SFG4090 Government of the Republic of Malawi The Roads Authority MALAWI FLOOD EMERGENCY RECOVERY PROJECT IDA Credit/Grant No.: IDA56360 RFP No.: RA/CON/2015-16/10 Consulting Services for: Design Review, Pre-Contract Services of the Chikwawa - Chitseko-Seveni (S152) Road Construction Works FINAL REPORT VOLUME 5B: RESETTLEMENT ACTION PLAN (RAP) Bua Consulting Engineers P. O. Box 30122 Lilongwe 3. MALAWI Tel : (265) 754 628 Fax : (265) 752 306 E-mail :bua@malawi.net July, 2017 CONTENTS LIST OF ACRONYMS / ABBREVIATIONS ....................................................................................... iv EXECUTIVE SUMMARY.....................................................................................................v Structure of the Report......................................................................................................... xii 1.0 CHAPTER ONE: PROJECT DESCRIPTION ................................................................................... 1 1.1 INTRODUCTION ............................................................................................................1 1.2 PROEJCT LOCATION ....................................................................................................1 1.3 PROJECT PROPONENT .................................................................................................2 1.4 PROJECT DURATION AND COST ................................................................................2 1.5 PROJECT PHASES ..........................................................................................................2 1.5.1 DETAILED ENGINEERING AND DESIGN REVIEW PHASE............................................ 2 1.5.2 CONSTRUCTION PHASE .................................................................................................... 3 1.5.3 DECOMMISSIONING PHASE ............................................................................................. 3 1.5.4 OPERATION PHASE............................................................................................................ 3 1.6 EXISTING LAND USE AND LAND REQUIREMENTS ................................................3 1.7 COMPENSATION FOR AFFECTED PEOPLE ...............................................................4 1.8 OBJECTIVES OF THE RESETTLEMENT ACTION PLAN ...........................................4 1.9 METHODOLOGY FOR THE PREPARATION OF THE RAP ........................................5 1.9.1 Site visits ............................................................................................................................... 5 1.9.2 Literature review .................................................................................................................... 5 1.9.3 Consultation with stakeholders ............................................................................................... 5 1.9.4 Additional Consultations ........................................................................................................ 7 1.9.4.1 Composition of the Resettlement Working Group ............................................................ 8 1.9.4.2 Roles of the Resettlement Working Group ....................................................................... 8 1.9.4.3 Composition of the Grievance Redress Committee .......................................................... 8 1.9.5 Socio-Economic Survey ......................................................................................................... 9 1.10 INSTITUTIONAL ARRANGEMENTS ....................................................................... 10 1.10.1 Composition of the Resettlement Working Groups ............................................................. 12 1.11 CAPACITY BUILDING FOR RAP IMPLEMENTATION .......................................... 12 2.0 CHAPTER TWO: POLICY AND LEGAL FRAMEWORK ........................................... 14 2.1 THE CONSTITUTION OF REPUBLIC OF MALAWI (1995) ....................................... 14 2.2 THE MALAWI NATIONAL LAND POLICY (2002) .................................................... 14 2.3 LAND ACT (1969)......................................................................................................... 14 Page i of 106 2.4 LAND ACQUISITION ACT (1971) ............................................................................... 15 2.5 TOWN AND COUNTRY PLANNING ACT (1988) ...................................................... 15 2.6 PUBLIC ROADS ACT (1962)........................................................................................ 15 2.7 MONUMENTS AND RELICS ACT (1991) ................................................................... 16 2.8 FOREST ACT (1997) ..................................................................................................... 16 2.9 National Gender Policy (2011) ........................................................................................ 16 2.10 WORLD BANK SAFEGUARD POLICIES ................................................................. 17 2.10.1 OP/BP 4.01 Environmental Assessment ............................................................................. 17 2.10.2 OP/BP 4.10 Indigenous Peoples ......................................................................................... 17 2.10.3 OP/BP 4.11 Physical Cultural Resources ............................................................................ 17 2.10.4 Bank Policy on Gender and Development (OP/BP 4.20) ........................................... 17 2.11 WORLD BANK RESETTLEMENT POLICY (OP/BP 4.12) ........................................ 18 2.12 GAPS BETWEEN NATIONAL LAW AND THE BANK’S POLICY .......................... 19 3.0 CHAPTER THREE: RESETTLEMENT IMPACTS AND MITIGATION ...................... 24 3.1 POTENTIAL IMPACTS ................................................................................................ 24 3.2 ELIGIBILITY................................................................................................................. 26 3.3 DETERMINING CRITERIA .......................................................................................... 26 3.4 IDENTIFYING THE ELIGIBLE .................................................................................... 27 3.5 RELOCATION AND ENTITLEMENTS ....................................................................... 27 3.6 VALUATION METHOD ............................................................................................... 27 3.7 CUT-OFF DATE TO ENTITLEMENTS ........................................................................ 28 3.8 VALUATION OF AFFECTED ASSETS ....................................................................... 28 3.8 PRINCIPLES OF THIS RAP .......................................................................................... 31 3.8.1 Minimization of displacement .............................................................................................. 31 3.8.2 Livelihood restoration .......................................................................................................... 31 3.9 MITIGATING RISKS ASSOCIATED WITH MIGRANT WORKERS .......................... 32 3.10 CODE OF CONDUCT FOR WORKERS ..................................................................... 33 4.0 CHAPTER FOUR: ACQUISITION AND NOTIFICATION PROCEDURES ................ 34 4.1 LAND ACQUISITION ................................................................................................... 34 4.2 NOTIFICATION PROCEDURES .................................................................................. 35 5.0 CHAPTER FIVE: CONFLICT RESOLUTION AND RESETTLEMENT ...................... 36 5.1 PROCEDURES NEGOTIATIONS AND CONFLICT RESOLUTION ........................... 36 5.1 Procedures negotiations and resolution of conflicts ......................................................... 36 Page ii of 106 5.2 Procedures for grievance redress ..................................................................................... 36 5.3 Grievance ....................................................................................................................... 36 5.4 Grievance redress principles ........................................................................................... 37 5.5 Grievance redress process ............................................................................................... 38 6.0 CHAPTER SIX: IMPLEMENTATION SCHEDULE ..................................................... 41 7.0 CHAPTER SEVEN: MONITORING AND EVALUATION .......................................... 43 7.1 INDICATORS ................................................................................................................ 43 7.2MONITORING ............................................................................................................... 49 7.3REPORTING................................................................................................................... 49 8.0 CHAPTER EIGHT: CONCLUSION .............................................................................. 50 9.0 REFERENCES ............................................................................................................... 51 ANNEX 1: PUBLIC CONSULTATION REPORT............................................................... 53 ANNEX 2: FORMATION OF THE RESETTLEMENT WORKING GROUPS AND GRIEVANCE REDRESS COMMITTEES ........................................................................... 59 ANNEX 3: LIST OF PEOPLE THAT ELECTED RESETTLEMENT WORKING GROUPS AND GRIEVANCE REDRESS COMMITTEES.................................................................. 63 ANNEX 4: CODE OF CONDUCT FOR ALL CONTRACTORS EMPLOYEES ................. 69 ANNEX 5: ACTION PLAN FOR MITIGATING RISKS ASSOCIATED WITH MIGRANT WORKERS ON THE THABWA- CHITSEKO- SEVEN ROAD.......................................... 70 ANNEX 6: VALUATION REPORT ................................................................................... 86 ANNEX 7: EXPROPRIATION OF PROPERTIES………………………………………….88 ANNEX 8: EXPRPOPRIATION OF TREES ......................... Error! Bookmark not defined. Annex 9: Terms of Reference for Preparing the ESIA and RAP ............................................ 89 Page iii of 106 LIST OF ACRONYMS / ABBREVIATIONS ADC Area Development Committee CBO Community Based Organization DC District Commissioner EPA Extension Planning Area ESIA Environmental and Social Impact Assessment FGD Focus Group Discussion GoM Government of Malawi NGO Non-Governmental Organization NSO National Statistical Office PAP Project Affected Persons RA Roads Authority RAP Resettlement Action Plan RWG Resettlement Working Group STI Sexually Transmitted Infections TA Traditional Authority VDC Village Development Committee Page iv of 106 EXECUTIVE SUMMARY Introduction Malawi Government, through the Roads Authority and with funds from the World Bank intends to rehabilitate the 60 Km Chikwawa (Thabwa) to Seven Road, S162 also called East Bank Road. The proposed road project is in Chikwawa and Nsanje District in Southern Region. The road starts from Thabwa in Chikwawa and ends at seven in Nsanje. The proposed road project spans between Chikhwawa and Nsanje districts. The longest part of the road (45km) is in Chikhwawa while 15 km is in Nsanje district. The Road passes through the areas of T/A Mlilima and T/A Makhuwira in Chikhwawa district and T/A Mlolo in Nsanje district. Because of the scope and nature of works that will be undertaken before, during and after construction, the road project received an environmental classification of Category 1. The classification of category 1 means that there is need to carry out an Environmental and Social Impact Assessment (ESIA) and develop a Resettlement Action Plan (RAP) as required by the Environmental Management Act (1996), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Safeguard Policies (OP 4.01 and OP 4.12) and in line with the Roads Authority Environmental and Social Management Guidelines for the Road sector. The project is estimated to cost USD 18 million and has an economic design life of 20 years and a construction period of 15 months. It is expected that a total of 3,000 people shall be employed. The Roads Authority awarded a contract to Bua Consultants for the preparation of the detailed designs and preparation of the Environmental and Social Impact Assessment (ESIA) and the Resettlement Action Plan (RAP). Consultations were held with different groups of people in the process of developing this Resettlement Action Plan. These included the District Commissioner Chikhwawa and his staff, Traditional Authority Mlilima, Traditional Authority Makhuwira in Chikhwawa and Traditional Authority Mlolo in Nsanje. The Project Affected People (PAPs) were consulted in all trading centres along the road. These included Fatima in Nsanje, Mfera, Livunzu, Nkhate, Mapelera, Mitondo, and Dembo in Chikwawa district. The total number of project affected people is 1,550 comprising of 714 property PAPs and 836 tree PAPs. Following the finalization of the assessment of property and trees, the cutoff date for compensations is 2 nd March 2017 which is the date when the census for all properties and trees that are within the road reserve was completed. As part of this RAP, an Action Plan has been developed for managing risks associated with an influx of migrant labour into the construction sites (see Annex 9). This action plan is generic to all civil works under the Malawi Floods Recovery Project. However, it will be customized for each sub project and the contractor will be required to develop a site specific action plan using the main action plan as a guide. Further consultations will be carried with the communities and with the workers by the contractor and supervision consultants before and during the construction works, and that these will be embedded in the contractor's contract. Page v of 106 Rationale for the project The upgrading of the proposed road is aimed at providing a reliable road and concrete deck bridges, which will enhance the usage of the road network throughout the year. The need to upgrade this road and bridges follows the devastating floods of December 2014 to January 2015 that caused severe damage to this road and bridges. Project activities The proposed project will upgrade the existing road to gravel standard and construction of bridges across Chilengo river, Livunzu river, Chizimbi river, Phala river, Nafafa river, Malunga Mwamngóno river, Mwamphazi river, Nkudzi rover, Mapelera river, Nkhate river, Limphangwi river, Thangazi river, Chinolo river, Malunga Wankulu, Nantibule and Makhuwira drain. A number of activities will be carried out to accomplish the rehabilitation exercise. The activities shall be implemented under four major phases namely planning, construction, demobilization, and operation and maintenance phases. Activities under planning phase shall include surveying the road, identification of borrow pits, geometric design of the road, earthworks design, bridge and culvert designs, road pavement design, feasibility studies including economic analysis, ESIA and RAP preparation and budget calculations. Activities under construction phase shall include site establishment and mobilization including construction of camps, construction of diversions, site clearance, maintenance of bridges and culverts, construction of earthworks, construction of pavement layers (gravel and crushed stone materials), asphalt surfacing, construction of ancillary works such as bus bays, marker and kilometre posts, guardrails, road marking and landscaping. Activities under demobilization will include making safe components of the project, and this will include restoring the areas occupied by the project to other beneficial uses. Activities during operation and maintenance phase of the road will include commissioning of the road for use. As the road will be used, with time, some sections will be damaged and will be in need of maintenance. Aim and objectives of the Resettlement Action Plan The overall aim of this preliminary resettlement action plan (RAP) is to: a) Raise awareness of the project and its consequences among the general public and particularly among those people who will be directly affected by the project; b) Set out strategies to mitigate against adverse effects suffered by the PAPs including provision of channels and platforms for negotiations; c) Assess the potential extent of involuntary resettlement relating to the Project; d) Identify the possible impacts of such resettlement; Page vi of 106 e) Identify different categories of Project Affected Persons (PAPs) who will require some form of assistance, compensation, rehabilitation or relocation; f) Quantify different categories of Project Affected Persons (PAPs) who will require some form of assistance, compensation, rehabilitation or relocation; g) Provide guidelines to stakeholders participating in the mitigation of adverse social impacts of the project; and h) Estimate the costs necessary for resettlement and compensation. The RAP is based on different international and national laws, policies and procedures related to involuntary resettlement. The resettlement scoping included the following sub-activities: i) A socio-economic baseline survey of affected persons and their assets; and ii) Consultations with persons potentially affected by the project, to inform them of project activities, the likely time frame, and the type compensation likely to be effected; Methodology for the preparation of the RAP Information for the preparation of this preliminary RAP was collected through primary and secondary sources. Major steps used for this study included: a) Observation from site visits; b) A desktop review of documents and other secondary data; c) Review of the existing conditions of some of the project impact areas; d) Review of typical implementation approaches and processes for the road rehabilitation works; e) A desktop review of documents and other secondary data; f) Interviews with government authorities and local government officials; and g) Socio economic survey, community meetings and focus group discussions with communities. Extent of Resettlement From the assessments that were undertaken along the road section, a total of 714 Project Affected People (PAPs) that have business or residential property along the road will be affected. These assets include hawkers, grocery shops, barber shops, houses, toilets and signage posts. On the other hand, a total of 836 tree PAPs will be affected. These are people who own exotic and fruit trees within the road reserve. These project affected people are located within the areas of Traditional Authority Mlilima, Katunga, Maseya, Makhuwira and Mlolo. The majority of the Project Affected People are business men and women whose homesteads are away from the road reserve. They established their businesses along the road because of the business opportunities that exist along the road. The major trading centres that will be affected by the road construction works include Thabwa, Dembo, Mapelera, Livunzu, Nkhate, Mitondo and Fatima. It is expected that during construction and after receiving compensation, these people will continue to operate their businesses and perhaps access a larger market due to the migrant workers that will flood the area. Compensation Entitlement The losses that the Project Affected People (PAP) s shall suffer will include temporary loss of access to agricultural land, income, housing, proximity to utilities and social amenities. The Page vii of 106 identification of persons eligible for compensation and resettlement in the project area will be based on the following criteria: a) Persons losing land with or without legal title; b) Persons losing temporary or permanent access or rights to services; c) Persons losing business or residential property; d) Person with homes, farmland, structures or other assets affected by construction-related activities; e) Vulnerable individuals who may be too old or ill to fend for themselves. These PAPs shall receive additional assistance; f) Members of the household who cannot reside together because of cultural rules, but depend on one another for their livelihood; g) Members of the household who may not eat together but provide housekeeping or reproductive services, critical to the family's maintenance; h) Persons that incur losses whether partial or total and whether they have their own land or; i) Rented land, including those that rent or occupy buildings individually or as a group for business or as households. The laws and policies of Malawi consider all titled landowners, customary landowners, encroachers (who have settled before the cut-off date), persons affected by loss of access to sources of income and persons affected by loss of access to natural resources (water, wood, grazing areas etc.), as PAPs. Therefore, PAPs will be entitled to compensation based on the status of their occupation of the affected areas. Land for land compensation is considered to be appropriate for people whose livelihoods are land based. However, the project impact area does not have any idle land for the traditional leaders to distribute to their subjects. Cash compensation will therefore be considered. Valuation of Property for Compensation The valuation of property of the Project Affected People was done in accordance with the relevant laws and policies and was done by the Ministry responsible for lands. The approach to valuation of property that was followed is the Comparative Replacement Cost Method. The valuation took into account all relevant factors regarding the current property market in this area and based on the certified values’ knowledge of the property market. A 10 percent mark-up was added to the assessed value of the property to cater for resettlement assistance or as disturbance allowance in line with entitlement matrix. The calculations for trees include a 10 percent premium on the estimated value of the tree for exotic or planted trees. For fruit trees the calculation is based on the number of fruits each tree produces, the unit cost of the fruit and the estimated lost value of the fruit until the replacement seedlings mature as stipulated in the entitlement matrix. Based on the above valuation and estimation procedure for compensation entitlements, the compensation amounts for property along this road is estimated at MK695, 559,795 (Six hundred Ninety five million Five Hundred and Fifty Nine Thousand Seven Hundred and Ninety Five Kwacha Only) and for trees and fruits the compensation amount is estimated MK108, 235,755.00 (one hundred and eight million, two hundred and thirty five thousand seven hundred and fifty five kwacha only). This brings the total amount of compensation for the road to MK803,835,550.00. Page viii of 106 Livelihood Restoration Programs opportunities The PAPs whose livelihoods have been affected are getting 10% premium on top of the assessed values of their property. In addition to that, they will be offered complimentary support such as employment from the contractors during construction. The contractor will be requested to allocate a certain percentage of unskilled work to local people including the vulnerable groups. In addition, since most of the PAPs are those that are operating businesses along the road, they will have increased business opportunities arising from the migrant workers and increased incomes that will come from the wages. Other tangible livelihood restoration plans such as provision of training in business management and savings and investment will be provided to the PAPs. This will be done by engaging the COMSIP Union which has already demonstrated its expertise in other Bank funded projects such as the Malawi Social Action Fund (MASAF III and IV) and the Shire River Basin Projects. The Business skills training will be organized by COMSIP so that PAPs and Vulnerable can have savings and investment skills which would improve their incomes and livelihood sources for a long period of time. These Village Savings Loans groups are commonly patronized by women which brings in an aspect of empowerment to these women. Identification of Vulnerable Groups among the PAPS Efforts were made to identify vulnerable groups among the PAPs. The vulnerable groups in this respect were identified as female headed households, elderly headed households, households headed by children and or extremely poor households. It proved to be a bit difficult to identify such households during consultations with the PAPs. However through observations, it was possible to identify a few households in this category especially among tree PAPs. The vulnerable PAPs will be paid an additional 10 percent cash over and above their total entitlements to offer them additional assistance. Management of Affected Utilities along the road corridor There are a number of utilities including electricity poles and wayleaves, water pipes and irrigation pipes belonging to various government agencies and departments. While this RAP has been unable to quantify the numbers of electricity, water and irrigation installations, discussions will be held with the utility companies to do an assessment and re-route the utility installations along the corridor. Government will meet the cost of re-routing or replacement of the affected pipes, electricity installations and irrigation pipes and channels. Institutional and Organizational Framework The Roads Authority will have the overall responsibility for coordinating and monitoring implementation of the RAP. The Chikwawa and Nsanje District Councils in adherence to the Constitution of the Republic of Malawi which provides fundamental rights in land entitlement to the citizens, shall make every effort to ensure that no land is acquired against the will of any person(s), exercising rights over their land. District Councils and Local Leaders/Chiefs will have the role to interface the PAPs with the RAP implementing authorities. The Roads Authority will oversee the progress of land acquisition through the Chikwawa and Nsanje District Councils. The Councils will initiate land acquisition, secure replacement of land and prepare and maintain records for the PAPs. The Village Page ix of 106 Development Councils will work together with the District Councils to implement the resettlement and rehabilitation activities, among other activities. Participation and Public Consultation A comprehensive public consultation program was undertaken to ensure that all of the information pertaining to the project and its likely impacts is disseminated, in order to implement it in a transparent manner. Particular focus was given to the issues related to involuntary resettlement. In line with the above, the Consultants held a number of meetings with traditional authorities, the Project Affected Persons through household interviews and group discussions along the proposed road project. The meetings were well attended by different interested parties in the potentially affected project area, and the PAPs were accorded special attention. The consultation process provided an opportunity for stakeholders, and particularly the PAPs to express their views and opinions on the project and to raise issues of concern relating to the Project. Major issues discussed during consultations included: a) Expected benefits from the project which shall include short term employment during the construction period, which the people welcomed; b) Loss of land, which called for discussion on compensation amounts, participation of the community in valuation, the assessment of different crops, and compensation for dual seasonal planting; c) Involvement of women and youth in the project which will include employment opportunities, position of women and youth around landholding tenure and farming; and d) Health concerns, which will involve the spread of Sexually Transmitted Infections (STI)s, particularly HIV/AIDS, an increase in water-borne diseases particularly malaria. The Consultant also held meetings with officials from the Project impact areas. The discussions mainly covered: importance of the proposed road, impacts of the rehabilitation works for the project, loss of land and property close to the road project, handling of disputes, grievance handling in case of damage of property along the proposed road. Three series of consultations have taken place along the road project between June 2015 and February 2017 The Roads authority undertook further consultations with the Project Affected People, Traditional leaders and government officials in Chikwawa and Nsanje districts. These consultations were aimed of sensitising the PAPs, traditional leaders and government officials about the design changes that have been effected on the road over a period of time and facilitating formation of Resettlement Working Groups and Grievance Redress Committees. A total of Seven Resettlement Working Group Committees and Grievance Redress Committees have been established to handle any grievances that the PAPs may have and trigger the formal redress process. Page x of 106 Gender Concerns Vulnerable groups, especially women-headed households, will obtain benefits equal to men in the project. Further, in some mitigation measures, they will be better placed with a view to enhance their economic and social wellbeing. A number of meetings were held with the women groups, who brought out issues like the equal role of men and women, project benefits to women groups, raising awareness level among the women groups, opportunities for women during the RAP implementation and gender sensitive positive project monitoring and evaluation for consideration of the project proponents. Sensitization and consultation meetings with the project stakeholders including chiefs, head teachers, Project Affected People also covered issues of HIV/AIDS. Topics for discussion included HIV/AIDS prevention, including other sexually transmitted infections, avoidance of sexual contacts between the migrant workers and the communities, especially children and other vulnerable groups along the road project. The head teachers of the surrounding schools such Livunzu, Mapelera and others. During construction, an NGO will be hired during construction to undertake further sensitization on HIV/AIDS, Child labour and Occupational Health and Safety Issues. Both the contractor and the supervising consultant will have safeguard specialists on their team to ensure that this is done. The RA will provide regular monitoring of these activities. Grievance Procedures The Malawi Floods Emergency Recovery Project has developed a Grievance Redress Mechanism which has been institutionalised for the whole project. The MFERP Grievance Redress Mechanism has developed an intuitional structure for receiving, processing and resolving grievances at various levels. Focal persons have been designated in all implementing institutions to ensure that all grievances are recorded, resolved and reported. Some budgetary allocations have also been made to ensure that the grievance redress process is operational and effective. The procedure for handling grievances will be as follows: a) The affected person should file her/his grievance in writing (in English or the local language that s/he is conversant with), to the Local Leader. The grievance note should be signed and dated by the aggrieved person. Where the PAP is unable to write, he should obtain assistance to write the note and emboss the letter with his thumb print. b) The Local Leader should respond within 14 days during which any meetings and discussions to be held with the aggrieved person should be conducted. If the grievance relates to valuation of assets, experts may be requested to revalue the assets, and this may necessitate a longer period of time. In this case, the aggrieved person must be notified by the Local Leader that his/her complaint is being considered. If the local leader cannot provide an appropriate solution to the problem, the problem will be referred to the RGW to use established mechanisms of grievance redress, which may include the presence of peers of the PAP and other local leaders. c) If the aggrieved person does not receive a response or is not satisfied with the outcome within the agreed time (s)he must lodge his grievance to the District Council and the District Council must inform Government of the complaint d) The Council will then attempt to resolve the problem (through dialogue and negotiation) within 14 days of the complaint being lodged. If no agreement is reached at this stage, then the complaint is taken to the Courts of Law. Page xi of 106 Monitoring and Evaluation Monitoring and evaluation will form an integral part of project implementation, providing the necessary information about the involuntary resettlement aspects of the project, measuring the extent to which the goals of the RAP have been achieved and the effectiveness of mitigation measures. Indicators and targets will be established for the project as a whole, in consultation with representatives of the affected communities and other key stakeholders. Indicators are usually grouped into the categories as spelt out in the RAP including: input indicators, output indicators, outcome indicators, impact indicator and performance indicators. This RAP also details out the performance monitoring, impact monitoring and qualitative monitoring. Resettlement Costs It is estimated that a total of MWK803,835,550 of which MWK695,559,795 is for properties and MK108,235,755 is required to compensate the affected people on the affected trees and crops. This amount is a final estimate after a verification exercise of the PAPs which was jointly undertaken by the Roads Authority, Roads Fund Administration and the Ministry of Lands, Housing and Urban Development. Conclusion The Project’s major disadvantage is the displacement and relocation of both people and businesses. However if this RAP is followed then the people displaced will suffer minimum inconvenience. This will be done under the RAP: The contractor will be expected to develop the site specific ESMP, commonly known as the Contractor’s Environmental and Social Ma nagement Plan (CESMP) to manage site specific risks associated with migrant workers, gender based violence, HIV/AIDS and other social and environmental impacts during mobilisation phase, construction phase and demobilisation phase. Structure of the Report This Resettlement Action Plan is presented in 10 chapters as follows; Chapter one is the Project description. The chapter covers what the Thabwa-Chitseko Seven road is all about, the distance it covers, the traditional authorities through which the road passes and what necessitated the improvement of the road. The chapters also covers the scope of works that will be implemented under the project and presents the rationale for developing the Resettlement Action Plan (RAP). Chapter two discusses the legal and policy framework that has informed the preparation of the Resettlement Action Plan, both from the borrower (Government of Malawi) and the World Bank. Chapter three discusses the Potential Resettlement Impacts of the proposed project and the mitigation measures that can be put in place to avoid or minimise the impacts on the Project Affected People (PAPs). Chapter 4 discusses procedures for acquisition of land and Page xii of 106 associated assets and procedures for resettling the Project Affected People (PAPs) while chapter presents conflict resolution in the resettlement process. Chapter six discusses the RAP Implmentation approach and chapter seven covers the measures that have been put in place for monitoring and evalauation of the RAP implementation. Chapter eight covers the conclusion of the RAP and finally, chapter nine presents the references that have been used to come up with the RAP. The RAP also has a total of Nine annexes. Annex 1 is the Public Consultations report. Annex 2 and 3 is the formation of Resettlement Working Groups and the election of Resettlement Working Groups and Grievance Redress Committee (GRCs) respectively. Annex 4 is the code of Conduct for for Contractors Employees and Annex 5 is the Action Plan for mitigating risks associated with migrant workers. Annex six is the valuation report and annexes seven and eight are the details on expropriation of properties and trees respectively. Annex 9 are the Terms of Reference for preparing the ESIA and RAP for this road project. Page xiii of 106 1.0 CHAPTER ONE: PROJECT DESCRIPTION 1.1 INTRODUCTION The Government of Malawi (GoM) through the Roads Authority has proposed to upgrade the S152 (East Bank) Road from Thabwa to Chitseko to Seven. The road which is 60Km long will be upgraded from earth to gravel with 7.0 carriage way and 1.0-1.5 sealed shoulders in accordance with the MoTPW/SATTC guidelines on road design standards. The road reserve for S152 East Bank road will be 30 metres. Upgrading of S152 road is expected to facilitate safe, reliable, efficient, economic and environmentally friendly travel and transportation of people and goods thereby reducing travel time and cost. The upgrading of Thabwa-Chitseko-Seven (S152 East Bank) Road is expected to contribute to the economic development of Malawi. The project involves the rehabilitation by the Government of Malawi (GoM) through the Roads Authority of the S152 (East Bank) Road which runs from Thabwa in Chikwawa though Chitseko to Seven in Nsanje. The road which is 60Km long will be upgraded from earth/gravel to bitumen class II with 9.0 carriage way and 1.0-1.5 sealed shoulders in accordance with the MoTPW/SATTC guidelines on road design standards. The road reserve for S152 East Bank road will be 30 metres. Upgrading of S152 road is expected to facilitate safe, reliable, efficient, economic and environmentally friendly travel and transportation of people and goods thereby reducing travel time and cost. The upgrading of Thabwa-Chitseko-Seven (S152 East Bank) Road is expected to contribute to the economic development of Malawi. However, the proposed works were necessitated by the flooding that occurred in January 2015. The works on the road are expected to displace some people from their homes or their sources of livelihoods by either re-locating them or restricting their access to socio and economic services. This resettlement Action Plan is therefore prepared to identify the potential impacts, identify the Project Affected People, and determine the level of compensations and assistance that is required for each one of the affected persons depending on their legal status of their resettlement. 1.2 PROEJCT LOCATION The S152 Road is located in Chikwawa and Nsanje districts, in southern Malawi. The road starts from Thabwa through Chitseko to Seven (figure 2 refers). Page 1 of 106 Figure 1: Map of Chikwawa showing east bank road 1.3 PROJECT PROPONENT The proponent of the project is Malawi Government. The projects will be implemented under the guidance of the Roads Authority (RA) who has contracted Bua Consulting Engineers to undertake design review and construction supervision. The funding for the project will be provided by the World Bank (WB). Details of the project proponent are as follows: Proponent Name : Roads Authority Postal Address : Private Bag B 346, Lilongwe 3, Malawi Physical Address : Functional Building, Off-Paul Kagame Road, Lilongwe Contact Person : The Chief Executive 1.4 PROJECT DURATION AND COST The project will take approximately 15 months to complete and will be commencing in July 2017. The actual cost of the project is estimated at US$ 18 million. 1.5 PROJECT PHASES The project will involve four main phases as follows: 1.5.1 DETAILED ENGINEERING AND DESIGN REVIEW PHASE The design review phase which includes this EIA report involves detailed engineering surveying of the road, designs and approvals. The design review is being undertaken by Bua Consulting Engineers in readiness of tendering and construction works. Page 2 of 106 1.5.2 CONSTRUCTION PHASE Construction phase will commence after approval of the design review reports and plans by relevant authorities including the Department of Environmental Affairs. Construction activities will include the following: I. Civil works including land clearance, excavations, leveling and construction of diversions II. Construction of the road, bridges and drainage works as well as workers camps. The main input materials for construction of the road will be quarry stone, bitumen and ex-situ and in-situ materials. The materials for drains and culverts shall comprise cement, quarry stone and bricks. 1.5.3 DECOMMISSIONING PHASE Decommissioning phase involves removal and disposal of remaining debris as well as workers camps. All debris shall be disposed of at designated sites recommended by Chikwawa and Nsanje District Councils. 1.5.4 OPERATION PHASE Operation of the S152 Road will commence as soon as construction works are completed. The road is expected thereafter to contribute to local and national development as expected in the MGDS II, in particular by facilitating easy movement of goods and people to various places in Malawi. Figure 1: Condition of the existing Road 1.6 EXISTING LAND USE AND LAND REQUIREMENTS Page 3 of 106 The project corridor is mainly surrounded by settlements, most of which are in linear settlement pattern. Some infrastructure also includes utility services such as electricity, boreholes and water pipes as well as social infrastructures such as schools, hospitals, business buildings and local markets. The proposed road project will require extra land due to: a) Creation of a road reserve of 36 m, that is, 18m from the centre of the existing road to either side of the road. There are several existing buildings and trees in the road that will require to be removed; b) The road being realigned while in other places it will be due to diversions; and c) Drainage systems, borrow pits and campsites to be situated on land that belongs to different individuals. 1.7 COMPENSATION FOR AFFECTED PEOPLE All the people and institutions whose land will be utilized for the road reserve, diversions and construction of drainage systems, borrow pits, campsites and loss of businesses and infrastructures will be compensated accordingly. Several people will be affected either because their houses or their farms and other property will be destroyed or damaged to give land for the road. Furthermore some cultivable land will be lost to the project. Most of the land is accommodating both fruit and indigenous trees. To that effect, the population along the project impact area was sensitised of the development and most of them welcomed the project. The final property valuations were formerly conducted by government department of Regional Commissioner for Lands (south) within the framework of this RAP. The valuation of trees was conducted by the District Commissioner’s office through the district lands officer. 1.8 OBJECTIVES OF THE RESETTLEMENT ACTION PLAN This RAP has been prepared in line with the applicable policy provisions of Malawi Government and the World Bank. The policies require that a RAP be prepared for all projects that anticipate land acquisition and displacement affecting shelter, livelihood and associated impacts. Basically, the RAP presents an inventory (register) of people likely to be affected by development of the road, a register of the assets that are likely to be displaced by the project and the proposed compensation and resettlement packages. Specifically the RAP was prepared in order to: a) Raise awareness of the project and its consequences among the general public and particularly among those people who will be directly affected by the project; b) Set out strategies to mitigate against adverse effects including provision of channels and platforms for negotiations; c) Assess the potential extent of involuntary resettlement relating to the Project; d) Identify the possible impacts of such resettlement; e) Identify different categories of affected people who will require some form of assistance, compensation, rehabilitation or relocation; Page 4 of 106 f) Quantify different categories of affected people who will require some form of assistance, compensation, rehabilitation or relocation; g) Provide guidelines to stakeholders participating in the mitigation of adverse social impacts of the project; and h) Estimate the costs necessary for resettlement and compensation. 1.9 METHODOLOGY FOR THE PREPARATION OF THE RAP Information for the preparation of this preliminary RAP was collected through primary and secondary sources. Major steps used for this study included: a) Observation from site visits to review of the existing conditions of some of the project impact areas; b) Review of typical implementation approaches and processes for the road rehabilitation works; c) A desktop review of documents and other secondary data; d) Interviews with government authorities and local government officials; and e) Socio economic survey, community meetings and focus group discussions. 1.9.1 Site visits The visits were conducted between December 2015 and February 2017 in order to acquaint the consultants with the setup of the project impact areas and to get verifiable information about the area. The visits further provided an opportunity for the experts to interact with members of the communities and staff from relevant ministries and departments. 1.9.2 Literature review Among the documents, the desk study looked at the Constitution of the Republic of Malawi, the National Land Policy, National Environmental Policy Environmental Guidelines for Roads Sector, Forestry Policy, World Bank Resettlement Policies, the Environment Management Act, the Water Resources Act and the Land Act, Land Acquisition Act, Town and Country Planning Act, Public Roads Act, Forestry Act and other pieces of legislation relevant to the activities of the proposed project. The National Gender Policy of 2011 was also reviewed. Socio economic profiles and development plans were also reviewed. 1.9.3 Consultation with stakeholders To achieve the project’s objectives, the Consultants carried out consultations throughout the study period with all relevant stakeholders, mainly the Project Affected People. Details of the issues raised are provided in Annex 1 and Annex 2. The aims of public consultations were to: a) Disseminate concepts of the proposed project activities with a view to provoking project interest amongst the communities; Page 5 of 106 b) Promote sense of ownership for the project and resettlement activities; c) Determine communities willingness to contribute in kind towards the implementation of the project ;and d) Determine community willingness to contribute towards long term maintenance of Project facilities. Focus Group Discussions (FGDs) were held with women groups in the villages affected and other groups, to inform participants of the status of the Project, and to investigate their issues and concerns. Focus group discussions were held with women representatives from villages in all Project impact areas located along the road project corridor. The discussions mainly centred on: a) Road and its surroundings (land-use, natural resources, water, etc.); b) Most important features (market places, gathering sites, schools, clinics, quarries, borrow pits, access and feeder roads, etc.); c) Sensitive areas (protected areas, graveyards, historical sites, etc.); d) Socio-economic and environmental issues to arise from implementation of the proposed project activities; e) Gender and HIV issues; f) Resettlement and compensation of the PAPs; g) Where should construction materials be taken from/or not taken from; h) Employment opportunities; i) Road accidents and existence of black spots along the road; j) Benefits (increased trade and transport) and inconveniences due to increased traffic; and k) Positive or negative experiences with other contractors. Responses from the consultations conducted provided relevant background information and helped the consultants to identify major social and environmental concerns of the communities along the project impact area which have been instrumental in the preparation of this RAP report. From the discussions, it was observed that impacts from the rehabilitation of the proposed road are likely going to come from: a) Landscape – topography, vegetation, historic features, material finishes; b) Ecology – loss of bush habitat, disturbance due to noise, plant movements and human presence during construction, pollution; c) Planning and policies – land use, promotion of economic/social policies; d) Socio-economy – demand for land, water, food, supplies, labour, sexual activities, medical, entertainment, and educational facilities; e) Traffic and transport – construction traffic movements, air pollution, noise, dust, and risk to safety; f) Amenity and tourism – visual intrusion, air pollution, noise and dust; g) Archaeology and cultural heritage – known and unknown archaeological remains and structures of historical importance, grave yard, initiation camps, and place of traditional beliefs; Page 6 of 106 h) Hydrology and water quality – pollution and depletion of water resources during construction; and i) Air quality, noise and dust – operation of construction plant, movement of vehicles on site and access roads, creation of dust through excavation, blasting and vehicle movements. 1.9.4 Additional Consultations Additional consultations were held with the project affected people, traditional leaders and the District Commissioner for Chikwawa and her members of staff from the in November 2016 and in February 2017. The consultations were conducted by the Roads Authority, the Ministry of Lands, Valuation Office and the office of the District Commissioner for Chikwawa. Consultation meeting with PAPs at Mfera The objectives of these consultation meetings were as follows; 1. Re- orient the District Council, Traditional leaders and the about the need to have Resettlement Working Groups 2. Sensitize the Council and Traditional leaders about the need to have Grievance Redress Committee 3. Orient the PAPs about the Resettlement Working Group and Grievance Redress Committees 4. Facilitate election of Resettlement Working Groups and Grievance Redress Committees 5. Identify vulnerable groups of people at each market centre/trading centre 6. Orient the PAPs and Traditional leaders about the impending project, Migrant Workers and the influx of migrant workers and the dangers of HIV/AIDS and other STIs Page 7 of 106 7. Discuss any other social impacts of the project 1.9.4.1 Composition of the Resettlement Working Group  2 representatives of the traditional leaders (from the Group Village Headman of the area)  2 representatives of the Project Affected People  1 member of the vulnerable groups  A resettlement Working Group was formed at each major trading centre 1.9.4.2 Roles of the Resettlement Working Group  Help identify the real owners of property during verification and payment of compensations  Undertake preliminary investigation into any grievances that the PAPs may have  Clarify procedures and approaches that the PAPs have to follow if they have any grievances  Record and refer grievances to the grievance redress committee  Report back to the community or PAPS on how their grievances are being resolved 1.9.4.3 Composition of the Grievance Redress Committee  Two members of the Resettlement Working Group from each T/A  Two representatives of the Traditional Authority  One member of the vulnerable groups from each T/A  These groups will be provided with training or orientation on their roles and tasks just before the compensations are made. Following these meetings, a total of 7 Resettlement Working Groups and 7 Grievance Redress Committees were formed along the stretch of the road. Page 8 of 106 Election of Resettlement Working Group and Grievance Redress Committee at Dembo Trading Centre A Resettlement Working Group was formed at each one of the major trading centres with membership from minor or smaller trading centres. The full membership of these committees is including the issues that were raised during these consultation meetings is attached as annex III. 1.9.5 Socio-Economic Survey A survey of households was conducted in order to collect baseline information on socio- economic situation of the project. An inventory of local people likely to be affected along the route of traverse was prepared. The survey of affected assets of affected people generated preliminary details as follows: exact land acquisition requirements; affected houses / businesses; loss of private buildings and other structures; livelihood impacts; loss of produce; impacts on vulnerable groups. Asset valuation recognized three main parameters namely: a) Land to be acquired under the proposed project; b) Structures falling within the proposed road reserve; and c) Trees and crops falling under the proposed road reserve. The compensation package was derived from summation of the costs of affected land, buildings, trees and crops to which was added a 20% mark-up to cater for resettlement assistance or disturbance allowance. The addition of the mark-up to the calculated value will bring the value equal to prepayment value. For the crops and trees the values were estimated by looking at their current market value and multiplying it by the numbers of years it will take for the replacement crops to mature plus a 10 percent premium. Page 9 of 106 1.10 INSTITUTIONAL ARRANGEMENTS The Government of Malawi being the primary proponent of the project will have the overall responsibility of coordinating the implementation of the RAP through the Roads Authority. The Roads Authority will set up a project management team and a team to monitor the resettlement process. Specifically, the Roads Authority has hired a Social Specialist who will be responsible for monitoring the implementation of the RAP. The actual execution will be done by the contractors and the supervision consultants particularly during implementation. Table 1: Roles and Responsibilities for RAP Implementation No Institution Responsibility 1 Ministry of Lands, Housing and Valuation of properties and Trees Urban Development 2 Minstry of Finance and Economic Funding of compensations Planning 3 Approves Office of the President and Cabinet all compensation payments 4 Roads Fund Administration Payment of Compensations 5 Roads Authority Monitoring and Reporting on RAP Implementation 6 Local Authorities Follows up on grievances and handling of grievances or referring the grievances to Roads Authority 7 Resettlement Working Groups and Uptake of grievances, undertaking Grievance Redress Committees initial investigation, referall of grievance and providing feedback to the PAPs The contract with the construction contractor has specifically provided for the recruitment of a social and environmental specialist on his team to ensure that the social issues such as HIV/AIDS awareness, gender issues are addressed including avoidance of inappropriate contact between the migrant workers and the local people particularly children and school going adolescents is avoided. Page 10 of 106 Other relevant stakeholders such as Chikwawa and Nsanje District Councils (local government) and all the relevant ministries and departments such as the Ministry of Lands, the Ministry of Health, Ministry of Labour and Youth Development and the Office of the President and Cabinet will be involved where necessary both before and during construction and decommissioning. The interactions among the relevant institutions for purposes of managing resettlement and compensation are depicted in Figure 3. Other Government RA PROJECT MA NAGEMENT Departments, e.g. Dept. of Lands, OPC Local Resettlement Monitoring Team Government Working Group Grievance Redress Committee , PAP’s Figure 2: Interactions for implementation of the resettlement Action Plan Page 11 of 106 The contact persons and teams in each ministries will be oriented on ensuring that the exercise is done with respect and due care to all affected. Once all the groundwork has been done, the District Commissioners for Chikwawa and Nsanje will monitor implementation of the RAP. The Resettlement Working Groups (RWG) will interface the Project Management with the PAPs. The resettlement Working Groups have been constituted in such a manner as to be regarded as the primary representative voice of the affected persons. The RWG do not bear a direct relationship to the Area Development Committees (ADC) /Group Village Development Committees (VDC) and/or individual Village Development Committees that have already been established. 1.10.1 Composition of the Resettlement Working Groups The composition of the RWG are as follows: a) Elected representatives of the affected communities/villages. This will be made up of two members from each of the major trading centre to be affected by the project. At least one of the two members will be a woman; b) Representatives of the Traditional Authorities in each of the areas affected; The RWGs have also elected a person for one traditional authority who will be responsible for reporting on their activities to the community. The elected member/s of the RWG will make it a priority to report back to the appropriate development committees to keep them abreast of developments relating to the road project. Under the overall authority of its reporting person, the RWG has the following functions: a) Acting as the primary channel of communication between the various interest groups/organizations involved in the resettlement process. In particular, it will serve to facilitate communication between RA and the affected population; b) Solve amicably any problems relating to the resettlement process. If it is unable to resolve any such problems, it is to channel them through the appropriate grievance procedures; and c) Assume primary responsibility of assisting RA in overseeing the resettlement processes in all its phases. d) Assist government to protect the Road Reserve so that people do not encroach back into the road reserve after they have received their compensations. 1.11 CAPACITY BUILDING FOR RAP IMPLEMENTATION Implementation of the RAP requires capacity at various levels. At national level, the roads authority has recruited a Social Specialist to coordinate and monitor implementation of all social aspects of the road projects including implementation of the RAP. A number of training programmes are planned to further develop the capacity Page 12 of 106 of the officer to be appraised of all developments in the social sector and support the projects appropriately. The district councils will be sensitised on the RAP implementation and their roles throughout the project period in areas such payment of compensations, conflict resolution and grievance redress mechanism. At community level, the Resettlement Working Groups and the Grievance Redress Committees will be trained as the official representatives of the Project Affected People (PAPs). Some of the areas in which these committees will be trained in include how to record a complaint, investigating and verifying a complaint, filing and referral of complaints, feedback to the complainants, and preservation of the road reserve boundary. The community along the road will also be sensitised on several issues including their relationships with contractors, child labour, abuse and exploitation, safety during road construction, HIV/AIDS and other sexually transmitted infections, gender and gender based violence and all other related matters. These will be done through public awareness campaigns. The employs of the contractors will also be required to attend a one and half days mandatory training at the start of the project and half day training every month throughout the project period to build their capacity on a number of issues such as occupational health and safety, HIV/AIDS, Gender based violence, Child Abuse and Exploitation and generally how to relate with the receiving communities. Page 13 of 106 2.0 CHAPTER TWO: POLICY AND LEGAL FRAMEWORK Policy and legal framework on resettlement in Malawi is drawn from various government policies and pieces of legislation .In addition to a review of the Constitution of Republic of Malawi, other key government policies and pieces of legislation considered here include: Malawi National Land Policy, Land Act, Land Acquisition Act, The Public Roads Act, The Town and Country Planning Act, and the Forestry Act. The following paragraphs highlight some resettlement related requirements as enshrined in these statutes. 2.1 THE CONSTITUTION OF REPUBLIC OF MALAWI (1995) The Constitution of the Republic of Malawi guarantees land as a basic resource for social and economic asset for all Malawians. It affirms equitable access of land and ownership of property. The constitution also sets a benchmark on the issue of land acquisition. It provides in section 28(2) that “No person shall be arbitrarily deprived of property” and in section 44(4) that “Expropriation of property shall be permissible only when done for public utility and only when there has been adequate notification and appropriate compensation provided that there shall always be a right to appeal a court of law”. In regard to these facts, it will be necessary for the community to provide adequate land to for displaced persons. The Constitution of Republic of Malawi further guarantees security of tenure of land and free enjoyment of legally acquired property rights in any part of the country. The implication is that Government will have to pay out fair and adequate compensation to affected people. 2.2 THE MALAWI NATIONAL LAND POLICY (2002) The Malawi National Land Policy focus on land as a basic resource common to all people of Malawi and for enhancement of socio – economic development. Section 4.11 affirms equitable access to land to all citizens of Malawi. The policy recognizes human settlement and agriculture as the major benefactor land use sector. As such, the policy advocates for orderly resettlements of villages or households especially in rich agricultural zones. Furthermore the policy guarantees full legal protection to customary land tenure to the people of Malawi in order to enable the ordinary Malawians adequately participates in subsistence farming and socio-economic development activities. The Malawi National Land Policy also advocates for fair compensation on open market value to local people on all classes of land (whether held under customary land tenure or leasehold) in case such land is acquired for public interest or for development of public infrastructure. In reference to relocation of displaced people, the policy advocates adequate consultations with the affected people so that their interests are taken care of. 2.3 LAND ACT (1969) Land Act covers land tenure and land use quite comprehensively. Section 27 and 28 of the act guarantees landholders for appropriate compensation in event of disturbance of or loss or damage to assets and interests on Land Act also provides procedures of Page 14 of 106 acquisition of one class of land to another. The process begins with appropriate notice the existing lessee of the land. 2.4 LAND ACQUISITION ACT (1971) This law covers procedures relating to the acquisition of land by either the government or individuals or developers from any form of the land tenure systems in Malawi. The act makes provision for preliminary investigation, preliminary survey of the area and the procedure to be followed where land should be acquired. The procedure for land acquisition starts with issue of a formal notice to persons who have existing interests in the land. Such notices are issued under section 6 of this act. Sections 9 and 10 of the act covers the steps for assessment of land, crops, fruits and other landed properties and subsequent procedures for payments of the compensations to the displaced people. Section 11 to 14 outlines the necessary steps for land surveying and land transfer following notices in government gazette. The responsibility of identifying alternative land for those affected people rests with their village headman, their traditional authority and District Commissioner of the district. The District Commissioner assists in transportation and provisions of necessary services on new sites of resettlement. 2.5 TOWN AND COUNTRY PLANNING ACT (1988) The Town and Country Planning Act, is a principal act for regulating land use planning and physical developments in Malawi. The aim of regulating land uses and location of physical developments is to enhance orderly spatial physical growth of human settlements activities. In addition the laws promotes orderly physical planning in order to enhance optimum use of land and service infrastructures, protect and conserve fragile environmental systems in space. These objectives are achieved by guiding physical developments, and controlling building uses in designated zones with regulated planning permissions. Section 40 basically prescribes environmental and socio- economic screening for medium to large scale development projects before they can be granted planning permissions under this act. Normally, local assemblies and developers of proposed large projects undertake this screening. Sections 63 - 65 recognize the need of appropriate compensations to land owners in case of compulsory acquisition of land for public interest. Although the provisions indicate that compensation is at discretion of government, recent amendment to the sections have provided room for appeal to the high court by land owners in case they are aggrieved on amount of compensation on their assets. It is expected that there will be no cases of compulsory acquisition of land. 2.6 PUBLIC ROADS ACT (1962) The public roads act covers the management of road reserves and streets. Land acquisition and resettlement issues are outlined in part II of the act. Section 44 provides assessment of compensations, which can be paid under this act. The compensations cover surface and land rights of the owner or occupier of land. Section 45 provides for compensation for conversion of land into public use and the section states specifically Page 15 of 106 that in case of customary land compensation is in respect to disturbance to people, section 49 and section 50 provide opportunities for land owners or occupiers to appeal to the High Court on grievances related to resettlement and compensations provided for in this act. 2.7 MONUMENTS AND RELICS ACT (1991) The Act stipulates the proper management and conservation of monuments that are of importance both nationally and locally. It also provides for proper preservation of monuments in the event that there is a change in the use or development of land. This gives room for the authorities for monuments and relics to protect monuments under the provisions of the Land Act or the Lands Acquisition Act. The road again passes near 3 graveyards along the road corridor. Graveyards link the present generation to their past and are regarded with high respect in many cultures in Malawi. However, the said graveyards will not be affected by the road project activities as the road alignment is deviated away from the graveyards. 2.8 FOREST ACT (1997) The Forestry Act number 11 of 1997 affirms the role of Department of Forestry on control, protection and management of forest reserves and protected forest areas. In addition the act recognizes the need to promote participatory social forestry and empowerment of communities for conservation and management of trees within the country. In this regard the act encourages community involvement in woodlots and management of forest reserves through co-management approaches. Section 86 of Forestry Act has provided guidelines on values/rates for sale of both indigenous trees and exotic trees. These rates are gazetted, and are reviewed from time to time by senior government officials. The values are used so that those who are involved in forestry are paid reasonable compensations on their timber trees and fruit trees .In case the department has not reviewed the rates at the material time, the department of Forestry normally assigns an officer to value the trees for purpose of immediate sale or compensations. Normally, the valuation of people’s trees are done based on species of trees, measured diameter of breast height and market price in kwacha per cubic metre. 2.9 National Gender Policy (2011) The Constitution of the Republic of Malawi recognizes and promotes gender equality as one of the ways of promoting the welfare and development of the people of Malawi. Further, gender equality is a basic human rights and development issue as affirmed in a number of international and regional human rights instruments to which Malawi is signatory. The Gender Policy was designed to mainstream gender in the national development process to enhance participation of women and men, girls and boys for sustainable and equitable development for poverty eradication. In line with the Gender Policy this RAP will ensure that men, women, boys and girls are treated equally and fairly in all the resettlement processes. Page 16 of 106 2.10 WORLD BANK SAFEGUARD POLICIES The World Bank's environmental and social safeguard policies are a cornerstone of its support to sustainable poverty reduction. The objective of these policies is to prevent and mitigate undue harm to people and their environment in the development process. There are a number of safeguard policies that are relevant to the Resettlement Action plan and these are summarized below; 2.10.1 OP/BP 4.01 Environmental Assessment The objective of this policy is to ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts. This policy is triggered if a project is likely to have potential (adverse) environmental risks and impacts on its area of influence. OP 4.01 covers impacts on the natural environment (air, water and land); human health and safety; physical cultural resources; and transboundary and global environment concerns. 2.10.2 OP/BP 4.10 Indigenous Peoples The objective of this policy is to (i) ensure that the development process fosters full respect for the dignity, human rights, and cultural uniqueness of indigenous peoples; (ii) ensure that adverse effects during the development process are avoided, or if not feasible, ensure that these are minimized, mitigated or compensated; and (iii) ensure that indigenous peoples receive culturally appropriate and gender and inter-generationally inclusive social and economic benefits. 2.10.3 OP/BP 4.11 Physical Cultural Resources The objective of this policy is to assist countries to avoid or mitigate adverse impacts of development projects on physical cultural resources. For purposes of this policy, “physical cultural resources” are defined as movable or immovable objects, sites, stru ctures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above ground, underground, or underwater. The cultural interest may be at the local, provincial or national level, or within the international community. This policy applies to all projects requiring a Category A or B Environmental Assessment under OP 4.01, project located in, or in the vicinity of, recognized cultural heritage sites, and projects designed to support the management or conservation of physical cultural resources. 2.10.4 Bank Policy on Gender and Development (OP/BP 4.20) The objective of the Bank‘s gender and development policy is to assist member countries to reduce poverty and enhance economic growth, human well-being, and development effectiveness by addressing the gender disparities and inequalities that are barriers to development, and by assisting member countries in formulating and implementing their gender and development goals. Although this is not a Safeguards Page 17 of 106 Policy per se, its main objective is “to reduce poverty and enhance economic growth, human well-being, and development effectiveness by addressing the gender disparities and inequalities that are barriers to development”; which, indeed is closely aligned with the project development objective of the project. The OP/BP 4.20 establishes a country-level, strategic approach to mainstreaming gender issues in Bank supported work. It specifies the objective of the policy and how gender issues are to be reflected in the Country Assistance Strategies. It goes on to state that, ―in sectors and thematic areas where the CAS has identified the need for gender - responsive interventions, the Bank‘s assistance to the country incorporates measures designed to address this need. Transport sector is one of the sector that have developed guidelines for Gender mainstreaming (May, 2014). This RAP will therefore be implemented in line with the Bank Policy on Gender and Development. 2.11 WORLD BANK RESETTLEMENT POLICY (OP/BP 4.12) World Bank Policy on resettlement is outlined in Operational Policy OP/BP 4.12, and the overall objective of this safeguard is to avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs. Further the policy advocates encourages community participation in planning and implementing resettlement. More specifically, where resettlement is unavoidable, the policy stipulates criteria for eligibility to compensation, resettlement assistance and assistance measures to displaced persons on the following conditions: a. Those who have formal legal rights to land, including customary and traditional rights recognized under the laws of Malawi. This class of people includes those holding leasehold land, freehold land and land held within the family or passed through generations. b. Those who have no formal legal rights to land at the time the census but have a claim to such land or assets provided that such claims are recognized under the Malawi’s laws. These include foreigners and those that come from outside and given land by the local chief to settle. c. Those who have no legal right or claim to the land they are occupying to the land they are occupying. This class of people includes squatters, pirates and those that settle at a place on semi-permanent basis, or those settling at a place without any formal grant or authority. Displaced persons classified under paragraph 3.3 (a) and 3.3 (b) shall be provided compensation, resettlement assistance and rehabilitation assistance for the land, building or fixed assets on the land and buildings taken by the project in accordance with the provisions of this framework if they occupy the project area prior to the cut- off date (date of commencement of the census). Displaced persons classified under paragraph 3.3 (c) shall be eligible for compensation for the assets but not land. In addition the World Bank policy on resettlement stipulate those displaced persons who Page 18 of 106 encroach on the project area after the cut-off date shall not be entitled to compensation, or any resettlement assistance or any other form of rehabilitation assistance. 2.12 GAPS BETWEEN NATIONAL LAW AND THE BANK’S POLICY Policies of the World Bank on resettlement and of Government of Malawi have a number of common aspects in management of resettlement. Firstly, both policies emphasise on minimisation of the extent of resettlement. Secondly, the policy recommends considerations of proper or fair and adequate compensations to affected persons. The following chapter addresses these gaps and how they will be mitigated. However the current practice is that wherever the existing Malawi law does not provide direction on how compensation are to be administered, the policy of the project financiers will prevail. In the same vein, wherever the national laws are seen to seriously disadvantage the affected people the policy of the financiers, in this case the World Bank, will be adopted. Table 2 below presents some gaps between the policies of World Bank and those of Malawi. Page 19 of 106 Some of the Gaps between Government of Malawi and World Bank Policies Project Provisions from relevant laws of World Bank Provision on Appropriate affected person Government of Malawi the aspects measures for addressing the gaps. Name of  Provision within Legislation piece of legislation in Malawi Land Public  The law stipulates  The policy stipulates  Compensation of Owner/Occupier Roads Act payment of cash that land owners are land for land to compensation entitled to project affected (chapter based on loss or compensation of land, persons. 69:02) damage or compensation of  Compensation of destruction to building on replacement all structures at full structures. No costs, expenses on replacement costs compensation on labour based on current land.  The policy stipulate that market value prior land owners are entitled to displacement to compensation for  Compensations on crops crops and trees on current market values. Land Public  The law stipulates  The policy stipulates  Compensation of Owner/Occupier Roads Act that land owners that the recommended land for land to are entitled to option is compensation project affected (chapter reasonable of land for loss of land persons whom 69:02) compensation when land is the primary livelihood depend offered by source of livelihood for on land will be the government on the PAP. Other losses to first priority. customary land be compensated at  Compensation of  The law stipulates replacement costs based money for land to that land owners on current market value. project affected can be  The policy stipulates persons in cases of compensated for that temporary lack of alternative land to land if structures or buildings suitable land. alternative land is are entitled to land  Compensation of available. compensation or cash all structures at full  The law stipulates compensation at full replacement costs that land owners replacement costs and labour costs can be including labour and prior to physical compensated for relocation expenses displacement land to money if prior to physical  Compensations on there is not displacement crops and trees alternative land or based on current if the offered market values. alternative land is  Resettlement not economically assistance to productive project affected persons who are squatters. Land Public  The law stipulates  The policy stipulates  Compensation of Owner/Occupier Roads Act that no that persons are entitled all structures at full compensation to to replacement costs (chapter improvements on compensation/assistance prior to physical 69:02) land within road regardless of the legal displacement; reserves ( section status of their structures  Compensations on 44) or occupation of the crops and trees on  The law stipulates land; current market that no  The policy stipulates values; compensation to that owners of buildings  Compensation on squatters unless built illegally are labour costs based they occupy the entitled to compensation on current market land continuously at full replacement costs rates. including labour costs Page 20 of 106 for a period of prior to physical more than 7 years. displacement. Land Land  The law stipulates  The policy stipulates  Compensation of Owner/Occupier Acquisition that compensation that owners of buildings all structures at full Act be based on built illegally are replacement costs assessment done entitled to land based on current (Chapter by government compensation at full market value prior and agreed by replacement costs to displacement 57:04) parties. including labour costs  The law stipulates based on current prior to that compensation physical displacement. given when land is acquired.  The law stipulates that compensation not to exceed market value. Land Land Act  The law stipulates  The policy stipulates  Compensation of Owner/Occupier that reasonable that owners of buildings structures at full (Chapter cash built illegally are replacement costs 57:01) compensation be entitled to land and labour costs paid to affected compensation at full based on current persons for loss of replacement costs market value prior land. including labour costs to the physical based on current market displacement. value prior to physical displacement. Land Customary  The Act favours  The policy favours land  Compensation of Owner/Owner Land Act land for land for land compensations land for land to compensations in cases of loss of land project affected by project affected persons whose persons; livelihood depend  The policy stipulates on land; that owners of buildings  Compensation of built illegally are structures at full entitled to land replacement costs compensation at full prior to the replacement costs physical including labour costs displacement of based on current market PAPs. value prior to physical displacement. Table 2: Gaps between Government Policies and Laws and World Bank Policies on Resettlement In summary, some of the key issues to note on the differences between World Bank and Government of Malawi’s policies as indicated in table 2 above are as follows; i. Under WB Resettlement Policy (OP/BP 4.12), displaced persons are classified into the three groups mentioned in section 3.3 (a, b and c). Land owners under Group a and b, are among affected people who are entitled to full, fair and prompt compensation as well as other relocation assistance. With respect to those in Group c, where displaced persons have no recognizable legal rights they are to be provided with resettlement assistance in lieu of compensation for the land they occupy, as well Page 21 of 106 as other assistance. Under Malawi law, Group (a) and (b) are entitled to compensation. However, those under (c) are not entitled to compensation. However, they will be given compensation for the investment they made on the land. ii. On aspects on compensations on land, the policies of Government of Malawi consider the different intrinsic values associated with various classes of land (customary land, leasehold land, freehold land, public land). In such cases, rates for compensation on land vary from one site to another and from one class of land tenure to the other. World Bank policies do not distinguish such differential aspects of land classes and corresponding different market rates and instead insist on replacement cost of the land regardless of its type. iii. In cases on compensation of loss of land by project affected people, the World Bank policies prefer land for land compensation. In Malawi an option of land for land compensation is normally preferred in customary land transaction while option of land for money compensation is the preferred options in urban centres. iv. Bank’s policy clearly stipulate resettlement as an upfront project – in that all issues of land acquisition and relocation of affected people has to be done prior to commencement of the project on the acquired site. Malawian policies do not clearly spell out this approach and in practice; resettlement is treated as a separate exercise outside project planning and implementation, sometimes taking place commencement of the project v. Bank’s policy clearly recommends for adequate resettlement assistance and rehabilitation assistance to relocated people as a way of restoring and enhancing socio – economic living standards. This is supposed to be undertaken within the first years of relocation on the new sites. Malawi legislation does not clearly define the extent of resettlement assistance to relocated people. Much of available support is normally left in hands of District Commissioner and local chiefs within the district and area of relocation of the affected people. Other gaps between the two approaches are in the following areas:  Extent of entitlement: World Bank OP/BP 4.12 includes affected parties with non- formal property rights, while this does not apply in all instances in Malawi.  Timing of payments: World Bank OP/BP 4.12 requires payment before loss of assets, while the Malawi legislation does not have this requirement.  Relocation and resettlement: World Bank OP/BP 4.12 requires additional assistance with resettlement (such as establishment of new sites) while this is not provided in Malawi’s laws. Page 22 of 106  Livelihood restoration: The World Bank OP/BP 4.12 requires that livelihoods are improved or at least restored, while the Malawi’s laws contain no requirements for livelihood restoration.  Grievance mechanisms: World Bank OP/BP 4.12 requires that a grievance mechanism is established as early as possible in the project development phase, while the Malawi Government does not specify on the same. Page 23 of 106 3.0 CHAPTER THREE: RESETTLEMENT IMPACTS AND MITIGATION The design of the Thabwa- Chitseko Seven road is intended to expanded and improve the 60 km road from Thabwa to Seven road. The interventions will include a mix of reconstruction and overlay with surface dressing and widening with drainage improvements to complete rehabilitation to 6 meter carriageway and 2 meter shoulders on each side to accommodate safe movement of traffic. The design includes a 60 meter road reserve, 30 m from the centre line on both sides of the road. However, in major trading centres, this road reserve has been reduced to 18 meters road reserve on either side to minimise the extent of resettlement. However, the project will still require involuntary acquisition of land within the road reserve boundaries. This will result in physical relocation, loss of assets or access to assets, and/or loss of income sources or means of livelihood whether or not those affected by the project must move to another location. Such acquisition of land will adversely affect the wellbeing of the people whose assets will be acquired, as well as the communities in which they live and this will give rise to severe social and economic risks. This Section defines who is eligible for compensation, and outlines the types and levels of compensation and other supplementary measures that will assist each category of eligible-affected people, and at the same time achieve the objectives of national (Malawian) legislation and policies and international best practice. 3.1 POTENTIAL IMPACTS The Project will impact on a wide range of households, business operators, institutions and community members. These impacts, however, manifest at individual and group level. Some of the losses qualify for compensation and resettlement assistance include: a. Loss of residence: People who will be displaced by having to move their place of residence to allow for the construction of the road, construction camps, access roads, or any other associated infrastructure. b. Loss of business: People who will be displaced by having to move their places of business to allow for the construction of the road related infrastructure. These are business shelters, places such as brick ovens, rice drying and selling points etc. c. Loss of land: People who will lose land over which they have established ownership or rights of usufruct (either in a permanent or temporary fashion) to allow for the construction of the road associated infrastructure. d. Communal resources: Members of communities who will lose access to their communal resource base. These will include boreholes, water taps, communal play grounds, market places and other resources. Page 24 of 106 e. Places of worship: Worshipers who may be affected through having their place of worship having to be relocated. f. Archaeology and cultural heritage: There are no known archaeological remains and structures of historical importance in the area. Places of cultural heritage include the three grave yards identified along the proposed road project. The resultant socio-economic hardships due to major impacts envisaged in this project are outlined in table 1. Table 2: Project Major Potential Impacts Category of losses Social and economic impacts Displacement from land  Landlessness  Loss of productive resource for agriculture  Loss of businesses  Impoverishment of people Loss of houses  Landlessness, homelessness  Disturbance of house production systems  Loss of sources of income  Loss of or weakening of community system and social networks.  Loss of access to social amenities such as hospitals and schools.  Loss of traditional authority. Loss of assets or access  Impoverishment to assets and cultural  Loss of sources of income sites  Loss of employment opportunities ( self – employment) Loss of income sources  Impoverishment or means of livelihood  Loss of self – employment opportunities  Affects rights to education, health etc Damage to or destruction of ancestral sites, graveyards  Loss of identity and culture Loss of access or  Loss of sources of income as people may start proximity to social buying the service amenities e.g. water  Increased time to access resources. Loss or shortage sources of time for other activities Blockage of footpaths/pathways  Increase in travel distance due to longer route Mitigation measures for some of these impacts have been presented in an ESIA report prepared alongside this RAP. Page 25 of 106 3.2 ELIGIBILITY Those who will be affected by asset loss and resettlement and are eligible for compensation and other assistance require definition and identification, with criteria set for determining their eligibility. The Resettlement/Compensation safeguard suggests the following three categories of affected people: i. Those who have formal rights to land (including customary/village land, traditional, and religious rights recognized under Malawi law); ii. 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 national and local laws or become recognized through a process identified in the resettlement plan; and iii. Those who have no recognizable legal right or claim to the land they are occupying, using, or obtaining their livelihood from. People described under (i) and (ii) will be compensated for the land they lose and provided other assistance in accordance with OP/BP 4.12. People described under (iii) will be provided with resettlement and other assistance in lieu of compensation for the land they occupy, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date that is acceptable to the Bank and established by the local traditional leaders in close consultation with the potential PAPs, local community leaders, and respective village and district administration. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. The cut off date is 2nd March 2017 All persons included in (i), (ii), or (iii) will be compensated for loss of assets other than land. Therefore, it is clear that all affected people, irrespective of their status or whether they have formal titles or legal rights or are squatters or otherwise encroaching illegally on land, will be eligible for some kind of assistance if they occupied the land before the entitlement cut-off date. People who encroach the area after the preliminary assessment are not eligible for compensation or any form of resettlement assistance. 3.3 DETERMINING CRITERIA The key issue is how any project affected persons will be determined along the proposed road corridor. For this reason, the RAP focuses on the identifiable affected persons. The identification of persons eligible for compensation and resettlement will be based on the following criteria: a) Persons losing land with or without legal title; b) Persons losing temporary or permanent access or rights to services; c) Persons losing business or residential property; Page 26 of 106 d) Person with homes, farmland, structures or other assets within the proposed project area; e) Vulnerable individuals who may be too old or ill to fend for themselves. These affected persons shall receive additional assistance; f) Members of the household who cannot reside together because of cultural rules, but depend on one another for their livelihood; g) Members of the household who may not eat together but provide housekeeping or reproductive services, critical to the family's maintenance; and h) Persons that incur losses whether partial or total and whether they have their own land or rent land, including those that rent or occupy buildings individually or as a group for business or as households. 3.4 IDENTIFYING THE ELIGIBLE The land laws consider all titled landowners, customary landowners, encroachers, persons affected by loss of access to sources of income and persons affected by loss of access to natural resources (water, wood, grazing areas etc.), as affected persons. Therefore, affected persons will be entitled to compensation based on the status of their occupation of the affected areas. The survey identified affected persons as being land owners, tenants, squatters and shop owners. 3.5 RELOCATION AND ENTITLEMENTS Land for land is considered to be appropriate for people whose livelihoods are land based. However, the consultation meetings established that there is no idle land in the project impact area which the traditional leaders can allocate to the affected persons hence cash compensation will be affected. Consultations with the potential affected persons further showed that the affected persons prefer cash compensation. Affected persons whose houses are affected by the Project will be provided with cash compensation reflecting the full replacement value of the structure. This will be in accordance with the cost of the structure as per non-depreciated rates. For fruit trees it is the value of production lost until replacement seedlings mature. For the loss of business or income, the reported income and employee wages will be taken into consideration. The entitlement matrix covers these dimensions. 3.6 VALUATION METHOD The valuation of property of the Project Affected People was done in accordance with the relevant laws and policies and was done by the Ministry responsible for lands. The approach to valuation of property that was followed is the Comparative Replacement Cost Method. The valuation took into account all relevant factors regarding the current property market in this area and based on the certified valuers knowledge of the property market. The calculations for trees include a 10 percent premium on the estimated value of the tree for exotic or planted trees. For fruit trees the calculation is based on the number of fruits each tree produces, the unit cost of the fruit and the estimated lost value of the fruit until the replacement seedlings mature as stipulated in Page 27 of 106 the entitlement matrix. Based on the above valuation and estimation procedure for compensation entitlements, the compensation amounts for property along this road is estimated at MK695,559,795 and for trees and fruits the compensation amount is estimated at MK108,235,755.00 only 3.7 CUT-OFF DATE TO ENTITLEMENTS A cut of date for which this RAP is the 2nd of March 2017. This is the date on which the final property valuation and verification was done. All affected persons, village heads and other Traditional Authorities were informed of this date. This therefore means that any new inhabitants coming to the Project affected area after this date will not be considered for compensation. 3.8 VALUATION OF AFFECTED ASSETS Valuation of the affected properties was conducted based on the provisions in the Malawian legislation for consistence and accountability. All the factors explained in the Public Roads Act were considered in the valuation process. The properties that has been valued include: Physical assets; Crops; Forests (exotic and indigenous); Fruit trees; Exotic trees; Indigenous trees; Houses; Land; and Business. Table 3 shows entitlement criteria. Page 28 of 106 Table 3: Entitlement Matrix Land and Types of Impact Person(s) Affected Compensation/Entitlement/Benefits/Remarks Assets Farm land Cash compensation Farmer/ title holder Cash compensation for affected land equivalent to for affected land replacement value, taking into account market values equivalent to market for the land. value/ Less than 20% To reduce impact on affected people, clearing to target of land holding mainly the required road corridor affected Land remains economically viable. Tenant/ lease holder Cash compensation for the harvest or product from the affected land or asset, equivalent to average market value or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. For fruit trees it is the value of production lost until replacement seedlings mature. Greater than 20% of Farmer/ Title holder Land for land replacement where feasible, or land holding lost compensation in cash for the entire landholding according to choice, equal to replacement cost. . Land does not However, in the case of this affected persons preferred become cash compensation based on replacement value, taking economically viable. into account market values for the land. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + disturbance allowance) Tenant/Lease holder Cash compensation equivalent to market value for the mature and harvested crop, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. For fruit trees it is the value of production lost until replacement seedlings mature. Relocation assistance (costs of shifting + allowance). Commercial Land used for Title holder/ business Cash compensation for affected land, taking into Land business partially owner account market values. affected Opportunity cost compensation until the income is Limited loss restored in the new place (it could be equivalent to 5% of net annual income based on tax records for previous year, or tax records from comparable business, or estimates where such records do not exist). Business owner is Opportunity cost compensation equivalent to 10% of lease holder net annual income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist). Assets used for Title holder/business Compensation in cash according to affected people’s business severely owner choice, taking into account market values for materials. affected Relocation assistance (costs of shifting + allowance) If partially affected, the remaining assets Opportunity cost compensation equivalent to 2 months become insufficient net income based on tax records for previous year (or for business purposes tax records from comparable business, or estimates) Business person is Opportunity cost compensation equivalent to 2 months lease holder net income based on tax records for previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher. Relocation assistance (costs of shifting + allowance) Page 29 of 106 Residential Land used for Title holder Cash compensation for affected land equal to Land residence partially replacement value, taking into account market values affected, limited loss for the land. Remaining land viable for present use. Land and assets used Title holder Land for land replacement or compensation in cash for residence according to affected people’s choice based on severely affected replacement value, taking into account market values for the land. Remaining area insufficient for Transfer of the land to the people shall be free of taxes, continued use registration, and other costs. Relocation assistance (costs of shifting + allowance) Rental/lease holder Refund of any lease/ rental fees paid for time/ use after date of removal Relocation assistance (costs of shifting + allowance) Buildings and Structures are Owner Cash compensation for affected building and other structures partially affected fixed assets based on its replacement value without including depreciation, and taking into account market Remaining structures values for the structures and materials. viable for continued use Cash assistance to cover costs of restoration of the remaining structure Rental/lease holder Disturbance compensation equivalent to two months rental costs Entire structures are Owner Cash compensation for entire structure and other fixed affected or partially assets without depreciation, and taking into account affected market values for the structures and materials. Remaining structures Right to salvage materials without deduction from not suitable for compensation continued use Rehabilitation assistance if required (assistance with job placement, skills training) Squatters and Rental/lease holder Cash for affected assets (verifiable improvements to encroachers the property by the tenant), taking into account market values for materials. Right to salvage assets. Assistance in relocating to a place where they can live and work legally. Assistance with restoring livelihoods. Squatter/informal Cash for affected structure without depreciation, taking dweller into account market values for materials. Right to salvage materials without deduction from compensation Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available Assistance with restoring livelihoods Standing Crops affected by Affected people Cash compensation equivalent to average of last 3 crops land acquisition or (whether owner, years market value for the mature and harvested crop. temporary tenant, or squatter) acquisition or easement Trees Trees lost Title holder Cash compensation based on type, age and productive value of affected trees plus 10% premium. For fruit trees it is the value of production lost until replacement seedlings mature. Page 30 of 106 Loss of Loss of livelihoods Affected people Livelihood Restoration Plan including compensation grazing land, depending on the for loss of livelihoods; road should be designed in such fishing rights affected resources a way to ensure that it facilitates access to resources or sand e.g. crossings for human and livestock, construction of harvesting new communal properties if affected. rights, communal property 3.8 PRINCIPLES OF THIS RAP Computation of compensation and resettlement was based on core principles as follows:- 3.8.1 Minimization of displacement In line with resettlement policies, displacement under the project will be minimized through the following design procedures: a) Wherever inhabited dwellings may potentially be affected by the proposed project, the latter will be re-routed to avoid any impact on such dwellings and to avoid displacement/relocation accordingly; b) The same applies to structures used for commercial activities and other businesses. Wherever the impact on the land holding of one particular household is such that the household may not be sustainable in the long term, even if there is no need to physically displace this household, the sub-project shall be redesigned (facility relocation, rerouting) to avoid any such impact; and c) To the extent possible, Project facilities will utilize public easements- pipelines, public taps, other linear infrastructures etc will be routed inside existing right-of- ways (roads, streets, and power lines) wherever possible. 3.8.2 Livelihood restoration One of the objectives of this RAP is to ensure that livelihoods are improved or restored to pre-displacement levels. Compensation for affected property will therefore seek to facilitate full and smooth recovery without exposing the PAPs to vulnerability and this applies to people who are not necessarily physically displaced but who are affected by a land loss that affects their sustainability. Some of the livelihood restoration measures include:  Provision of agricultural extension services: Severely affected farmers and vulnerable affected people will be assisted to improve productivity on remaining agricultural land, by linking them with pre-existing government – run programs.  Skills Training: Project Affected People PAPs and those from vulnerable groups will be given the option to select any training they wish, which would help them to maintain and/or improve their income generation potential. The skills training program will be designed during project implementation. Opportunities for training in Savings and Investment already exists in the district through the Savings and Investment Promotion (COMSIP). COMSIP Union has already demonstrated its Page 31 of 106 expertise in other Bank funded projects such as the MASAF IV and the Shire River Basin Projects. The Business skills training would be organized by COMSIP so that PAPs and Vulnerable can have savings and investment skills which would improve their incomes and livelihood sources for a long period of time. Village Savings Loans groups were observed on the ground especially for women – Their involvement could also bring a gender aspect which may just require some strengthening.  Project related job opportunities: Project Affected People will be prioritized in gaining employment in the works, particularly the unskilled workers under the Project. Roads Authority and the contractor will ensure that this is included in the contractors’ specifications wherever possible.  Assistance through Corporate Social Responsibility (CSR) program: As part of its CSR program, the contractor and the Roads Authority will explore means of remaining engaged in communities adversely affected by the proposed project. This could be through assistance to community based projects in the targeted area.  Resettlement must be seen as an inevitable upfront cost: All compensation will have to be paid and concluded before ground breaking and before commencement of construction works.  An independent Grievance Redress Mechanism to be put in place: Provision for this is made in chapter five below. The team must comprise of people who are not stakeholders to the compensation.  3.9 MITIGATING RISKS ASSOCIATED WITH MIGRANT WORKERS The implementation of this Project will involve construction of civil works for which the required labour force and associated goods and services will not be fully supplied locally for a number of reasons, among them worker unavailability and lack of technical skills and capacity. In this case, the labor force (total or partial) will need to be brought in from outside the projects area. This influx may be compounded by an influx of other people (“followers”) who follow the incoming workforce with the aim of selling them goods and services, or in pursuit of job or business opportunities. The rapid migration to and settlement of workers and followers in the project area may affect project areas negatively in terms of public infrastructure, utilities, housing, sustainable resource management and social dynamics. The influx of workers and followers can lead to adverse social and environmental impacts on local communities. Such adverse impacts may include increased demand and competition for local social and health services, as well as for goods and services, which can lead to price hikes and crowding out of local consumers, increased volume of traffic and higher risk of accidents, increased demands on the ecosystem and natural resources, social conflicts within and between communities, increased risk of spread of communicable diseases, and increased rates of illicit behavior and crime. Such adverse Page 32 of 106 impacts are usually amplified by local-level low capacity to manage and absorb the incoming labor force, and specifically when civil works are carried out in, or near, vulnerable communities and in other high-risk situations. While many of these potential impacts are identified in a project’s Environmental and Social Impact Assessment (ESIA), they may only become fully known once a contractor is appointed and decides on sourcing the required labor force. This means that not all specific risks and impacts can be fully assessed prior to project implementation, and others may emerge as the project progresses. Thus, measures defined in the project Environmental and Social Management Plan (ESMP) to address such problems sometimes may be insufficient. It is therefore important to develop site specific measures before the contractor starts work, and update them as necessary to reflect project. Overall, adequate monitoring and adaptive management of the potential impacts from labor influx will be put in place for addressing and mitigating risks. An action plan has been developed for mitigating effects of to do with migrant workers in camp sites and construction sites. The Action Plan outlines the potential impacts that can be generated as a result of an influx of migrant workers and the actions that can be taken to mitigate the impacts. The action plan has been appended to this Resettlement Action Plan as annex 5 3.10 CODE OF CONDUCT FOR WORKERS All workers will be expected to commit themselves to behave in a manner that does not negatively affect the receiving communities, particularly against women, children and vulnerable groups. All the workers will be expected to sign a code of conduct against which they can be made accountable to their actions. These will be signed by all construction workers including their agents and a copy will be maintained on an individual employee’s file and another copy will be kept by the client. This code of conduct will be translated into a local language that can be understood by all workers where necessary. A copy of the code of conduct has been included to this RAP as Annex 4 Page 33 of 106 4.0 CHAPTER FOUR: ACQUISITION AND NOTIFICATION PROCEDURES 4.1 LAND ACQUISITION Land will have to be acquired for establishment of camps, borrow pit areas, access roads to borrow pit and in some cases extreme diversions. After details of the land to be acquired for the project have been identified then the Ministry of Lands and the Roads Authority will begin negotiations for the land with the affected persons. The affected persons will include the actual individuals as well as the chiefs and other traditional leaders, such as the village headman and group village leaders. Since most of the land required for the road is customary land, the Ministry of Lands shall through the chiefs ascertain the actually owners of the land. This is to ensure that those people who had borrowed land from someone else do not eventually get the compensation. When the land to be acquired has been finalized by the Roads Authority through their Consultants, then the Ministry of Lands can do the second assessment of the properties to be affected and including the names. The survey will capture the profile of each affected individuals. For a household, the affected individual is the owner of the land on which the household is built whilst for business the owner of the business or business premises will be recorded. The record will have the following:- a) The land to be acquired; b) Names of owners or occupiers of the land, as far as they can be ascertained. In the case of customary land, the name of the person who is the holder of the right over the land as ascertained by the traditional leaders and other bona fide local residents; c) Names of the traditional and community leaders or representatives to assist in the process of land acquisition and resettlement; and d) The estimated magnitude of impacts relative to the need for resettlement or compensation and valuation of assets for the compensation. Financial records to be maintained by the Ministry of Lands, District Councils and Ministry of Economic Planning and Development to permit calculation of the final cost of resettlement and compensation per person or household. Each person receiving compensation will have a dossier containing: a) The person’s detailed identification information, including name, date and place of birth, next of kin, marital status ; b) Number of persons she or he claims as household or homestead dependants; c) The amount of land available to the person or household when the dossier is opened d) Assets - including structures, resources, crops; and e) Means of livelihood. The dossiers will provide the foundation for monitoring and evaluation, as well as documentation of compensation agreed to, received and signed for. Additional information will be required for individual’s eligibility for resettlement or compensation. This information will include: a) Level of income and of production; Page 34 of 106 b) Inventory of material assets and any improvements made on the land; and c) Debts; The authority responsible for acquiring land shall also make the following available to all key stakeholders in the land acquisition process: a) Proposed compensation offers and draft agreements to be signed by the affected persons and the Road Fund Administration, which is a government agency responsible for payment of any road development costs in Malawi ; b) Details of alternative land (if applicable) inclusive of ancillary support services such as transport for physical resettlement, provision of housing, provision of crop starter packs and food support or any other relevant assistance that may be required; c) Details of resettlement after-care and assistance, where appropriate; d) Available employment opportunities for the affected people to participate in the Project activities; and e) Mechanisms for monitoring and evaluation. The land acquisition and compensation procedures shall ensure that persons affected either physically or economically by the Project maintain or improve their livelihood. 4.2 NOTIFICATION PROCEDURES The Ministry responsible for land matters shall publish its intention to acquire land in a newspaper with wide circulation News. The areas of land to be acquired will be stated in the advert. Personalized notices should also be served to each person who owns and occupies land in the affected areas as long as the addresses of the persons are known to the Ministry. The notice to be published will contain the following: a) Government’s Proposal to acquire the land; b) Public purpose for which the land is required; c) Proposal or plan may be inspected at the Ministry or in the Lands Department, southern region office, during working hours; d) Any person affected may by written notice object to the transaction with reasons to the Principal Secretary of the Ministry within 30 days of the first publication of the Notice; and e) Only objections other than those relating to the amount and method of payment of compensation shall be admissible. Page 35 of 106 5.0 CHAPTER FIVE: CONFLICT RESOLUTION AND RESETTLEMENT 5.1 PROCEDURES NEGOTIATIONS AND CONFLICT RESOLUTION 5.1 Procedures negotiations and resolution of conflicts The negotiations between Government and the affected persons shall be done in the spirit of finding amicable solutions with full respect of all the parties concerned. The negotiations will be guided by the following: a) Procedure – The procedures to be followed in raising grievances will be discussed and agreed between the Roads Authority and the affected persons. All the institutions involved will provide their contact details to the people; b) Full Disclosure- Full disclosure of the implications and provisions of the displacement will made to the affected people; c) Willingness – All parties will enter into the agreements willingly without any force from anyone and if no agreement is made further deliberations should be made; d) Back and Forth Discussions- Adequate time shall be given to the affected communities to discuss the matter amongst themselves with their traditional leaders and they should be allowed to do so for as long as they feel necessarily without necessary causing unwarranted delays in project implementation; e) Recording for Proceedings- All proceedings from negotiations meetings shall be filed and be open to all for reference purposes. The local language shall be used in recording so that the local people can understand the minutes; and f) Court of Law- The court of law will be a last resort for all parties as the spirit will be to have some kind of consensus among the negotiating teams. 5.2 Procedures for grievance redress Various legislation, including the Constitution of Malawi makes provision for grievances to be addressed through the formal court system. This is a constitutional right but practice has shown that this can be a costly and time consuming exercise. The complaints and grievances mechanism as outlined below is readily accessible to deal with complaints expeditiously. However if this fails the aggrieved party can refer the matter to the formal court system. 5.3 Grievance At the time that the individual resettlement plans are approved and individual compensation contracts are signed, PAPs and households will have been informed of the process for expressing dissatisfaction and to seek redress. The grievance procedure will be simple and will be administered as far as possible, at local levels to facilitate access by PAPs. Since Government through the RA will be party to the contract, they Page 36 of 106 will not be the best offices to receive, handle and rule on disputes. Therefore, all grievances concerning non-fulfilment of contracts, levels of compensation, or seizure of assets without compensation will be addressed to a local committee comprising traditional leaders of the affected area and representatives of the District Council. Grievance Redress Committee have already been established in all major trading centres along the road. These include Mfera, Fatima, Livunzu, Nkhate, Mapelera, Dembo trading centres. Consultation meeting with PAPs at Nkhate Trading Centre The Committees consist of 5 members namely one female project affected person, one male project affected person, two representatives of traditional leaders and one representative of vulnerable people who is also a project affected person. The names of the members of the Grievance Redress System and the Resettlement Working Groups are attached as Annex 1 of this report. 5.4 Grievance redress principles The following principles will apply to grievance management: a) The procedure to be followed will take into account community and traditional dispute settlement systems. Traditionally people approach traditional leaders to resolve disputes – particularly in issues relating to use and ownership of land, trees and housing structures. Although it may be inevitable that, in the process of grievance management, project-affected people continue to follow customary procedures, they are likely to accept project-related structures if they are consulted on the matter. b) Information about all dispute and grievance procedures, including the functions of each structure and the processes to follow, will be widely disseminated to all stakeholders, through project structures, governmental and non-governmental Page 37 of 106 organizations, Community Based Organizations (CBOs), the Project Information Centre, and the media. This will not only fulfil the function of dissemination of information, but also transparency around project-related matters. c) Affordable and accessible procedures will be made available for the settlement of disputes arising from resettlement. d) Anybody assigned for reviewing grievances will be required to be independent and impartial to foster the trust and confidence of all stakeholders. e) A written record of all disputes/grievances raised and dealt with on a project level will be kept by the appropriate body. The entire grievance resolution process will be recorded, and a copy made available to the aggrieved person/s. f) All records will be monitored regularly by an independent monitoring team and the Evaluation Panel appointed for the project, as part of an on-going monitoring and evaluation process. The Evaluation Panel’s ToR will include the function of reviewing reported grievances and grievance management. The principle of confidentiality will apply to all processes. Confidentiality of the complainant, if so requested, and to information provided by any of the parties to a complaint. 5.5 Grievance redress process All attempts shall be made to settle grievances amicably. Those seeking redress and wishing to state grievances will do so by notifying their Local Leaders. The Local Leaders will inform and consult with the Resettlement Working Group (RWG) to determine validity of claims. If valid, the Local Leaders will notify the complainant and s/he will be assisted. If the complainant's claim is rejected, the matter shall be brought before the District Councils for settlement. All such decisions must be reached within a full growing season after the complaint is lodged. It has to be noted that in the local communities, people take time to decide to complain when aggrieved. Therefore, the grievance procedures will give a turnaround of not more than two weeks at each level to have the grievance attended to and the complainant is provided with feedback. The grievance procedures will ensure that the PAPs are adequately informed of the procedure, before their assets are taken. The grievance redress mechanism has been designed with the objective of solving disputes at the earliest possible time, which will be in the interest of all parties concerned and therefore, it implicitly discourages referring such matters to the Tribunal for resolution. Contracts for compensation and resettlement plans will be binding under statute, and will recognize that customary law is the law that governs land administration and tenure in the rural areas. This is the law that most Malawians living in these areas, are used to and understand. All objections to land acquisition shall be made in writing, in the language that the PAPs understand and are familiar with, to the Local Leader. Channelling complaints Page 38 of 106 through the Local Leader is aimed at addressing the problem of distance and cost the PAPs may have to face. The Local Leaders shall maintain records of grievances and complaints, including minutes of discussions, recommendations and resolutions made. The procedure for handling grievances will be as follows: a) The affected person should file her/his grievance in writing (in English or the local language that s/he is conversant with), to the Local Leader. The grievance note should be signed and dated by the aggrieved person. Where the PAP is unable to write, he should obtain assistance to write the note and emboss the letter with his thumb print. The traditional leader is the first contact between the aggrieved person and the grievance redress system. b) The Local Leader/ traditional leader should respond within 14 days during which any meetings and discussions to be held with the aggrieved person should be conducted. If the grievance relates to valuation of assets, experts may be requested to revalue the assets, and this may necessitate a longer period of time. In this case, the aggrieved person must be notified by the Local Leader that his/her complaint is being considered. If the local leader cannot provide an appropriate solution to the problem, the problem will be referred to the RGW to use established mechanisms of grievance redress, which may include the presence of peers of the PAP and other local leaders. c) If the aggrieved person does not receive a response or is not satisfied with the outcome within the agreed time (s)he must lodge his grievance to the District Council and the District Council must inform Government of the complaint d) The Council will then attempt to resolve the problem (through dialogue and negotiation) within 14 days of the complaint being lodged. If no agreement is reached at this stage, then the complaint is taken to the Courts of Law. Page 39 of 106 Figure 4 presents a systematic diagram for addressing grievances. Affected party declares a grievance Local leaders hear Grievance resolved No further and action grievance Grievance RWG team resolved No further investigates and rules action within 2 weeks Grievance resolved Grievance considered by No further District Council action Legal Action Figure 3: Grievance Redress pathways As can be seen from the figure above, the RWG is central to handling grievances from the PAP. It takes necessary action to address the grievances. Should grievances not be resolved RWG refers them to the District Council. If the value of compensation is not agreed within two months then the aggrieved party will refer the matter to a Compensation Board which will be made up of the Resident Magistrate and two assessors. The compensation board will consult the local leaders in case of customary land to verify the existence of the land in question and proceed to determine the amount of compensation to be given. The determination is done after hearing submissions from Government and the affected person. In the event that disagreements will not have been settled then the claimant has the right to take the matter to court of law as per their constitutional right. However all appeals should be settled within a reasonable period so that people’s lives can go on. All possible efforts to complete the compensations (100% compensation rate) will be put in place before commencement of civil works. If after exhausting additional efforts, some PAPs are still un-traced, their fund will be deposited into an Escrow account. RFA will open an Escrow Account to deposit the remaining compensation funds for untraced PAPs, which will be kept active for some time after the project is officially closed. Page 40 of 106 6.0 CHAPTER SIX: IMPLEMENTATION SCHEDULE The implementation schedule for the RAP is provided in Figure 3. In order to facilitate the resettlement process given the proposed construction timing, the following key activities will be initiated immediately upon commencement of the Project: a) Finalizing the project components such as borrow areas and disposal areas to facilitate land acquisition requirements and recording exercises can be undertaken; b) Appointing staff within RA and the affected district councils to commence preparatory activities, including ongoing consultation with affected communities; c) Updating the socio-economic baseline, including completing socio-economic questionnaires for all affected households not surveyed during the preparation of the RAP; d) Establishing a Compensation Determination Committee to finalize compensation principles, norms and rates; and e) Contracting suitable nongovernmental organisations (NGOs) to assist with the preparation of capacity building and skills enhancement programs targeting affected people. Page 41 of 106 Task Name Timeline 2016 to 2017 June July August September Ocotber November December January February March April May Appointing staff within RA and the affected district councils to commence with preparatory activities Contracting suitable NGOs to assist with the capacity building and skills enhancement programs. Conducting sensitisation meetings with PAPs Updating the socio-economic baseline Asset valuation and validation Identification of relocation sites Land acquisition Establishing a Compensation Determination Committee to finalize compensation principles, norms and rates. Signing compensation agreements with affected Payment of compensation Update database Provision of assistance to affected on grievances Termination of assistance to affected people Figure 3: Implementation Schedule 7.0 CHAPTER SEVEN: MONITORING AND EVALUATION Monitoring and evaluation will form an integral part of project implementation, providing the necessary information about the involuntary resettlement aspects of the project, measuring the extent to which the goals of the resettlement plan have been achieved and the effectiveness of mitigation measures. Problems and successes will be identified as early as possible so that timely adjustment of implementation arrangements will be made. The process needs to be undertaken for a reasonable period after all resettlement and related development activities have been completed. The RAP specifies the methods to be employed, frequency of measurement, reporting procedures, and the organizational arrangements to be made to undertake the activities including the involvement of those affected in the process. 7.1 INDICATORS Indicators and targets will be established for the project as a whole, in consultation with representatives of the affected communities and other key stakeholders. Indicators will be grouped into the following categories: a) Input indicators – will measure the resources (financial, physical and human) allocated for the attainment of the resettlement objectives, such as livelihood restoration goals. b) Output indicators – will measure the services/goods and activities produced by the inputs. Examples will include compensation disbursements for acquired assets. c) Outcome indicators – will measure the extent to which the outputs will be accessible and used, as well as how they will be used. They will also measure levels of satisfaction with services and activities produced by the inputs. Examples will include the ways in which recipients used compensation. Although they are not measures of livelihood restoration in themselves, they will key determinants of well-being. d) Impact indicators – will measure the key dimensions of impacts to establish whether the goals of the Resettlement Plan will be achieved. Examples will include restoration and Page 43 of 106 diversification of income levels and the sustainability of income-generating activities, as dimensions of livelihood restoration and well-being. e) Process indicators – will measure and assess implementation processes. Examples will be the functioning of liaison/participation structures, the levels of representation of different social categories/interest groups, and the processes by which conflicts and disputes are resolved. Indicators will also be disaggregated to ensure that social variables are properly accounted for. Table 3 provides details of different indicators and variables to be monitored. Table 5: Indicators and Variables to be monitored Aspect Indicator Variable Land Affected land  Area of cultivable land acquired for road developments  Area of communal land acquired for road developments  Area of private land acquired  Area of Government land acquired Buildings/Structures Affected Buildings  Number, type and size of private buildings affected  Number, type and size of community buildings affected  Number, type and size of government buildings affected Other  Number, type and size of other private structures affected Structures affected  Number, type and size of other community structures affected Trees Affected trees  Number and type of trees affected Page 44 of 106 Aspect Indicator Variable Compensation, Re- Compensation and  Number of homesteads affected (buildings, re- land, trees, crops) establishment and establishment of  Number of owners compensated by type of Rehabilitation loss affected owners/individuals  Amount compensated by type and owner  Number of replacement houses constructed  Size, construction, durability and environmental suitability of replacement houses  Possession of latrines  Water supply access  Number of replacement businesses constructed Re-establishment  Number of community buildings replaced owned resources  Number, type of plants lost  Number of seedlings supplied by type  Number of trees planted Hazards and Introduction of  Number of homesteads affected by hazards and disturbances from construction (noise Disturbances nuisance factors levels, blasting, increased traffic levels) Social/ Changes to  Homestead size homestead Demographic  Gender distribution Structure  Marital status  Relationship to homestead head  Status of “vulnerable” homesteads Population  Residential status of homestead members migration  Movement in and out of the homestead (place and residence of homestead members) Page 45 of 106 Aspect Indicator Variable Changes to access  Distance/travel time to nearest water source, communication facility, school, energy source, church, shop, village Changes to health  Number of people with disease, by type (STDs, diarrhoea, malaria, ARI, Status  Immunisable disease)  Mortality rates  Access to health care services (distance to nearest facility, cost of services, quality of services)  Utilization of health care services  Disease prevention strategies  Extent of educational programs  Latrine provision at schools (school child population per VIP on site) Changes to  Literacy and educational attainment of homestead members educational status  School attendance rates (age, gender)  Number, type of educational establishments Changes to status  Participation in training programs of  Use of credit facilities Women  Landholding status  Participation in jobs and other activities resulting from the project Page 46 of 106 Aspect Indicator Variable Homestead earning  Ownership of capital assets Capacity  Landholding size, area cultivated and production volume/value, by crop  Landholding status (tenure)•  Employment status of economically active members  Earnings/income by source, separating compensation payments  Changes to income-earning activities (agriculture) – pre- and post disturbance•  Access to income-generating natural resource base (wood, grass, sand, stones) Changes in social  Organizational membership of homestead members Organization  Leadership positions held by homestead members Population influx  Growth in number and size of settlements, formal and informal  Growth in market areas Consultation Consultation  Number of local committees established program operation  Number and dates of local committee meetings  Type of issues raised at local committees meetings  Involvement of local committees in RA development planning  Number of participating NGOs Page 47 of 106 Aspect Indicator Variable Information  Number, position, staffing of Information Centres Dissemination  Staffing, equipment, documentation of Information Centres  Activities of Information Centres  Number of people accessing Information Centres  Information requests, issues raised at Information Centres Grievances  Number of grievances registered, by type resolved  Number of grievances resolved  Number of cases referred to court Training Operation of  Number of local committee members trained training  Number of affected population trained in Program Project-related training courses Management Staffing  Number of implementing agencies by function  Number of GOM ministry officials available by function  Number of office and field equipment, by type Procedures in  Census and asset verification/quantification procedures in place Operation  Effectiveness of compensation delivery system  Number of land transfers effected At the end of the compensation and resettlement period the RAP shall be evaluated on its performance. The evaluation will assess the number of people who were to be resettled, issued to be addressed versus what will have been achieved in the agreed period. The evaluation will Page 48 of 106 be done by an independent NGO which will be decided and will determine modifications to be done on future similar projects in the District. 7.2 MONITORING The monitoring program will involve the following: a) Establishment of required institutional structures; b) Operation of compensation, grievance and other necessary procedures; c) Disbursement of compensation payments; d) Development of livelihood restoration programs; and e) Preparation and submission of monitoring and evaluation report. 7.3 REPORTING Reporting on the activities around involuntary resettlement forms an integral part of monitoring and evaluation, to: a) Ensure early detection of conditions that necessitate particular mitigation measures, and b) Provide information on the progress and results of mitigation. Reporting methods of any resettlement activities on the project to date seem to have been limited to reports from consultants working on different aspects of the project. It is recommended that in the future all consultation and disclosure activities be reported in detail, internally and externally. Page 49 of 106 8.0 CHAPTER EIGHT: CONCLUSION The Project’s major disadvantage is the displacement and relocation of both people and businesses. However if this resettlement action plan is followed then the people displaced will suffer minimum inconvenience. The Roads Authority in consultation with the Traditional Leaders, the Chikhwawa district Council and the Project Affected people has already facilitated the formation of Resettlement Working Groups and the Grievance Redress Committees to facilitate resolution of any grievances that may arise during implementation of the project. The Resettlement Working Groups (RWGs) and the Grievance Redress Committee will receive training to sensitise them on their roles and responsibilities so that they are able to do their work properly. For effective performance of this role, the RWG have been constituted in such a manner as to be regarded as the primary representative voice of the affected persons. The composition of the RWG is as follows: a) Elected representatives of the affected communities/villages. This made up of four members from each of the major trading centres. Two of these people are women and one is the representative of the vulnerable groups. b) Representatives of the chiefs in each of the areas affected; The Regional Lands Valuation Office already undertook assessment of properties that have will be affected by the road project and valued the properties. An additional amount equivalent to 10 percent of the assessed values of the property was added to arrive at the final compensation amount that is due to each Project Affected Person. Page 50 of 106 9.0 REFERENCES Environmental and Social Management Framework, Roads Authority, March 2014. Government of Malawi, 2011. National Gender Policy Government of Malawi, 2002. Malawi National Land Policy Government of the Republic of Malawi, 1995. The Malawi Constitution. Government Press. Zomba Government of Malawi, 2005. A NEW AGRICULTURAL POLICY: A Strategic Agenda for Addressing Economic Development and Food Security in Malawi. Ministry of Agriculture & Food Security, Lilongwe. Government of Malawi, 2005. National Water Policy, Ministry of Irrigation and Water Development, Tikwere House, Lilongwe Government of Malawi, 1996. National Forest Policy of Malawi, Ministry of Energy, Mines Natural Resources and the Environment. Lilongwe. Government of Malawi, 1961. The Lands Acquisition Act. Ministry of Forestry, Fisheries and Environmental Affairs, 1997. Environment Management Act. Government Press. Zomba Ministry of Forestry, Fisheries and Environmental Affairs, 1997. Forestry Act, Government Press, Zomba National Statistical Office, 1998. Population and Household Survey. Guidelines to Environmental Impact Assessment 1997 Environmental and Social Management Guidelines in the Road Sector March 2008 Health and Safety Guidelines for the Road sector 2009 – in Preparation Mawaya C. (2008). An Examination of Human Cantered Approaches in Malawi's Conservation Policies and Regulatory Frameworks, PhD Thesis, University of Kent National Statistical Office (NSO) (2010). Population and Housing Census 2008: Main Report National Statistical Office (2010b). Welfare Monitoring Survey 2009: Statistical Abstract Page 51 of 106 National Statistical Office (2010). Population and Housing Census 2008: Analytical Report Volume 1: Fertility and Nuptuality National Statistical Office (2010). Population and Housing census 2008: Analytical Report Volume 4: Gender National Statistical Report (2010). Population and Housing Census 2008: Analytical Report Volume 5: Education and Literacy National Statistical Office (2010). Statistical Yearbook 2009 National Statistical Office (2010). National Census of Agriculture and Livestock 2006/07 Main Report 2010; World Bank (1994a). Environmental Assessment Sourcebook, Volume I: Policies, Procedures and Cross-Sectoral Issues, Environment Department, World Bank Technical Paper No. 139, Washington, D.C. (1994b). Environmental Assessment Sourcebook, Volume II: Sectoral Guidelines, Environment Department, World Bank Technical Paper No. 140, Washington, D.C. (1994c). Environmental Assessment Sourcebook, Volume III: Guidelines for Environmental Assessment of Energy and Industry Projects, Environment Department, World Bank Technical Paper No. 154, Washington, D.C. (2014).Southern Africa Trade and Transport Facilitation Project (Malawi), Resettlement Policy Framework, Environmental and Social Management Unit, Roads Authority, Lilongwe. Chikwawa District Assembly (2009). District Socio-Economic Profile. Karonga District. Page 52 of 106 ANNEX 1: PUBLIC CONSULTATION REPORT PUBLIC CONSULTATION REPORT FOR THABWA –FATIMA ROAD This report highlights the issues and hotspots visited during stakeholder consultation for the aforementioned road which was conducted from November 30 to 2 December 2016 Generally in all the site visited, stakeholders welcomed the road construction project but raised the following issues: SUMMARY OF ISSUES RAISED BY STAKEHOLDERS CONSULTED ISSUE/CONCERN RESPONSE What will be process of resettling affected This process is well articulated in a RAP that is people being prepared. The process emphasize on adequate public consultations, fare compensation and adherence to policies of the project financiers and the government on resettlement of people. The process also provides for a grievance redress mechanisms. We will keep on communicating with you and we will form committees among you the affected people so that you are able to interface with authorities involved in this process What benefit will the affected people get during When compensation is paid, resettlement resettlement assistance is also provided and people are given ample time to remove their properties. Assistance will be provided to enable the affected people resettle without problems. Since we do not destroy the construction materials such as window and door flames, roofing materials, the money we pay for compensations s enables them to have extra cash to reconstruct their structures with improved materials When will the project start, are we going to be Yes because the World Bank Policies and compensated fairly National Registration advocate for fair compensations. We are committed to follow this. How would compensation for road sign e.g. Compensation will be given to the owners of New Building Society(NBS) Sign Post be the sign post in this case NBS handled since we influenced NBS to put the sign there When will the affected people be relocated The affected people will be given notice to relocate only after being compensated Page 53 of 106 Was assessing of our property a warning to No . It is not a warning to relocate because USrelocate there shall be a verification exercise on the property values before payments are made How much of the road leeway side will be A leeway of 36m with 18m on either side of the affected center line How will payment modalities be done We will inform you through your political and local leaders on the date, place and time when this will be done. Can one deny compensation if not satisfied One can present his concern to the grievance committee which will examine issues that underpin the concern What would happen if a beneficiary dies Mechanism are there to identify the rightful dependents to benefit Will the amount of compensation match with the That will be the case values of the property? Will farmers along the road strip be They will be compensated if they have title to compensated land. When will compensation be done This will be done before the project commences. Dates shall be communicated to you through your traditional leaders and the district council If the property Valuers are unable to find the They will consider the next of kin owner of the property because he went away , what will happen to their property and compensation How will they assess affected fields if owners They will consider the next of kin are not found in their field at the time of assessing Will the affected people be relocated before the They will be asked to relocated after compensation compensations are effected When you finish property assessment will you There will be a verification exercise before pay the compensation immediately compensations are paid Which business entity will be compensated All but not movable structures Will electricity poles be removed or not during If they are required so, they will be relocated road construction Page 54 of 106 SUMMARY OF SITES AND STAKEHOLDERS CONSULTED 1. THABWA NAME OCCUPATION CONTACT Frank Phiri Small scale business, farming 0882429691 Upile Matola Small scale business 0999778132 Steven January Small scale business 0882286595 Ida Samba Small scale business 0884986251 Mary Yohane Small scale business Ackim Mponda Butcher man 0888198160 Cecelia Petro Small scale business 0995453091 Harrison Malunga Small scale business Yohane Fole Small scale business Chimwemwe Malunga Tyre fitter Mavuto Kamalizeni Small scale business Batson Malulu Small scale business Charles Ngwale vendor 2. DEMBO TRADING CENTRE Steve August Selling farm produce 0888988435 John Nangwale Farming food crops 0882861798 Susan Muhiye Small scale business Johnathan Limited Vendor Nickson Tonthola Vendor 0994594138 Gerald Phiri Vendor Jack Time Vendor Page 55 of 106 Taman Stanzio Vendor Mulli Cement Vendor Seleman Mustafa Vendor Lucius Mark Vendor Master Lumison Vendor Charles Nzeru Vendor Navigator Navindiyo Vendor Maxwell Feston Vendor Venancio Bunnet Vendor 3. MFERA TRADING CENTRE Phillip Matemba Vendor 0532343881 Aleka Ernest Vendor Lysiman Mlongoti Vendor Magret Peterson Vendor David Makala Vendor Rose Malango Small scale business 0882867259 Phaless Dyton Vendor Zione Mpala Vendor Hilda Petro Vendor Eliat Herman Vendor 4. MAPELERA TRADING CENTRE Lyphos Thengalo Vendor Yosefe Etekadi Vendor Upile Chimera Small scale business 0884046602 Clement Mala Small Scale business 0999731452 Shafiki Hatton Small Scale business 0997787039 Bamusi Peter Vendor Lapa Simeon Vendor Page 56 of 106 Hassan Chikankango Vendor Joseph Phiri Forestry Assistant 0888145156 Madalitso Witason Farming food crops Steven Pasiya Running Kabanza 5. NKHATE TRADING CENTRE Dave Police Vendor Lucio Elliot Small scale business 0999601293 Lameck Guta Vendor Anthony Mashayi Small scale business Samson Khomelani Vendor Lawrence Limited Vendor 0997800630 Elias Khwajiya Vendor Lyford Mafali Small scale business 0998585756 R.H Tewera Vendor Kenson Gent Vendor 0999977405 Arnold Mtembenuzeni Small scale business John Katandika Small scale business 0999777427 6. MASENJERE TRADING CENTRE John Mussa Small scale business 0882144146 Pastor Nason Chiwaya pastor Robert Chibanti Vendor 0888135930 Village Head Banda Traditional Leader Miker Bowazi Vendor Violet Jackson Vendor Befa Msolo Vendor Mary Kuntaja Vendor Watson Nalison Vendor Benson Manjolo Vendor 0888328552 Page 57 of 106 Emmanuel Kashati Vendor Willy Julius 7. FATIMA TRADING CENTRE Lengston Kamba Shoe maker Mr Mendeyi Small scale business 0888205102 George Meki Motor bike repairer 0884115350 Nyasaland Chifu Small scale business Zacharia Sailesi Small scale business 0997747540 Sunganani Pangawo Small scale business Evelyn Bitton Small scale business 0884118223 Mr Seven Small scale business 0884171875 Page 58 of 106 A: Dembo Trading Center B: Mfera Trading Center C: Maperera Trading Center D: Nkhate Trading Center E: Masenjere Trading Center F: Fatima: Discussion with a Shoe Marker ANNEX 2: FORMATION OF THE RESETTLEMENT WORKING GROUPS AND GRIEVANCE REDRESS COMMITTEES Page 59 of 106 G: Fatima- Discussion with Unregistered l fuel trader H: Fatima – Discussion with a fish monger G: Fatima- Discussion with a Motorbike Mechanic H: Fatima – Discussion with a Hawker operator I: Fatima- Discussion with a Snack Sellers J: Thabwa Trading Center- Discussion with a road side Butchery Operator Members of Resettlement Working Group at Fatima Trading Centre Page 60 of 106 K: Thabwa- Discussion with a Tyre Fitter L: Thabwa-Group discussions No Name Sex Phone Number 1 Sosten Kuyeli Male 0888377210 2 Francis Kaleso Male 0888504778 3 Alex Solomon Male 0888306485 4 Evellyne Nagatani Female 0884171875 5 Representative of T/A Mlolo Female Members of Resettlement Working Group for Livunzu Trading Centre No Name Sex Phone Number 1 Aubrey Genti Male 0882709299 2 Elizabeth Sona Female 3 Daniel Kalimwayi Male 4 Chrissy Pitala Female 0993142177 5 Maria Mananga Female Members of Resettlement Working Group and Grievance Redress Committee at Nkhate Trading Centre No Name Sex Phone Number 1 Lyford Mafuli Male 0998585756 Page 61 of 106 2 Edna Ofesi Female 0993733377 3 Clement Burton Male 0999003568 4 Eliza Thenthe Female 5 Menard Gatoma Female Resettlement Working Group and Grievance Redress Committee at Mapelera Trading Centre No Name Sex Phone Number 1 Chalunguta Mwapha Male 0994531302 2 Mrs Chimwala Female 0881704610 3 Hawa Kalombo Female (vulnerable) 4 Yassin Medson Male 0999324492 5 Tisunge Mackson Female 0888113632 Mfera Trading Centre Resettlement Working Group Committee No Name Sex Phone Number 1 Wackson Lemitala Male 0881239081 2 Samson Chapenduka Male 0993055883 3 Zione Mupala Female 0888685266 4 Zione Golden Female 5 Dyton Chauta Male Resettlement Working Group at Dembo Trading Centre No Name Sex Phone Number 1 Johnathan Limited Male 0996219640 Page 62 of 106 2 Esther Vinisho Female 0996538512 3 Alfonso Darlington Male 0884019400 4 Alex Mkwapatira Male 0999209776 5 Henry Pembali Male 0883500090 Resettlement Working Group Members at Mitondo Trading Centre No Name Sex Phone Number 1 Y. Bisiyasi Male 0888401279 2 R, Mayibeck Male 0888130468 3 E. Folly Female 0882901644 4 Mussa Bakali Male 5 Evelyne Thonje Female ANNEX 3: LIST OF PEOPLE THAT ELECTED RESETTLEMENT WORKING GROUPS AND GRIEVANCE REDRESS COMMITTEES Page 63 of 106 Page 64 of 106 Page 65 of 106 Page 66 of 106 Page 67 of 106 Page 68 of 106 ANNEX 4: CODE OF CONDUCT FOR ALL CONTRACTORS EMPLOYEES Employer’s Child Protection Code of Conduct To Be Signed by All Employees, Sub-contractors, Sub-consultants, and Any Personnel thereof I, insert name agree that in the course of my association with the Employer, I must:  treat children with respect regardless of race, colour, gender, language, religion, political or other opinion, national, ethnic or social origin, property, disability, birth or other status;  not use language or behaviour towards children that is inappropriate, harassing, abusive, sexually provocative, demeaning or culturally inappropriate;  not engage children under the age of 18 in any form of sexual intercourse or sexual activity, including paying for sexual services or acts;  wherever possible, ensure that another adult is present when working in the proximity of children;  not invite unaccompanied children into my place of residence, unless they are at immediate risk of injury or in physical danger;  not sleep close to unsupervised children unless absolutely necessary, in which case I must obtain my supervisor’s permission, and ensure that another adult is present if possible;  use any computers, mobile phones, video cameras, cameras or social media appropriately, and never to exploit or harass children or access child exploitation material through any medium;  not use physical punishment on children;  not hire children for domestic or other labor which is inappropriate given their age or developmental stage, which interferes with their time available for education and recreational activities, or which places them at significant risk of injury;  comply with all relevant local legislation, including labor laws in relation to child labor;  immediately report concerns or allegations of child exploitation and abuse and policy non-compliance in accordance with appropriate procedures;  immediately disclose all charges, convictions and other outcomes of an offence, which occurred before or occurs during my association with the Employer that relate to child exploitation and abuse. When photographing or filming a child or using children’s images for work-related purposes, I must:  assess and endeavour to comply with local traditions or restrictions for reproducing personal images before photographing or filming a child;  Obtain informed consent from the child and parent or guardian of the child before photographing or filming a child. As part of this I must explain how the photograph or film will be used;  ensure photographs, films, videos and DVDs present children in a dignified and respectful manner and not in a vulnerable or submissive manner. Children should be adequately clothed and not in poses that could be seen as sexually suggestive;  ensure images are honest representations of the context and the facts; Page 69 of 106  ensure file labels, meta data or text descriptions do not reveal identifying information about a child when sending images electronically or publishing images in any form; I understand that the onus is on me, as a person associated with the Employer, to use common sense and avoid actions or behaviours that could be construed as child exploitation and abuse. Signed: Date: ANNEX 5: ACTION PLAN FOR MITIGATING RISKS ASSOCIATED WITH MIGRANT WORKERS ON THE THABWA- CHITSEKO- SEVEN ROAD Introduction The Roads Authority is embarking on the Improvement of the Thabwa- Chitseko- Seven road with funding from the World Bank. The implementation of this Project will involve construction of civil works for which the required labour force and associated goods and services will not be fully supplied locally for a number of reasons, among them worker unavailability and lack of technical skills and capacity. In this case, the labor force (total or partial) will need to be brought in from outside the projects area. This influx may be compounded by an influx of other people (“followers”) who follow the incoming workforce with the aim of selling them goods and services, or in pursuit of job or business opportunities. The rapid migration to and settlement of workers and followers in the project area may affect project areas negatively in terms of public infrastructure, utilities, housing, sustainable resource management and social dynamics. The influx of workers and followers can lead to adverse social and environmental impacts on local communities. Such adverse impacts may include increased demand and competition for local social and health services, as well as for goods and services, which can lead to price hikes and crowding out of local consumers, increased volume of traffic and higher risk of accidents, increased demands on the ecosystem and natural resources, social conflicts within and between communities, increased risk of spread of communicable diseases, and increased rates of illicit behaviour and crime. Such adverse impacts are usually amplified by local-level low capacity to manage and absorb the incoming labor force, and specifically when civil works are carried out in, or near, vulnerable communities and in other high-risk situations. While many of these potent ial impacts are identified in a project’s Environmental and Social Impact Assessment (ESIA), they may only become fully known once a contractor is appointed and decides on sourcing the required labor force. This means that not all specific risks and impacts can be fully assessed prior to project implementation, and others may emerge as the project progresses. Thus, measures defined in the project Environmental and Social Management Plan (ESMP) to address such problems sometimes may be insufficient. It is Page 70 of 106 therefore important to develop site specific measures before the contractor starts work, and update them as necessary to reflect project. Overall, adequate monitoring and adaptive management of the potential impacts from labor influx will be put in place for addressing and mitigating risks. Key Principles for Managing impacts of Influx of Labour There are three key principles that will be followed when assessing and managing risks associated with an Influx of migrant workers/labour under the Southern African Trade and Transport Facilitation Project. These include the following; Reducing Labour Influx by tapping into the local workforce; The contractor is encouraged to recruit locally most of the unskilled labour force while only the skilled labour force should be hired from elsewhere. This will help to avoid or reduce the influx of migrant labour in the project sites. Assess and Manage labour influx risk based on appropriate instruments The assessment and management of the labour influx will be based on the risks identified in the ESIA and appropriate mitigation measures as specified in the ESMPs. Other site specific Labour Influx Management Plans and/or Workers Camp Management Plan should be developed for high risk environments. Incorporate Social and Environmental Mitigation measures in the civil works contract Most adverse impacts from labour influx can only be mitigated by the contractor who is always on site. The management of these impacts is therefore reflected as a contractual obligation, with appropriate mechanism for addressing noncompliance. The construction contract requires that the contractor provides a Social and environmental specialist who will ensure that mitigation measures are being implemented and the Roads Authority will be undertaking regular monitoring of compliance. The works contract will includes the ESMP and the Roads Authority will ensure that the sub project specific ESMP is reflected in the contractor’s ESMP (CESMP). Potential Adverse Impacts of Labour Influx Labor influx for construction works can lead to a variety of adverse social and environmental risks and impacts. The list below provides a summary of typical adverse social and environmental impacts, but is not exhaustive. While many of these impacts could have been present already or might occur regardless of the labor influx, they are likely to be exacerbated by it. The actual type and degree of impact varies significantly depending on the characteristics of the project, community and incoming workforce. For example, linear projects like roads will have different types and extent of impacts as compared to nuclear projects like One Stop Boarder Posts. Page 71 of 106 Adverse Social Impacts The list below indicates common categories of social risk associated with labor influx: Risk of social conflict: Conflicts may arise between the local community and the construction workers, which may be related to religious, cultural or ethnic differences, or based on competition for local resources. Tensions may also arise between different groups within the labor force, and pre-existing conflicts in the local community may be exacerbated. Ethnic and regional conflicts may be aggravated if workers from one group are moving into the territory of the other. Increased risk of illicit behaviour and crime: The influx of workers and service providers into communities may increase the rate of crimes and/or a perception of insecurity by the local community. Such illicit behaviour or crimes can include theft, physical assaults, substance abuse, prostitution and human trafficking. Local law enforcement may not be sufficiently equipped to deal with the temporary increase in local population. Influx of additional population (“followers”): Especially in projects with large footprints and/or a longer timeframe, people can migrate to the project area in addition to the labor force, thereby exacerbating the problems of labor influx. These can be people who expect to get a job with the project, family members of workers, as well as traders, suppliers and other service providers (including sex workers), particularly in areas where the local capacity to provide goods and services is limited. Impacts on community dynamics: Depending on the number of incoming workers and their engagement with the host community, the composition of the local community, and with it the community dynamics, may change significantly. Pre-existing social conflict may intensify as a result of such changes. Increased burden on and competition for public service provision : The presence of construction workers and service providers (and in some cases family members of either or both) can generate additional demand for the provision of public services, such as water, electricity, medical services, transport, education and social services. This is particularly the case when the influx of workers is not accommodated by additional or separate supply systems. Increased risk of communicable diseases and burden on local health services : The influx of people may bring communicable diseases to the project area, including sexually transmitted diseases (STDs), or the incoming workers may be exposed to diseases to which they have low resistance. This can result in an additional burden on local health resources. Workers with health concerns relating to substance abuse, mental issues or STIs may not wish to visit the project’s medical facility and instead go anonymously to local medical providers, thereby placing further stress on local resources. Local health and rescue facilities may also be overwhelmed and/or ill equipped to address the industrial accidents that can occur in a large construction site. Gender-based violence: Construction workers are predominantly younger males. Those who are away from home on the construction job are typically separated from their family and act Page 72 of 106 outside their normal sphere of social control. This can lead to inappropriate and criminal behavior, such as sexual harassment of women and girls, exploitative sexual relations, and illicit sexual relations with minors (girls under the age of 18) from the local community. A large influx of male labor may also lead to an increase in exploitative sexual relationships and human trafficking whereby women and girls are forced into sex work Child labor and school dropout. Increased opportunities for the host community to sell goods and services to the incoming workers can lead to child labor to produce and deliver these goods and services, which in turn can lead to enhanced school dropout. Local inflation of prices: A significant increase in demand for goods and services due to labor influx may lead to local price hikes and/or crowding out of community consumers. Increased pressure on accommodations and rents: Depending on project worker income and form of accommodation provided, there may be increased demand for accommodations, which again may lead to price hikes and crowding out of local residents. Increase in traffic and related accidents: Delivery of supplies for construction workers and the transportation of workers can lead to an increase in traffic, rise in accidents, as well as additional burden on the transportation infrastructure. Adverse Environmental Impacts The environmental impacts listed below are more likely to be of relevance for projects that require a larger labor force, which results in a bigger project footprint: Inadequate waste disposal and illegal waste disposal sites: Large populations of workers generate increased amounts of waste, for which no sufficient local waste management capacities may exist, which would likely lead to improper disposal practices. Wastewater discharges: Project-related activities, along with workers’ camps, and a lack of appropriate wastewater discharges may pollute nearby water resources. Major health risks can occur if latrine pits spill over into local streams that are used for drinking water by the host community. Increased demand on freshwater resources: The provision of clean drinking water and water for hygiene purposes can result in increased pressure on freshwater resources in the project or camp site area. 3.2.4 Camp related land use, access roads, noise and lights: In ecologically sensitive areas, workers’ camps can have impacts on the local wildlife. This may include disturbance of species, as well as illegal hunting. In the sa me context, new access routes for workers’ camps may have impacts on natural habitats. 3.2.5 Increased deforestation, ecosystem degradation, and species loss: These can result from forest or land conversion for worker housing and workers’ agricultural subsistence activities. Page 73 of 106 Increased use of / demand for natural resources : This can include logging for construction, fuelwood collection, use of water resources, farming and grazing, hunting and fishing, trade in endangered species, potential introduction of invasive or non-native species, and land degradation Assessment and Management of Risks and Impacts In order to manage risks and impacts associated with an influx of labour, various players play important roles. Some of these roles will be played by the Roads Authority and other roles will be played by the Contractor. A number of instruments will be used to assess and mitigate project related risks, including: (i) the project ESIA and ESMP, which were already prepared by the Roads Authority and reviewed and cleared by the Bank and which are part of the Bank’s Financing Agreement with the Government of Malawi, and (ii) the CESMP, which will form part of the contract between the Roads Authority and the contractor. Contractually, the contractor must follow the CESMP, which builds upon the findings and proposed measures identified in the project ESIA and ESMP. Roles of the Roads Authority in Assessing and Managing Labour Influx Risks and Impacts  Ensuring that the contractor implements robust measures to address the risk of gender- based violence.  Ensure that the contractor should provide the CESMP which provides a detailed explanation of how the contractor will comply with the project’s safeguard documents such as the ESMP, and demonstrate that sufficient funds are budgeted for that purpose.  Ensure that the CESMP includes specific mitigation measures based on the ESMP, the final design, the proposed work method statements, the nature of the project site, etc.  Ensure that the contractor CESMP include specific management plans for: (i) work activities; (ii) traffic management; (iii) occupational health and safety; (iv) environmental management; (v) social management; and (vi) labor influx. Lobby Government to provide complimentary state support: While clear and decisive measures by the contractor are critically important, the effectiveness of these measures often depends on complementary actions by the Government. These are focused on public administration and law enforcement, such as: (i) Reinforcing community policing in a remote setting, where services may not be sufficiently staffed or equipped to maintain public order after the influx, Page 74 of 106 (ii) Ensuring that complaints about gender-based violence are taken seriously by local law enforcement, (iii) Deploying female officers to the project area, and (iv) Participating in preventive training with workers to demonstrate the presence of government authority in the project area. Contractors Responsibilities Ensuring that construction workers and contractors avoid fraternization. Fraternization refers to conducting close social relations, which are considered inappropriate with people who are unrelated to one another. In the context of labor influx, this refers to incoming workers’ pursuit of social contact, typically with female members of the local community. This can lead to a spectrum of unacceptable and/or illicit behaviours, ranging from unwanted aggressive advances and sexual harassment to gender-based violence against women and children. In order to avoid fraternization, the contractor will need to do the following (i) Provide mandatory and repeated training and awareness raising for the workforce about refraining from unacceptable conduct toward local community members, specifically women; (ii) informing workers about national laws that make sexual harassment and gender based violence a punishable offence which is prosecuted; (iii) introducing a Worker Code of Conduct as part of the employment contract, and including sanctions for non-compliance e.g., termination; (iv) Adopting a policy to cooperate with law enforcement agencies in investigating complaints about gender-based violence and in appropriate sexual contacts with minors. (v) providing additional measures that aim to reduce incentives to engage with the local community by providing workers with the opportunity to spend their time off away from the host community, where feasible with a small transport allowance, ideally allowing workers to regularly return for brief visits to their families, spouses and friends, or to visit nearby urban centers that provide a variety of legal social opportunities. Page 75 of 106 LABOUR INFLUX MANAGEMENT PLAN No. Expected Adverse Potential Mitigation Broader enabling Responsibility Impact Measures Environment Social Impacts 1 All i. Establishment and operation of an effective GRM Roads Authority/ accessible to Project Engineer/ community members—ideally Social Specialist with involvement of NGOs—to facilitate early identification of problems and targeted mitigating interventions by Borrower; ii. Provision of information to communities on how to use the GRM to report issues; iii. Monitoring and taking appropriate actions to ensure CESMP provisions are met; iv. Inclusion of relevant provisions in the ESMP v. Inclusion of relevant provisions in the contract. 2 Risk of social conflict i. Consultations with and involvement of local communities in Roads project planning and Authority/Social implementation; Specialist/ Project ii. Awareness- Engineer raising among local community and workers. Page 76 of 106 iii. Provision of information regarding Worker Contractor Code of Conduct in local language(s); iv. Provision of cultural sensitization training for workers regarding engagement with local community. 3 Increased risk of illicit i. Police behaviours and crime monitoring to prevent drugs (including prostitution, trafficking; theft and substance ii. Sensitization abuse) campaigns both for workers and local communities iii. Sourcing of local workforce; iv. Creation of Contractor supervised leisure areas in workers’ camp; v. Cooperation with local law enforcement; vi. Introduction of sanctions (e.g., dismissal) for workers involved in criminal activities; vii. Provision of substance abuse prevention and management programs. 4 Adverse impacts on i. Liaison with civil community dynamics society organizations to create integrative action plans; ii. Provision of upfront Roads Authority information on potentially detrimental impacts on local communities. Page 77 of 106 iii. Provision of services in the workers’ camp to reduce the need for workers to use local community facilities Contractor (internet, sports); iv. Provision of entertainment and events for workers within camp to reduce incentives for mixing with local community. 5 Influx of Additional i. Communications Population campaign to manage (“Followers”) expectations and discourage District spontaneous influx of job Commissioners’ seekers; office ii. Local government to address this additional influx of the “followers” to ensure that no illegal and unsafe settlements develop; iii. Explore options for orderly accommodation on open space that can be monitored by law enforcement. iv. Contractor to hire workers through labour/ recruitment offices and avoid hiring “at the gate” to discourage spontaneous influx of job seekers. Page 78 of 106 Contractor 6 Increased burden on i. Workers’ camp to contractor public service include wastewater disposal and septic Provision systems; ii. Identification of authorized water supply source and prohibition of use from other community sources; iii. Separate service providers for community and workers’ camp/construction site; iv. Worker Code of Conduct on water and electricity consumption 7 Increased risk of i. Contracting of an Awareness communicable diseases HIV service provider raising about to be available on- (including STDs and site; public health HIV/AIDS ii. Implementation of impacts from Contractor/ HIV/AIDS education labor influx program; service providers iii. Information campaigns on STIs among the workers and local community; Page 79 of 106 iv. Education about the transmission of diseases; v. Provision of condoms; vi. Monitoring of local population health data, in particular for transmissible diseases. Ministry of Health 8 Gender-based i. Instruction and Increased violence, including equipping of local law security presence enforcement to act on sexual harassment, community in nearby child abuse and complaints; communities; Contractor/Service exploitation ii. Information and Reinforcement awareness raising Providers of police force campaigns for community members, where needed; specifically women Deployment of and girls; female police iii. Provision of officers in information to host community about the project area; contractor’s policies Application of and Worker Code of long-term Conduct (where applicable community- iv. Training of School based Management approaches to Committee and head address the issue; teachers on sexual violence and Enforcement of protection of children laws on sexual particularly violence and adolescent girls Page 80 of 106 human trafficking 1. Mandatory and regular training for workers on required lawful conduct in host Contractor community and legal consequences for failure to comply with laws; v. Commitment / policy to cooperate with law enforcement agencies investigating perpetrators of gender-based violence; vi. Creation of partnership with local NGO to report workers’ misconduct and complaints/reports on gender-based violence or harassment through the GRM; vii. Provision of opportunities for workers to regularly return to their families; viii. Provision of opportunities for workers to take advantage of entertainment opportunities away Page 81 of 106 from rural host communities. 9 Child labor and school i. Communication on Enforcement of drop out hiring criteria, legislation on minimum age, and District Labour applicable laws. child labor. Officer ii. Ensuring that children and minors are not employed directly or indirectly on the project. Contractor 10 Increased traffic and i. Local government rise in accidents engagement with contractor and DC communities to identify accident hotspots and formulation of solutions. Preparation and implementation of a traffic management plan to be approved by supervision engineer; Page 82 of 106 ii. Building additional/separate roads to project and Contractor workers’ camp sites; iii. Organization of commute from camp to project to reduce traffic; iv. Road safety training and defensive driving training for staff; v. Sanctions for reckless driving. Environmental Impacts 1 Inadequate waste i. Inspection of waste Resident Engineer disposal and creation disposal arrangements ii. Reduction of waste of illegal waste generation; Sound disposal sites practices for waste Contractor disposal. 2 Wastewater Discharges i. Regular inspection to Resident Engineer ensure proper functioning. ii. Ensuring workers’ camp and associated facilities are connected to septic tank or other wastewater systems which are appropriate Contractor and of sufficient capacity for the number of workers and local conditions. 3 Increased demand on Water conservation and freshwater resource recycling of water; Consideration of use of Contractor rainwater where feasible; Avoiding contamination of fresh water sources. 4 Camp related land use, Placement of workers’ RE/Contractor access roads, noise and camp away from lights environmentally sensitive areas to avoid impacts on the local wildlife; Routing Page 83 of 106 of new access routes for workers’ camp to avoid/minimize environmentally sensitive areas. 5 Increased Cooperation with deforestation, environmental organizations ecosystem degradation, in the area to seek their Environmental and species loss advice and allow for early Planner/ feedback on adverse Contractor impacts. Only wood from commercial sources to be used on the project; Use of wood for fuel prohibited; Reduction in energy demand, reduced noise and contractor light generation, reduced and safe use of dangerous chemical substances. 6 Increased use/demand Close monitoring of impact on natural resources on natural resources with enforcement of contract or Environmental legislative options; and Social Planner Minimized land use change and use of other natural resources; Avoidance of deforestation around camp area; Prompt and effective response to environmental Contractor and social issues raised by supervision engineer. Page 84 of 106 Page 85 of 106 ANNEX 6: VALUATION REPORT Page 86 of 106 Annex 7: EXPROPRIATION OF PROPERTIES Page 87 of 106 ANNEX 8: EXPROPRIATION OF TREES Page 88 of 106 ANNEX 9: TERMS OF REFERENCE Annex 9: Terms of Reference for Preparing the ESIA and RAP TERM OF REFERENCE FOR CONDUCTING AN ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT AND PREPARATION OF THE RESETTLEMENT ACTION PLAN FOR THE THABWA-CHITSEKO- SEVEN ROAD ON THE EAST BANK 1.0 Introduction 1.1 Background With support from the World Bank, the Roads Authority plans to rehabilitate the 60 Km of the Thabwa- Chitseko- Seveni Road. The major works of the proposed project shall include rehabilitation and widening of the carriageway. Because of the scope and nature of works that will be undertaken before, during and after construction, the road project has received an environmental classification of Category 1. This means that there is need to carry out an environmental and social impact assessment and develop a resettlement action plan as required by the Environmental Management Act (1997), Environmental Social Impact Assessment Guidelines and the World Bank’s Environmental Self-guard policies. These terms of reference outlines the objectives, expected outputs, tasks for carrying out an environmental and social impact assessment (ESIA) and development of the resettlement action plan (RAP) for the project. 1.2 Objectives and expected outputs of the assignment 1.2.1 Objectives 1. To conduct an environmental and social impact assessment for the Thabwa through Chitseko to Seveni Road rehabilitation project. 2. To prepare a Resettlement Action Plan (RAP) for the affected people along the Thabwa- Chitseko- Seveni Road rehabilitation project. 1.2.2 Expected outputs The expected outputs of the assignment include the following: i. Environmental and social impact assessment report that includes the Environmental and Social Management Implementation Plan and Monitoring Plan as one document ii. Environmental management plan and action plan and; iii. Resettlement action plan for the affected people along the project 2.0 Scope of work Page 89 of 106 The scope of the work and tasks for the assignment is defined in line with the Environmental Management Act (1996), the Environmental and Social Impact Assessment Guidelines (1997) and the World Bank’s Environmental and Social management Framework (2014) Environmental and Social Safeguards Policies of the World Bank and Resettlement Management Framework (2014) prepared by the Environmental and Social Management Unit of the National Roads Authority. The detailed tasks include the following: 2.1 Provide detailed description of the project from Thabwa through Chitseko to Seveni Road section including the details of the proponent, alternatives under consideration, mode of waste disposal, general design of the road, size of land for the project site including electricity, water reticulation, waste disposal and access roads. Provide a site specifics map of the area (Scale 1:50,000) showing the proposed road route. 2.2 Describe and analyse the baseline environment of the project. Collect, analyse and present baseline information on the environmental characteristics of the existing situation in the proposed road project. The description and analysis should among others include: i. Physical environment which includes topography, landforms, geology, soils climate and meteorology, air quality, hydrology, etc. ii. Biological environment such as flora and fauna types and diversity, endangered species, sensitive habitats, etc. iii. Social and cultural environment, including present and projected, where appropriate identify areas of cultural significance, population and migration, social economic characteristics of different stakeholders such as women groups, business people, faith based communities, traders in and around the trading centres, vendors, the people land use, planned development activities, community structure, gender, employment and labour market, sources and distribution of income, cultural properties, etc. 2.3 Identify and describe all pertinent regulations and standards governing the environmental quality, solid and liquid waste management, health and safety, protection of sensitive areas, land use control at national and local levels and ecological and socio-economic issues. 2.4 Identify potential environmental and social impacts that could result from the project. Describe and analyse all significant changes expected due to the proposed road project focusing on both negative and positive impacts. The impacts could include economic, environmental, ecological and social impacts which could both be positive or negative impacts as a result of the interaction between the proposed project and the environment that are likely to bring about changes in the baseline environmental and social conditions of the area. It is expected that during the analysis, the consultant shall consider both biophysical and socio-economic factors that will include the impacts of: population change and migration; socio-economic characteristics of the difference target groups along the proposed road project; forms of social organization and co- Page 90 of 106 operation; physical and social infrastructure; change in economic activities; development resources; vegetation clearance; mechanical disturbance; removal of structure /sites; effects on flora and fauna; air quality; improved access; accident rates; and visual/aesthetic change. The potential impacts must relate to the project cycle of the project which include following:  Project planning- determination of route, land acquisition, relocation, compensation and housing of displaced people, etc.  Project construction works- land clearing, earth moving, access roads, waste disposal and management systems, drainage systems, dust, loss of scenic values of land scape, threat to cultural and historical sites or artefacts.  Project operation-generation and removal of waste, emission of pollutants from vehicles, maintenance of the road, access routes, interaction between migrant workers and local community, accidents, HIV and AIDS, effects of route on the land values, planning and management of ribbon development along the routes and others.  Project decommissioning- allowing productive use of the land for example campsite, reconstruction of damaged environment 2.5 Analyse and describe occupational and health concerns. Describe and analyse all occupational health and safety concerns likely to arise as a result of construction and operations of the proposed road project. Make recommendations on corrective and remedial measures to be implemented under the environmental management plan. 2.6 Undertake a full public participation and consultations on the positive and negative impacts of the project: Carry out a social due diligence which will involve a description of the social, economic and cultural status of the project area. Organise meeting and forums for public participation to enable interested & affected parties to present their concerns and opinions regarding the proposed project. 2.7 Propose mitigation measures to the identified environmental and social impacts of the proposed project. Propose feasible mitigation measures for the negative impacts that could result from the proposed project. 2.8 Develop an Environmental Management Plan (EMP) to mitigate negative impacts of the project. Develop a comprehensive (EMP) that sets up mitigation, monitoring and institutional measures to eliminate, minimize or reduce to acceptable levels of the adverse environmental impacts and or minimize socio-economic benefits of the proposed project. Provide a cost outlay for the proposed measures as well as their institutional and financial support mechanisms. 2.9 Develop an Environmental Monitoring Plan. Provide specific descriptions and technical details of monitoring measures, including parameters to be measured, methods to be applied, and sampling locations, frequency of measurements or data collection, and definitions of thresh-holds that will signal the need for corrective actions. Describe the monitoring and reporting procedures as well as the timeframes Page 91 of 106 and implementation mechanisms. Provide details of the staffing requirement and cost outlays for the implementation of the plan. 2.10 Prepare a Resettlement Action Plan (RAP) in line with the World Bank policy framework guidelines on Involuntary Resettlement (OP 4.12) the Environmental Management Act (EMA 1996) and the legal requirements of the country. Page 92 of 106