project component and "packages", tailoring The Bank's management adopted the them so as to make possible Task Force's recommendations and resettlers' equitable reestablishment. directed the Bank to carry out exten- Social Assessment Series 37 African Involuntary Population Resettlement in a Global Context sive follow-up activities to remedy resettlement specialists, the work on the problems signaled by the review. resettlement law for the Central Management decided that the Bank Africa Republic was carried out by will decline to finance projects that Kristine Ivarsdotter, later assisted by cause large scale displacement if the Eric Brusberg. The development of country does not have or does not the Uganda draft resettlement policy adopt an adequate policy and legal was undertaken under the general framework for resettlement. In turn, supervision of Dan Aronson, princi- the Bank's Board of Executive Direc- pally by Martin Ter Woort and tors mandated annual reports on Nightingale R-Ngaiza. The ongoing progress in remedying projects with policy dialogue between the World resettlement problems, as well as Bank and C6te d'Ivoire to achieve a strategic actions to improve the forestry sector resettlement policy Bank's work on resettlement more has been led initially by Cynthia C. generally. The first report covered Cook and then by Cyprian Fisiy. Of the progress made over the first course, each of these efforts would post-review year (World Bank, 1995). not have been possible without the It showed that the Bank's policy extensive efforts of specialists, civil came out improved and strength- servants and/or elected officials ened from the iterative analysis of from the Central African Republic, experiences in all its borrowing C6te d'Ivoire, and Uganda. countries, including African coun- tries. 5. Dan Aronson, personal communica- tion, July, 1996. 4. In each of the three countries, the work for developing national re- 6. Dan Aronson, personal communica- settlement policies was the result of tion. extended efforts by World Bank staff and consultants, together with the 7. Cynthia Cook, personal communica- countries' government officials, tion. interested NGOs, some scholars, etc., 8. Cyprian Fisiy, personal communica- over a period of years, to solve tion, May 1996. specific project-related resettlement problems. From among the Bank's 38 Enviromnent Department Papers References Achunine, Basil Obi. 1992. "Urban Relo- Amartefio, G. W. et al. 1966. Tema cation: Policy and Practice Evaluation of Manhean: A Study of Resettlement. Plan- Relocation Programmes in Nigeria." Pa- ning Research Studies No. 3. Accra, Ghana: per presented at the Expert Group Meet- Ghana Universities Press. ing on Evaluation of Experience with Re- location Activities. IHS, Rotterdam, The Amaugo, G.O. 1977. 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Washington, D.C. 20433 2024733641 202 477 0565 .-x Printed on 100% .ost-nsumer recycled paper'. Printed on ' .0 post-cpsur e,recycldipape