Page  1
1
THE GOVERNMENT OF TAJIKISTAN 
 
DUSHANBE VODOKANAL (DVK)  
 
Second Dushanbe Water and 
Sanitation Project.  
 
RESETTLEMENT POLICY FRAMEWORK 
 
January 2011. 
 
RP1069 V1
Page  2
2
GLOSSARY OF TERMS 
 
DEFINITIONS  
Unless the context dictates otherwise, the following terms will have the following 
meanings:  
 
“Project affected persons” (PAPs)
 means persons who, for reasons of the 
involuntary taking of their land and other assets under the project, result in direct 
economic and or social adverse impacts, regardless of whether or not the said 
PAP physically relocate. 
 
These people may have their: 
·
standard of living adversely affected, whether or not the PAP must move 
to another location; 
·
right, title, investment in any house, land (including premises, agricultural 
and grazing land) or any other fixed or movable asset temporarily or 
permanently possessed or adversely affected; 
·
access to productive assets temporarily or permanently adversely affected; 
or 
·
business, occupation, work or place of residence or habitat adversely 
affected. 
·
the cost of any registration and transfer taxes. 
 
“Involuntary resettlement”
 means the involuntary taking of land resulting in 
direct or indirect economic and social impacts caused by: 
a) Loss of benefits from use of such land; 
b) relocation or loss of shelter; 
c) loss of assets or access to assets; or 
d) loss of income sources or means of livelihood, whether or not the PAP has 
moved to another location. 
 
Cut-off date
is the date of commencement of the census of PAPs within the 
project area boundaries (including unidentified owners). Beyond this date, any 
person not included in the census who lays claim to land or assets affected by the 
project (which they did not own before the cut-off date) will not be eligible for 
compensation. 
 
Page  3
3
Compensation
means the payment in kind, cash or other assets given in 
exchange for the taking of land, loss of other types of assets (including fixed 
assets) or loss of livelihoods resulting from project activities. 
 
Census
is a complete count of the population affected by a project activity 
including collation of demographic and property information. This will identify 
and determine the number of Project Affected Persons (PAP) and the nature and 
levels of impact. 
 
“Involuntary Land Acquisition”
 is the taking of land by government or other 
government agencies for compensation, for the purposes of a public project 
against the will of the landowner. The landowner may be left with the right to 
negotiate the amount of compensation proposed. This includes land or assets for 
which the owner enjoys uncontested customary rights. 
 
“Resettlement Action Plan (RAP)”
is a resettlement instrument (document) to be 
prepared when subproject locations are identified. Land acquisition leads to 
physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods 
and/or loss, denial or restriction of access to economic resources. RAPs are 
prepared by the party impacting on the people and their livelihoods. RAPs contain 
specific and legally binding requirements to be abided by to resettle and 
compensate the affected party before implementation of the project activities 
causing adverse impacts. 
 
“Resettlement Assistance”
 means the measures to ensure that project affected 
persons who may require to be physically relocated are provided with assistance 
such as moving allowances, residential housing or rentals which ever is feasible 
and as required, for ease of resettlement during relocation, 
 
“Replacement cost for houses and other structures”
 means the prevailing open 
market cost of replacing affected structures, in an area and of the quality similar 
to or better than that of the affected structures.  Such costs will include: (a) the 
cost of the materials, (b) transporting building materials to the construction site; 
(c) any labor and contract
ors’ fees; and (d) any registration costs. 
 
“Land”
 refers to agricultural and/or non-agricultural land whether temporary or 
permanent and which may be required for the Project. 
 
“Land acquisition”
 means the taking of or alienation of land, buildings or other 
assets thereon for purposes of the Project under eminent domain. 
 
“Economic Rehabilitation Assistance”
 means the provision of development 
assistance in addition to compensation such as land preparation, credit facilities, 
training, or job opportunities, needed to enable PAPs to improve their living 
Page  4
4
standards, income earning capacity and production levels; or at least maintain 
them at pre-project levels. 
 
“
The Resettlement Policy Framework (RPF)’ 
is an instrument to be used 
throughout project  implementation. The RPF sets out the resettlement objectives 
and principles, organisational arrangements and funding mechanisms for any 
resettlement, that may be necessary during project implementation. The RPF 
guides the preparation of Resettlement Action Plans of individual sub projects in 
order to meet the needs of the people who may be affected by the project. The 
Resettlement Action Plans (“RAPs”) 
for the LWH Program will therefore be 
prepared in conformity with the provisions of this RPF. 
 
“Replacement cost” 
means replacement of assets with an amount sufficient to 
cover full cost of lost assets and related transaction costs.  The cost is to be based 
on 
Market rate (commercial rate)
 according to Tajikistan law for sale of land or 
property.  In terms of land, this
 may be categorised as follows; (a) “Replacement 
cost for agricultural land” means the pre- project program or pre-displacement, 
whichever is higher, market value of land of equal productive potential or use 
located in the vicinity of the affected land, plus the costs of: (b) preparing the land 
to levels similar to those of the affected land; and (c) any registration and transfer 
taxes; 
 
Page  5
5
1.  Project Context
In Tajikistan, drinking water and sanitation services and infrastructure are inherited from 
the Soviet era and are plagued by fast deterioration, poor operation and maintenance, and 
weak institutional capacity. Responsibility for the delivery of urban water and sewerage 
services resides with municipalities (Hukumats). Central agency Khojagii Manziliyu 
Kommunali (KMK) ensures regulatory oversight and provides operational and 
investment support to all municipal operators, except for the capital city Dushanbe.  To 
date, the World Bank, EBRD and the Swiss Cooperation are Tajikistan’s main partners 
for urban water supply rehabilitations. The World Bank-financed improvements to urban 
services have mainly focused on water supply through two ongoing operations, the 
Dushanbe Water Supply Project (DWSP) and the Municipal Infrastructure Development 
Project (MIDP), targeting provincial towns. 
 
The Dushanbe water supply and sewerage utility, or Dushanbe Vodokanal (DVK), is set-
up as a “State Unitary Enterprise” operating under the direct and undivided control of the 
municipality.  Dushanbe features a fairly developed yet degraded water supply and 
sanitation (WSS) infrastructure. Decades of underinvestment and DVK’s limited 
technical and managerial capacity have caused levels of water supply loss (physical and 
commercial) and consumption to be extremely high. Poor quality surface water is often 
distributed in parts of the system without sufficient treatment. Sewerage assets suffer 
extensive degradation, resulting in chronic sewer overflows. A decrepit secondary 
sewage treatment plant provides marginal pollution reduction, with serious environmental 
impacts on the Varzob River. 
 
The Dushanbe Water Supply Project 2 (DWSP 2) is designed as one part of a 
comprehensive Priority Investment Program (PIP) reconciling DVK needs and the 
envisioned availability of funding by IDA and other donors [European Consortium led by 
EBRD and including EIB and IFCA]. The IDA-funded DWSP2 would implement 
selected components of the Program, in parallel with other components funded by others. 
The Program aims at comprehensive improvement of quality and commercial 
sustainability of water service in Dushanbe. Overall investment needs for such Program, 
include (a) rehabilitation and upgrade of water systems, (b) systematic metering and 
billing, and (c) utility management capacity building.  
 
The program will include four components:  
Component 1  (US$ 9.3 million of which financed by IDA US$8.7 million):
 Water 
system upgrades for improved quality, reliability and efficiency of service, including: (i) 
network cleaning, (ii) NAP pump station and reservoir rehabilitation, (iii) SAM filter 
rehabilitation,  (iv) chlorination systems rehabilitation; (v) water quality monitoring units; 
(vi) bulk metering and pressure zoning;  
Component 2  (US$ 16.8 million of which financed by IDA US$ 0.0 million):
 Demand 
management for higher commercial revenue and reduced water wastage, including: (i) 
Page  6
6
installation of 165,000 residential and master meters; (ii) rehabilitation of plumbing in 
apartment buildings; (iii) rehabilitation of house connections.  
Component 3  (US$ 2.7 million of which financed by IDA US$2.7 million):
 Capacity 
building for operational performance improvement, including (i) technical assistance to 
O&M; (ii) Consultancy for water master plan & hydraulic modeling, network information 
system, SCADA system and leak reduction strategy; (iii) TA for implementing NIS and 
hydro models; (iv) hardware and software; (v) training in energy efficiency; (vi) training 
for water quality monitoring; and (vii) TA for specialized O&M aspects.  
Component 4  (US$ 1.4 million of which financed by IDA US$ 0.0 million):
 
Capacity 
building for corporate development and financial performance improvement, including : 
(i) TA for corporate development and finance; (ii) Support accounting department; (iii) 
accounting and customer service/billing software; (iv) planning and budgeting of tariffs; 
(v) support billing and metering program; (vi) strengthen human resources functions; 
(vii) Customer relationship management. 
Component 5  (US$ 2.
2
million of which financing by IDA US$ 1.34 million): including 
(i) Engineering design and supervision of physical investments; (ii) PCU operating cost; 
(iii) Annual project audits.   
 
2.  Justification for and Scope of the Resettlement Policy Framework (RPF): 
The Resettlement Policy Framework (RPF) provides guidelines for development of 
appropriate mitigation and compensation measures, for the impacts caused by future 
project activities whose exact locations are not known.  This RPF is the instrument 
through which the projects environmental and social impacts are identified, assessed, 
evaluated and have appropriate mitigation, management and monitoring measures, 
designed and incorporated within the sub project itself.
 
The project will develop a Resettlement Policy Framework (RPF) which will inform all 
activities involving land acquisition, restriction of access to land or services and loss of 
assets.  The completed pre-feasibility studies indicate that the project will largely be 
limited to rehabilitation of existing structures.  The planned new pumping station and 
reservoir of the Napornaya water treatment plant will be built on the premises of the 
authority, where there are no activities or residences.  However, as project design is 
further detailed, there is a possibility that some construction may exceed available land 
and may have to take place on sites not yet identified.  Further, some land within residence 
compounds may have to be temporarily occupied for works such as excavation of 
trenches.  In addition, DWPS2 may establish a sanitary protection area along the upstream 
reaches of the Varzob river and canal, to avoid contamination of the water source of the 
NAP and SAM water treatment plants.  In this case, the identified areas will need to be 
cleared of settlements (if any), and existing structures.  Further, certain polluting/quality 
threatening activities will be restricted (e.g. livestock access).   This activity will also 
include some mitigation measures such as installation of fences, septic tanks and drains.    
 
Since these detailed impacts will only be known once project implementation commences, 
and the possibility of land acquisition and restrictions in access cannot be ruled out at this 
Page  7
7
stage, the borrower has agreed to develop a RPF.  The RPF will identify the possible 
impacts from project activities, describe the range of potential impacts (temporary and 
permanent) to land use/access and structures and specify the compensation rates and 
procedures for the same.  Where there is a gap between national and World Bank 
procedures, the latter will prevail for all activities financed under this project.  The RPF 
will serve as a screening device to ascertain if there will be any impacts resulting from 
project activities.  The RPF is intended as a practical tool to guide the preparation of 
Resettlement Action Plans (RAPs) for activities during implementation of the 
comprehensive program.
 
If any impacts are identified, the Borrower will develop 
individual Resettlement Action Plans for each sub project based on the guidelines and 
procedures highlighted in the RPF document.   
 
This RPF will be approved by the Municipality of Dushanbe city, and endorsed by WB. 
Once the document has been approved, it will be uploaded to WB’s web-site and be 
available through the development centre/Infoshop, in compliance with the WB’s policy.  
The RPF will be translated into Russian and Tajik and further will be distributed in such a 
way as to be available to central and local government agencies and potential PAPs. 
Implementation of the planned project investments will only take place following these 
approvals and information sharing/consultation.  
 
3.  Objectives and Principles of Resettlement Planning 
This Resettlement Policy Framework (RPF) outlines the principles and procedures to 
ensure that if resettlement needs are identified, then the DVK follows the procedures for 
involuntary resettlement in compliance with the Government’s own applicable laws and 
regulations along with the WB’s policy OP 4.12 on Involuntary Resettlement. The RPF 
sets out the legal framework,  eligibility criteria of displaced population, valuation 
methodology,  compensation provision, entitlement matrix, implementation process, 
consultation procedures, grievance remedy mechanisms, entitlement payment procedures, 
and monitoring-evaluation procedures for land acquisition and resettlement under this 
project.    
 
The basic objectives of the RPF are to: (i) guide the Ministry in properly identifying, 
compensating, and restoring the livelihoods of Project Affected Persons (PAPs), (ii) serve 
as a binding document to ensure payment of compensation and assistance to PAPs, and 
(iii) provide direction in preparing, updating, implementing and monitoring subproject 
RAPs.  The RPF includes measures to ensure that PAPs are  (i) informed about their 
options and rights pertaining to resettlement; (ii) consulted on, offered choices among, 
and provided with technically and economically feasible resettlement alternatives; and 
(iii) provided prompt and effective compensation at full replacement cost for losses of 
assets attributable directly to the Project. 
 
The RPF is based on the following principles: 
·
Involuntary resettlement is to be avoided or at least minimized; 
Page  8
8
·
Compensation must ensure the maintenance of the PAPs’ pre-project living 
standards; 
·
PAPs should be fully informed and consulted on compensation options; 
·
Lack of formal legal land title should not be a hindrance to rehabilitation; 
·
Particular attention should be paid to socially vulnerable groups, such as 
ethnic minorities, female headed households, elderly households, etc...and 
appropriate assistance should be provided to help them improve their status; 
·
Land acquisition and resettlement should be conceived and executed as a 
part of the project, and the full costs of compensation should be included in 
project costs and benefits; and 
·
Compensation/rehabilitation assistance will be paid prior to ground 
levelling, demolition, and in any case, before an impact occurs. 
 
The Bank Safeguard Policy OP 4.12 applies to all components under the program, 
whether or not they are directly funded in whole or in part by the Bank. 
Legal grounds for land acquisition for the state and public needs 
(for project 
objectives)
 and regulations of resettlement.   
 
The problem of land acquisition for the state and public needs and connected to it 
problem of involuntary resettlement and matters related to compensation of losses related 
to such acquisition are regulated by the following laws and normative acts: 
·
The Constitution of the Republic of Tajikistan establishes land as an exclusive 
property of the state; 
·
The Land Code of the Republic of Tajikistan is a systematized code of rules 
regulating complex of relations arising in the process of possession and use of 
land; 
·
The Civil Code of the Republic of Tajikistan is regulating the legal status of 
participants of civil circulation, grounds for arising of rights and order of their 
implementation, contractual obligations, property and non-property relations;  
·
The Law of the Republic of Tajikistan dd. 12 May, 2001 “On Land 
Estimation” establishes legal grounds for land estimation; 
·
The Law of the Republic of Tajikistan dd. 14 May, 2004 “On Local Bodies of 
the State Authority” establishes normative grounds for allocation and 
reallocation of land; 
·
The Law of the Republic of Tajikistan dd. 5 January, 2008 “On Land 
Management” regulates relations connected to legal grounds of activities in 
the sphere of land management; 
·
The State Land Cadastre is a system of information and documentation on 
natural, economic and legal status of lands, their categories, qualitative 
characteristics and economic value; 
·
Regulation on the order of compensation for losses of land users and damage 
of the agricultural production process, approved by the Resolution of the 
Page  9
9
Government of the Republic of Tajikistan # 515, dd. 30 December, 2000, 
establishes an order of compensation of losses of land users; 
·
The Civil Procedural Code of the Republic of Tajikistan establishes an order, 
rules and terms of judicial protection in case of legal proceedings on matters 
related to involuntary resettlement.  
·
Regulations of the World Bank Policy on the matters related to involuntary 
resettlement are also used for the purposes of the Programme of Resettlement 
policy implementation. 
 
4.  Legal framework envisaging compliance of Tajik laws and regulations with the 
World Bank Policy and proposed measures to eliminate gaps.
Information of General Nature
.
The Constitution of the Republic of Tajikistan establishes exclusive state property on 
land. Land is out of the civil turnover and is not a subject to selling and buying, transfer 
and donation. Land is transferred to juridical and physical persons for use with the right 
of succession. The state as the land owner has the right to use it in accordance with the 
prospective of town planning and implementation of agricultural policy. Hence during the 
process of land acquisition cost parameters of land are not cited. Cost of realty, 
constructions and assets should be compensated to physical persons. 
 
The Land Code of the Republic of Tajikistan is the most systematized code of rules 
regulating the complex of legal relations arising during the process of ownership and use 
of lad. Matters related to suspension of land use rights, in case of their acquisition, and 
compensation of losses of land users and losses connected to withdrawal of land from the 
turnover are considered in two chapters and nine articles of the Land Code.  These 
articles contain basic provisions on land acquisition for public and state purposes. The 
Code allows the state to confiscate the land from land users for the needs of projects 
implemented in the interests of state and at the state scale, and describes methods, system 
and order of protection of rights and interests of persons who’s land is subject for 
withdrawal for the purposes of the project, and provides for the complex of compensatory 
measures to cover the land users losses.  
 
The Regulation about an order of compensation of the land users’ losses and losses of 
agricultural production, approved by the Resolution of the Government of the Republic 
of Tajikistan # 515, dd. 30 December, 2000, establishes concrete and detailed order of 
reimbursement of the land users’ losses.   
 
Following are main provisions regarding the problem of involuntary resettlement 
indicated in the Land Code: 
·
Acquisition of the land plots for the purposes of the state and public needs have 
to be done after provision of the equivalent land plot; 
·
New dwelling, production and other buildings, analogues to confiscated have to 
be constructed on the new plot in established order; 
·
Losses occurred during the land plot acquisition have to be compensated in full 
amount, including missed profit, and losses should be calculated at market cost; 
Page  10
10
·
Construction of buildings and compensation of losses will be made by the 
institutions and organizations in who’s favor the land is confiscated (project 
beneficiaries); 
Under usual circumstances, the process of land acquisition should take not longer than 
one calendar year.  
Provision o the new land plot, construction of buildings, compensation of all types of 
losses, including lost incomes, have to be done before the official land acquisition from 
the land users. 
 
The amount of compensation will be determined by an efficiently selected panel 
(commission), members of which will be appointed by the Mayor, and which will be 
consisting of the representatives of the relevant departments which have a claim/s for 
land and land users. Determination of losses of land users during the acquisition of 
agricultural lands should be established on the basis of corresponding documents, 
provided by the land user.      
 
In case of non achievement of a consensus on the size of compensation of losses and 
amount of damage, the land user can apply to court with a request to fully compensate 
damage occurred during the land exemption. 
 
According to the Articles 41 and 43 of the Land Code the land plot could be confiscated 
for the purposes of state or public needs but only with in equal compensation of realty, 
constructions and corps located on this plot. 
This compensation couldn’t be less than the current market cost of such realty as the law 
runs about the principle of compensation at the market price.  
The market cost is determined as a basic market cost after taking into consideration the 
cost of realty, constructions, corps, trees and time required for their reproduction. 
 
The Land Code requires that the institution which is interested in the land acquisition 
should justify the necessity of such acquisition and demonstrate that namely this plot of 
land should be confiscated and there is no alternative for the project implementation.  The 
land plot could be confiscated in cases of need of construction of buildings and 
constructions or implementation of works of the state interest. If the project presents the 
interest of the state the beneficiary of the project has to prepare proposal on land 
acquisition required for the purposes of commencement of such acquisition.   In 
accordance with the Law the process of acquisition have to be completed and all people 
and households which were included into the project zone provided with the 
compensation before provision of permission to subcontractor on construction 
commencement.  
 
5.  Tajikistan Land Code and the World Bank Policy OP 4.12.
The Land Code, Regulation on order of compensation of the land users’ losses and other 
laws applied during the process of land acquisition and solution of problem of 
involuntary resettlement  in general are very detailed and do correspond to the WB Policy 
Page  11
11
on the matters related to involuntary resettlement (OP 4.12). However, the Operational 
Policy of the WB, apart of compensation programmes, also provides for assistance to 
involuntary resettled people during certain transitional period needed for rehabilitation of 
sources and means of existence and life standards; similar assistance should be provided 
through improved access to crediting and training programme
s
(p.6 “c” i, ii) In general 
OP 4.12 covers not only the fact of involuntary resettlement and processes connected to 
it, but a certain acclimatization period, required for rehabilitation of the economic and 
social status of involuntary resettled and their integration into local recipient 
communities. For purposes of the full correspondence to the requirements of the OP/BP 
4.12, it is necessary to: 
·
establish an independent commission comprised of the specialists of 
Dushanbe Municipality responsible for resettlement matters, and who carrying 
out the land acquisition, and representatives of the affected community (e.g. in 
case of the sanitary protection area some members can be elected to represent 
all the affected peoples); commission will be responsible for consideration of 
claims, applications, conflict situations arising in connection to the land 
acquisition and involuntary resettlement, but not limiting by this; 
·
establish a group which will be exclusively dealing with the official 
documentation issues of resettled people (exchange of passports, re-
registration of pension documents, identification cards, registration of the 
servitude right on the new land plots, signing of receipt of compensation); the 
same group will be dealing with the problem of legal documentation of 
unauthorized constructions and acquisition of the property right on them in 
order to get compensation. 
 
Where there is a disparity of gap in the provisions of Tajikistan law and WB OP 4.12, the 
latter will hold as a minimum standard that has to be adhered to.  Such a significant gap is 
seen in the issue of construction of structures on illegal land. 
 
The Land Code does not define the status of persons who possesses the right of servitude 
on confiscated land plots (they do not pay official rent). The land Code establishes that in 
the absence of the servitude right, the land user does not possess any right in relation to 
this plot of land. Hence, the use of the land plot without the state registration of the 
servitude right itself does not cause any legal consequences.  This clause provides for the 
absence of obligations of owner (the state) on compensation of damage to person who 
does not possess the servitude right of the land plot.   
 
However, in the WB OP 4.12, this status is clearly defined.  In accordance with this 
policy, 
those people who do not possess official legal title or judicial rights for the land 
use, but still use the state land are entitled to receive compensation, taking into account 
the investments they made into the state land, their labor and lost assets, but not for 
land ownership as in the case of a titled owner.
 For this purpose it is necessary to carry 
out a line of certain administrative and court procedures on acquisition of the property 
rights on unauthorized construction.  
 
Page  12
12
Since the World Bank OP 4.12 takes precedence over National law for the purposes of 
WB financed activities, as in this project, the following will apply.  Any person who has 
built a structure on illegal land, prior to the stated cut-off date, will not be compensated 
for the land, but will be compensated for the structure (i.e. investment into the land) at 
replacement cost.   
 
Furthermore, the policy of the WB provides for the whole acclimatization period of the 
involuntary resettled to the new conditions and environment, and legislation of the 
Republic of Tajikistan, whereas the normative terms of the Government are limited by 
the moment of their actual transfer to the new place of residence. Hence as per this RPF, 
the project has to budget in the estimate of losses, (apart from the direct expenses on 
compensation of losses), the financing of certain period of acclimatization of involuntary 
resettled people to the new environment.   
 
The other issue that is the targeted grant support to non-governmental organizations on 
locations of involuntary resettlement. Resources allocated for passing through the 
acclimatization period could be distributed among non-governmental organizations which 
already posses or will design the targeted programmes of support to involuntary resettled 
during the acclimatization period. This is especially advisable in situations where there is 
mistrust of or lack of capacity of local authorities to deal with the matters related to 
acclimatization of the involuntary resettled.  
 
In that way in case of disparity of the laws of the Republic of Tajikistan to the 
requirements of the policy of the WB on involuntary resettlement (OP 4.12), should be 
applied. This priority of WB norms over the national legislation is consolidated in the 
article 10 of the Constitution of the Republic of Tajikistan.          
6.  Eligibility Criteria and Procedures For Various Categories Of Affected People
This section sets out eligibility criteria, which are necessary to determine who will be 
eligible for resettlement and benefits, and to discourage inflow of ineligible people. 
6.1 Principles 
The involuntary taking of land results in relocation or loss of shelter; and loss of assets 
or access to assets or loss of income sources or means of livelihood, whether or not the 
PAPs must move to another location or not. Meaningful consultations with the affected 
persons, local authorities and community leaders will therefore allow for establishment 
of criteria by which displaced persons will be deemed eligible for compensation and 
other resettlement assistance. OP 4.12 suggests the following three criteria for 
eligibility:- 
 
(a) Those who have formal rights to land including customary/communal land, 
traditional and religious rights recognized under Tajikistan Law. 
 
Page  13
13
(b) Those who do not have formal legal rights to land at the time the project or scensus 
commences but have a claim to such land or assets provided that such claims are 
recognized under the laws of Tajikistan or become recognized through a process 
identified in the RPF / RAP. 
 
(c) Those who have no recognizable legal right or claim to the land they are occupying, 
using or getting their livelihood from before the cut-off date, but are recognized under 
World Bank OP 4.12. 
 
Those covered under (a) and (b) above are to be provided compensation for the land they 
lose, and other assistance in accordance with this RPF.  
 
Persons covered under (c) above are to be provided with resettlement assistance in lieu 
of compensation for the land they occupy, and other assistance, as necessary, to achieve 
the objectives set out in this RPF, if they occupy the project area prior to a cut-off date 
established by the project authorities in close consultation with the potential PAPs, local 
community leaders and the respective local authorities and acceptable to the World 
Bank.  
 
Persons who encroach on the area after the cut-off date are not entitled to compensation 
or any other form of resettlement assistance. All persons included in (a), (b) or (c) above 
are to be provided with compensation for loss of assets other than land. It is therefore 
clear that all project affected persons irrespective of their status or whether they have 
formal titles, legal rights or not, squatters or otherwise encroaching illegally on land, are 
eligible for some kind of assistance if they occupied the land or had use of it, before the 
entitlement cut-off date.  
 
6.2 Eligibility Criteria and  Entitlements 
Defining eligibility criteria is essential for the resettlement/ rehabilitation process and 
compensation payments. The census and property inventories provide the basis of the 
identification of PAPs and assets. This section outlines the categories of Project affected 
peoples who are recognised as potentially affected by project activities and describes the 
categories of entitlements: 
 
At the outset it needs to be remineded that as the RPF has already stated, all the land in 
the project area is owned by the GoT: “The Constitution of the Republic of Tajikistan 
establishes exclusive state property on land. Land is out of the civil turnover and is not a 
subject to selling and buying, transfer and donation. Land is transferred to juridical and 
physical persons for use with the right of succession. The state as the land owner has the 
right to use it in accordance with the prospective of town planning and implementation 
of agricultural policy.” 
 
·
Land occupiers whose land may be permanently acquired for construction of new 
treatment plants, for works or as part of the proposed sanitary protection area 
Page  14
14
along the upstream reaches of the Varzob river and canal.
In the event that this 
category of PAP is identified, every effort will be made to provide an equivalent 
plot of same value and size in a nearby area to ensure that other aspects of 
economic and social life (e.g. job, school, kin support) is not disrupted.  If a 
tenant is occupying the property, the land lord is expected to give the tenant 
adequate notice or compensate him/her as per the individual rental agreement 
between the two parties. 
 
·
House plot owners / tenants where land within the residence compound may be 
temporarily occupied for excavation works or whose access to the residential 
compound is temporarily disrupted by such works.
The land will be restored to 
its original condition after the project works are completed.  During the works, 
the project will take all precaution to ensure that there is minimal disturbance to 
the residents.  However, in the case that the residents are affected (e.g. access to 
compound garage is not possible), the project will compensate the affected 
person to ensure that they can meet their needs through alternative means (e.g. 
allow street parking or pay for nearby car park).  A a reasonable amount of 
money determined by the Compensation Committee  will be paid to the affected 
PAPs as a disturbance allowance for each week (7 days) of disturbance, 
calculated on a pro-rata basis.  Where the PAP is a tenant, this compensation and 
disturbance allowance will be paid directly to the tenant as he/she is experiencing 
the disturbance.  The house owner/landlord will be informed of this 
compensation and disturbance allowance amount so he/she is aware of it and is 
hence not obliged to compensate the tenant through reduction in rent. 
 
·
Vendors or other commercial businesses disrupted by excavation works. 
Any 
legal or illegal shop/vendor who was carrying out business prior to finalization of 
design and cut-off date, and whose business is disrupted, will be compensated for 
the loss of business for the period that he cannot carry out his trade.  This will be 
calculated by the resettlement committee based on any records the vendor can 
show of business in the preceding 3 months.  Where there are inadequate paper 
records, the daily business profit will be estimated by comparing to the average 
income of similar businesses.  An additional disturbance allowance equivalent to 
7
days of business profit will be paid.  Every precaution will be taken not to 
damage existing structures.  Where any structure is damaged, adequate 
compensation to replace that part will be paid at replacement cost.  In the event 
that a structure has to be demolished, compensation will be at full replacement 
cost.  However, in the event that the vendor is provided an alternative market site 
and a new structure to carry out business, the compensation will only be for loss 
of business which will be paid for actual days of business lost, plus the additional 
7
days of lost business profit in lieu of disturbance allowance.  The project will 
also bear full cost of transportation of goods to the new location of the business 
or to any storage area, and cover the cost of storage for the period of disruption.  
For legal structures additional compensation will be paid if there is title to land, 
equivalent to the market cost of the land as well as full compensation for all fees 
needed to make the replacement structure legal. 
Page  15
15
 
·
Persons whose structures are demolished or where use and access to services is denied or 
restricted in the proposed sanitary protection area along the upstream reaches of the 
Varzob river and canal:
It is understood that all structures in this area are legal and there 
is no private land in this area.   Hence as per WB OP 4.12 PAPs will be recognised as 
those persons who own or use structures/ services in this area prior to the announced 
cut-off date and project social survey.  The preference will be to replace the structure 
with another one of equivalent size, material and value.  Where deemed appropriate, an 
alternative will be to compensate the structure at replacement cost.  The compensation 
will be paid at a minimum of 3 months prior to the demolition of the affected structure 
to ensure that the new structure is fully operational when access to the old structure is 
restricted.  Where access to a service/facility is restricted, the project will finance such a 
service accessible to the affected people at a distance which is, at most, not more than 
the distance of the lost service from their house.  The new service will be fully 
operational prior to restriction of the affected service. 
 
·
Eligibility for Community Compensation
It is important to note that the eligibility may be claimed collectively e.g. as a community 
or religious group and does not necessarily have to be individuals or families. 
Communities on communal land that permanently lose land and/or access to assets and or 
resources under statutory or customary rights will be eligible for compensation. Example 
of community compensation could be for public toilets, market places, taxi parks, schools 
and health centres. The rationale for this is to ensure that the pre-project socio-economic 
status of communities where adversely impacted, is also restored. 
 
Eligibility criteria will also be determined by the status of development up to when the 
census starts and will further be determined by other development approval as issued by 
the government. The consultant will interview key government officers in the district 
including provincial administration. 
 
Table Showing Entitlement Matrix: Eligible PAPs, Assets and Compensation 
Estimates/Guidelines 
 
Project Impact 
PAP Category 
Asset Affected 
Compensation Guide 
Permanent acquisition of 
land for works, 
construction of pump or 
as part of sanitary 
protection area. 
Land  occupier 
Land 
Replacement land of 
equivalent market value as 
priority option within 3 km 
radius.   
Permanent acquisition of 
legal structure.  
Owner of structure 
Any structure including 
house, fence, sanitation 
structure etc. 
Replacement structure or 
Cash compensation at 
replacement value of a 
new structure plus full 
compensation for all fees 
needed to make 
replacement new structure 
legal. 
Permanent acqu
isition of 
Owner of structure 
Any structure including 
Replacement structure or 
Page  16
16
illegal structure 
house, fence, sanitation 
structure etc. 
Cash compensation at 
replacement cost 
Tenant or House owner 
 
Section of residential 
compound temporarily 
affected or access to 
house affected by works 
Restoration of land to 
original condition after 
works. 
In kind compensation for 
affected need such as 
alternative car parking 
facility. 
Disturbance allowance  for 
each week (7 days) of 
disturbance calculated on a 
pro rata basis. 
Vendors or business 
entrepreneur 
 
Loss of business due to 
works 
Cash compensation of 
estimated business loss 
assessed from records of 
preceding 3 months or 
equivalent business (if no 
records). 
Disturbance allowance 
equivalent to 7 days of 
business profit 
Demolition of shop 
Replacement structure or 
Cash compensation 
equivalent to replacement 
value of structure or 
provision of alternative 
structure in market area. 
Disturbance allowance 
equivalent to 7 days of 
business profit 
Transportation of goods to 
new shop and/or storage of 
goods until shop is 
functionable again. 
Owner of structure in 
proposed sanitary 
protection area 
 
Demolition of structure 
or restriction of access 
to it 
Replacement structure or 
Cash compensation at 
replacement cost for 
structure, payable at a 
maximum of 3 months 
prior to the demolition or 
restriction of access. 
Service user (individual 
or community whose 
access to a service in the 
proposed sanitary 
protection area is 
restricted or denied 
 
Restriction of access to 
service  
Provision of equivalent 
service at a distance which 
is, at most, not more than 
the distance of the 
restricted service from 
house. The new service 
will be fully operational 
prior to restriction of 
access to the old service. 
Farmer occupying  land   
Land occupier  
Crops 
In addition to land 
compensation, will be 
allowed to take standing 
crop and cash 
compensation for 2 
Page  17
17
seasons or annual crop 
yield whichever higher at 
highest market rate.  
Labour invested also 
compensated. 
Tenant farmer 
Tenant 
Crops 
Allowed to take standing 
crop and cash 
compensation for 2 
seasons or annual crop 
yield whichever higher at 
highest market rate.  
Labour invested also 
compensated. 
Fruit tree owner 
Owner 
Fruit tree 
Cash compensation for 
highest market price of 5 
years harvest of full 
mature tree or 7 years if 
tree already at full 
maturity. 
Fruit tree renter 
Renter 
Fruit tree 
Cash compensation at 
highest market price for 2 
years harvest of full 
mature tree or 3 years 
harvest if tree already at 
full maturity. 
6.3  Vulnerble Sub-Groups 
 
Particular attention will be given to identify PAPs falling into vulnerable groups such as the 
landless, women-headed households, households with orphans, elderly living alone, sick 
head of household to ensure that their needs are identified and that they are provided 
adequate support.  Vulnerability will be defined at the household level and could be based 
on economic vulnerability (e.g. a street vendor who has minimum profit and survives on a 
daily basis on his income) or social vulnerability (e.g. a tenant in an apartment who lives 
alone, has HIV and jobless) or a combination of these.  The socio-economic survey for 
each RAP will clearly identify the households that are deemed vulnerable in terms of 
project impact, provide a detailed justification describing the project impact and rationale 
for vulnerability.   
 
The criteria must be linked to project impact.  Hence if there is a household with elderly 
and no youth who are losing access to a bathing facility along the proposed sanitary zone, 
this household will have access to the alternative service provided by the project.  Hence 
this household is by its nature vulnerable regardless of the project.  In such a case it is not 
obligatory on the project but considered recommended practice for the project to perhaps 
finance something such as pipe connection to this vulnerable household if funds permit.  
On the other hand, the same household if losing a fence in the same sanitary zone, is seen 
to be vulnerable in lieu of project impacts.  This is because unlike other households, it 
cannot rebuild the fence as it has no young labour.  In this case, the project must include in 
Page  18
18
its resettlement package additional provision to finance the labour of the new construction 
over and above the entitled resettlement package.    
 
The RAP will clearly describe the nature of the impact, the vulnerability and the detailed 
provisions offered to the household by the project that are specific to its particular needs 
and cater to its limitations.  All vulnerable households will be included in the monitoring 
samples and follow up visits will be done for at least 1 year after completion of 
resettlement.  Similarly, any grievance complaints made by vulnerable households will be 
given preference and they will be provided assistance to submit such complaints. 
 
6.4  Methods to Determine Cut-Off Dates 
Once the design of an activity has been finalized and legal procedures completed, a RAP 
will be prepared for the activity.  As part of the RAP, a census will be undertaken to 
identify all the PAPs and the related levels of impact. The date that the census begins is the 
cut-off date for eligibility for resettlement and compensation. It is key, therefore, that this 
date is fully communicated to all potential PAPs in the project affected area with sufficient 
time for these people to ensure their availability for the census.  
 
This communication will be done through the Resettlement and Compensation Committees 
and in line with the consultation procedures outlined in this document. The potential PAPs 
will be informed through both formal notification in writing and by verbal notification 
delivered in the in the presence of the community leaders or their representatives. 
 
Once the census had been undertaken, the lists will be verified and validated by the 
relevant authorities such as the district Departments of Internal Affairs, local authorities, 
etc). Once these lists have been approved, thereafter, no new cases of affected people will 
be considered.  Once land users have been identified, their details and eligibility will be 
submitted to the Resettlement and Compensation Committee and these new PAPs will be 
considered eligible for compensation. 
 
The establishment of a cut-off date is required to prevent opportunistic invasions/rush 
migration into the chosen land areas thereby posing a risk to the project. Therefore, 
establishment of a cut-off date is of critical importance. The Resettlement and 
Compensation Committees will play a crucial role in identifying users of land.  
 
Because the time period between the cut-off date and the time actual productive 
investments (civil works, etc.) would start, bearing also in mind that only after PAPs have 
been compensated and any replacement structures built according to the requirements of 
this RPF, is likely to be anytime period from six months on, special attention needs to be 
taken to secure the sites from rush and opportunistic invasion. These measures should 
include close consultation with the recognized PAP’s, signs that inform general public of 
intended use of site, security patrols to identify opportunistic invaders etc. 
 
7.  RPF and RAP Implementation Arrangements and Procedures
Page  19
19
7.1 Overview 
 
The overall coordination of the project will be provided by the DVK which will oversee all 
resettlement planning and coordinate all issues relating to the compensation. Given that the 
project location is in a major urban area, DVK will collaborate and rely on the Municipality 
of Dushanbe for certain procedures.   
 
The implementation arrangements of the RPF build on: 
·
The implementation arrangements for the overall Second Dushanbe Water and Sanitation 
Project; and 
·
The implementation arrangements for resettlement and compensation activities in line with 
the Tajikistan legislation outlined in this document. 
Actors involved in both these sets of institutional arrangements need to be taken into 
account in the implementation of resettlement and compensation activities for LWH sub-
projects. This section describes the optimal arrangements that build on responsibilities 
already in place to ensure that the requirements of this RPF are met for each project 
activity. These are based on the institutional structure at the time of writing the RPF. 
Should these institutional structures change, this will need to be reflected in the 
arrangements outlined. 
 
7.2 When is a RAP required ? 
In order to scope potential resettlement implications, the steps to be undertaken at the 
design stage of each project activity include the following: 
 
·
a
screening process; 
·
a
socio-economic census and land asset inventory of the area; and 
·
identification of Project Affected Persons (PAPs). 
 
The census is done once it is known that permanent or temporary acquisition of land or 
structures is required (i.e., once the activity design is finalized and all legal permits are 
secured).  Once these steps are completed and there is evidence of resettlement issues, a 
Resettlement Action Plan (RAP) will be developed.  This RPF provides a framework for 
the preparation of RAPs to address resettlement associated with the activities of this 
project. 
 
When a project is expected to cause physical or economic resettlement, a RAP must be 
prepared by the sub-project Resettlement and Compensation Committee. This will be 
approved by Dushanbe Municipality, and ultimately signed off by the Mayor. The RAP 
will need to be as detailed as possible in order to guide resettlement of each of the 
activities. 
 
In order to ensure robustness and consistency of the process, the preparation, 
implementation and monitoring of the RAPs will often need to be closely supported by 
training and technical assistance. In advance, DVK must undertake an assessment of the 
Page  20
20
relevant actors (namely the sub-project Resettlement and Compensation Committee, and 
related office in Municipality) to identify training and technical needs. 
 
7.3 Public Consultation and Participation 
 
Consultation with, and participation by, the affected communities and individuals is an 
essential element of the land acquisition, compensation and resettlement process. 
Throughout the process, and particularly during screening, there must be adequate 
consultation and involvement of the local communities and the affected persons.  
 
Grievance redress is very important to the success of implementation of resettlement action 
plans. This is covered in more detail below. 
7.4 Screening of Project Activities
 
The first step in the process of preparing individual RAPs is the screening process to 
identify the land/ areas that may result in resettlement impacts. This screening is used to 
identify the types and nature of potential impacts related to the activities proposed under 
this project, and to provide adequate measures to address them. It also ensures that the 
avoidance or minimization of resettlement is a key criterion when designing project 
activities. 
 
Screening will be undertaken by the consultants contracted to design the activity under the 
supervision of  Land Management Department of Dushanbe Municipality.  No design will 
be finalized unless it is clearly determined that every effort has been made to minimize 
resettlement impacts.  Should the screening process show that resettlement will be required, 
the next step will be to conduct a socio-economic census and land asset inventory to 
determine the extent of resettlement required. This will be followed by the preparation of a 
RAP for that activity. 
7.5 Socio-Economic Census and Asset Inventory
 
An important input to preparing a RAP is to establish appropriate data to identify the 
persons who will be displaced by the project activity, people eligible for compensation and 
assistance, and to discourage inflow of people who are ineligible for these benefits. 
 
In essence, the census will achieve the following: 
·
provide initial information on the scale of resettlement to be undertaken; 
·
identifies gaps in information and gives an indication of further socio-economic research 
needed to quantify losses to be compensated and, if required, to design appropriate 
development interventions; and 
·
establishes indicators that can be measured at a later date during monitoring and evaluation. 
 
The socio-economic census will be initiated by DVK who will contract an independant and 
qualified consultant, under close supervision of the Resettlement and Compensation 
Committees. The consultant will work closely with the relevant institutions  such as the 
State Architecture and Construction Control Inspectorate, State Land Committee, etc) who 
Page  21
21
will be carrying out the design of the activity.  It will be accompanied by a land and asset 
inventory.  
7.6 Development of the RAP
 
Following the socio-economic census and identification of affected parties, a RAP will be 
developed. This will be coordinated by the sub-project Resettlement and Compensation 
Committees and overseen by DVK. It is anticipated that the work will be undertaken by a 
private consultant or NGO/CBO commissioned for this particular task. 
 
It will be prepared in consultation with affected parties, particularly in relation to the cut-
off date for eligibility, disturbances to livelihoods and income-earning activities, methods 
of valuation, compensation payments, potential assistance and timeframes. The basic 
elements of a RAP, as outlined in OP 4.12 are provided below. Each element of a RAP is 
described in this RPF, but more detailed guidelines for preparing a RAP are available on 
the World Bank
s
website (www.worldbank.org)
or in the World Bank
s
Resettlement and 
Rehabilitation Guidebook.  
 
It is expected that in this project, the impacts on the entire displaced population will be 
minor (i.e. affected people are 
not
likely to be physically displaced and less than 10% of 
their productive assets will be lost) and fewer than 200 people would be displaced 
(economically or physically) for the entire project.  Hence the RAP submitted may not 
include all the sections listed below and could be abbreviated accordingly, with adequate 
reference to the RPF for the common sections.  Further, those sections that are not 
applicable may be omitted.  For example, if there is no temporary disruption and the 
compensation is just cash, then there would be no need for a section on site selection or 
housing infrastructure.  However, each RAP must contain the specific details of the 
affected PAPs and assets in detail, with costing and schedule. 
 
World bank OP 4.12 article 25 sets the requirements of a full RAP to include; 
 
·
Description of the project 
·
Potential Impacts 
·
Objectives 
·
Socioeconomic Studies 
·
Legal Framework 
·
Institutional Framework. 
·
Eligibility 
·
Valuation of and compensation for losses 
·
Resettlement measures 
·
Site selection, site preparation, and relocation 
·
Housing, infrastructure, and social services 
·
Environmental protection and management 
·
Community participation 
·
Integration with host populations 
·
Grievance procedures 
Page  22
22
·
Organizational responsibilities 
·
Implementation schedule 
·
Cost and budget 
·
Monitoring and evaluation 
 
7.7 Approval of RAP
 
Following completion of the RAP for an activity, the Resettlement and Compensation 
Committee must submit the RAP to the Mayor of Dushanbe city for approval. The RAP is 
also to be submitted to the DVK office to ensure compliance with the RPF, and consistency 
in approach between different activities. The RAP must also be sent to the World Bank to 
ensure compliance with OP4.12 and any other relevant policies/ procedures. Capacity for 
RAP review and approval will be built at the Dushanbe Municipality, DVK and in the 
Resettlement and Compensation Committee. This will be through training and technical 
assistance to ensure that all stakeholders involved discharge their different responsibilities 
effectively. 
 
Page  23
2
3
F
i
g
u
r
e
1
.
O
u
t
l
i
n
e
o
f
t
h
e
R
A
P
p
r
o
c
e
s
s
.
Screening Process
R
A
P
P
r
o
c
e
s
s
·
C
e
n
s
u
s
·
I
n
v
e
n
t
o
r
y
&
V
a
l
u
a
t
i
o
n
·
A
g
r
e
e
R
e
s
e
t
t
l
e
m
e
n
t
M
e
a
s
u
r
e
s
·
C
o
n
s
u
l
t
a
t
i
o
n
·
G
r
i
e
v
a
n
c
e
·
M
o
n
i
t
o
r
i
n
g
Submit to Resettlement and 
Compensation Committee 
I
m
p
l
e
m
e
n
t
a
t
i
o
n
N
o
A
c
t
i
o
n
R
e
q
u
i
r
e
d
R
F
P
P
r
e
s
e
n
t
A
p
p
r
o
v
a
l
s
u
b
m
i
t
t
e
d
f
o
r
s
u
b
-
p
r
o
j
e
c
t
D
e
v
e
l
o
p
R
A
P
L
a
n
d
/
s
t
r
u
c
t
u
r
e
a
c
q
u
i
s
i
t
i
o
n
/
a
c
c
e
s
s
r
e
s
t
r
i
c
t
i
o
n
r
e
s
u
l
t
i
n
g
i
n
i
m
p
a
c
t
i
d
e
n
t
i
f
i
e
d
R
A
P
A
p
p
r
o
v
e
d
?
YES
YES
NO 
NO 
Page  24
7.8 Estimates Of Affected Population And Assets In The Project Affected Areas 
 
The completed pre-feasibility studies indicate that the project will largely be limited to 
rehabilitation of existing structures.  The planned new pumping station and reservoir of the 
Napornaya water treatment plant will be built on the premises of the authority, where there 
are no activities or residences.  However, as project design is further detailed, there is a 
possibility that some construction may exceed available land and may have to take place on 
sites not yet identified.  Further, some land within residence compounds may have to be 
temporarily occupied for works such as excavation of trenches.  In addition, DWPS2 may 
establish a sanitary protection area along the upstream reaches of the Varzob river and 
canal, to avoid contamination of the water source of the NAP and SAM water treatment 
plants.  In this case, the identified areas will need to be cleared of settlements (if any), and 
existing structures.  Further, certain polluting/quality threatening activities will be restricted 
(e.g. livestock access).   This activity will also include some mitigation measures such as 
installation of fences, septic tanks and drains.   Final figures will become available when 
the designs are completed and a firm decision is taken on the proposed sanitary protection 
area.  Once studies and designs are finalized, the censuses for the RAPs will be completed. 
Page  25
25
8.  Methods Of Valuing Affected Assets 
This section sets out the guidelines for determining the value of affected assets.  
8.1 Type of Compensation Payments
 
Compensation for all land use and assets in kind or cash as guided by the entitlement 
matrix will be required for the following: 
·
Land; 
·
Residential buildings, structures and fixtures; 
·
Cultivated crops (both cash and food crops) and trees; and 
·
Loss of businesses or employment. 
 
In addition, disturbance allowance, storage of goods, replacement of lost services and other 
assistance will be given, as outlined in the Entitlement Matrix above. However this is for 
guidance only, and it is essential that at the time of detailed RAP preparation current 
market values and replacement cost values are used to establish actual compensation. 
Similarly, amounts of disturbance allowance and other benefits will also be adjusted to 
reflect any economic changes and buying power of currency since the preparation of this 
RPF.  The Resettlement and Compensation Committees will evaluate the compensation 
amounts recommended in the RAP and ensure that they reflect market reality and that it is 
consistent with Tajikistan law as long as it meets the requirements of WB OP 4.12.   
 
8.2 Preparation of Asset Inventory 
 
The asset inventory will be informed by the census survey, and will be carried out once an 
activity design is finalized and approved.  In order to prepare an inventory of assets for a 
sub-project, a field team will visit the affected area to carry out an asset valuation survey.  
 
During the survey, each asset will be enumerated and inscribed on an inventory and a 
valuation of the asset carried out using the principles and guidance in the entitlement 
matrix.  The total list of affected assets and their assigned values including any additional 
compensatory measures will be recorded in a register and shown to the affected person for 
agreement. The register will be signed and a copy given on the spot to the affected person. 
The document will indicate when the affected person will be notified, and that the 
inventory will not be official until a second signed copy, verified by project supervisory 
staff, is returned to the affected person. At this time, a copy of the grievance procedure will 
also be given to the affected person as stated in the grievance redress mechanism. 
 
8.3  Valuation Methods 
Replacement Cost Approach
The replacement cost approach is based on the premise that the costs of replacing 
productive assets is based on damages caused by project operations. These costs are taken 
as a minimum estimate of the value of measures that will reduce the damage or improve on 
on-site management practices and thereby prevent damage. The approach involves direct 
Page  26
26
replacement of expropriated assets and covers an amount that is sufficient for asset 
replacement, moving expenses and other transaction costs. 
Gross Current Replacement Cost
Gross Current Replacement Cost (GCRC) is defined as the estimated cost of erecting a new 
building having the same gross external area as that of the existing one, with the same site 
works and services and on a similar piece of land. 
Other methods
Rates from Contractors: 
When rate schedules do not exist or are out of date, recent 
quotations by contractors for similar types of construction in the vicinity of the project can 
be used for calculating replacement costs. In projects offering the options of cash 
compensation or alternative accommodation, the construction cost estimates for alternative 
accommodation could be used for calculating cash compensation payable. 
 
Schedule of rates:
The Construction Departments in the Municipality of Dushanbe have a 
schedule of rates for preparing estimates for construction projects, which the consultant can 
use to assess costs for construction materials and labour. When applied to calculate 
replacement cost, rates current for the period of actual replacement must be used.
9.5
Compensation Calculation for Assets
 
The following methods of calculation should be adopted for the preparation of the 
aforementioned standardized asset valuation tables and/or the application of specific case 
by case valuations in the case of projects that have significant impacts. 
8.4 Compensation for Various Assets 
8.4.1 Compensation for Land
 
In the event of permanent land acquisition of titled land, the first premise is provision of 
replacement land. In the case where no alternative land is available within a reasonable 
distance such as to minimize disruption to other aspects of socio-economic life, cash 
compensation at full replacement value should be provided. This should be valued based on 
the prevailing market value in the locality to purchase an equally productive plot of land in 
the same locality. In addition, any associated costs of purchasing the land i.e., taxes, 
registration fees will need to be included in the compensation.  
 
In addition, the PAP will be compensated for any permanent improvements made to the 
land (for instance irrigation structures). This will be calculated based on the price of 
making the permanent improvement at current prevailing market rates for labor, equipment 
and materials. 
 
Where land lost is only a small proportion of total land owned by the PAP, but renders the 
remaining land as unusable, the compensation provided should be calculated based on the 
total land affected (i.e., the actual land lost plus the remaining unusable land). 
 
Page  27
27
8.4.2  Calculation of Crops and Fruit Trees Compensation Rate 
 
The current prices for the crops will be determined, taking into account the Government 
recommended rate and the highest market price, whichever is higher.  Where land is rented, 
2
seasons or annual crop estimate, whichever is higher will be compensated.  Where land is 
owned, aside from the replacement land or cash compensation for land, the owner will also 
get compensation for 2 seasons or annual crop estimate, whichever is higher.  The crops 
used will be the ones that are currently or have most recently been cultivated on that land.  
In addition, PAPs will be encouraged to harvest their produce before loss of land. In order 
to ensure that this is possible, and that appropriate market prices are received for yields, 
there needs to be sufficient consultation before hand so that harvesting can be properly 
planned. 
 
The value of the labour invested in preparing agricultural land will be compensated at the 
average wage in the community for the same period of time. The rate used for land 
compensation should be updated to reflect values at the time compensation is paid.  
 
Fruit trees will be compensated to the owner by estimating the value of a full grown fruit 
tree of that kind for 5 years, using Government or highest market price, whichever is 
higher.  For trees that are already at their maximum potential, the value of seven years of 
harvest will be given. Where the fruit tree is given on rent, the tenant will also be entitled to 
compensation along the same grounds for 2 years mature harvest and 3 years mature 
harvest if the tree is already at full maturity. 
8.4.3  Compensation for Buildings and Structures 
The preferred option is to provide alternate structures (huts, houses, farm outbuildings, 
latrines, storage facilities and fences etc.) of improved quality where possible. Where 
structures are dwellings, the replaced structure should provide improved living conditions. 
 
The second option is provision of cash compensation at full replacement value. 
Replacement values will be based on: 
 
·
Measurements of structures and detail of materials used; 
·
Average replacement costs of different types of household buildings and 
·
Structures based on collection of information on the numbers and types of 
·
materials used to construct different types of structures (e.g. poles, bricks, rafters, 
·
Bundles of straw, corrugated iron sheets, doors etc.). 
·
Prices of these items collected in different local markets; 
·
Costs for transportation and delivery of these items to acquired/ replacement 
·
land or building site; 
·
Estimates of construction of new buildings including labor required; 
·
Any associated taxes, registration fees. 
 
Compensation will be made for structures that are (i) abandoned because of relocation or 
resettlement of an individual or household, or (ii) directly damaged by subproject activities. 
Page  28
28
8.4.4 Compensation for Community Assets 
Compensation will be provided for community assets identified through the socio-
economic survey. In all cases these will be provided in kind and new facilities will be 
provided even if there are existing facilities at the new location. 
8.4.5  Compensation for Sacred Sites 
This policy does not permit the use of land that is defined to be cultural property by the 
Banks Safeguards OP 4.11. Sacred and genocide war memorial sites include but not 
restricted only to; museums, altars, initiation centers, ritual sites, tombs and cemeteries. It 
includes other such sites or places/features that are accepted by local laws (including 
customary), practice, tradition and culture as sacred. To avoid any possible conflicts 
between individuals and/or communities, the use of sacred sites for any project activity, is 
not
permitted under this project. 
8.4.6  Compensation for Loss of Businesses 
Any structures will be replaced in an appropriate location as outlined above. In addition, 
compensation will be paid for the lost income and production during the transition period 
(time lag between losing the business and re-establishment). This will be estimated based 
on the daily or monthly income of the affected parties. 
 
9.  Implementation Schedule, Linking Resettlement Implementation To 
Civil Works
9.1 Overview 
Before any project activity is implemented, PAPs will need to be compensated in 
accordance with the resettlement policy framework. For activities involving land 
acquisition or loss, denial or restriction to access, it is further required that these measures 
include provision of compensation and of other assistance required for relocation prior to 
displacement and preparation of resettlement sites with adequate facilities, where required. 
Taking of land and related assets may take place only after compensation has been paid and 
where applicable, resettlement sites and moving allowances have been provided to 
displaced persons. For project activities requiring relocation or loss of shelter, the policy 
further requires that measures to assist the displaced persons are implemented in 
accordance with the individual RAPs. 
 
The measures to ensure compliance with this RPF will be included in the RAPs that will be 
prepared for each land involving resettlement or compensation. The schedule for the 
implementation of activities must be agreed to between the Resettlement Committee and 
the PAPs. These include the target dates for start and completion of civil works, timetables 
for transfers of completed civil works to PAPs, and dates of possession of 
land/structures/services that PAPs are using. The dates must be after transfer date for 
completed civil works to PAPs and payments of all compensation. How these activities are 
linked to the implementation of the overall subproject must also be agreed between the 
Page  29
29
parties. The screening process must ensure that RAPs contain acceptable measures that link 
resettlement activity to civil works in compliance with this policy. 
 
The timing mechanism of these measures would ensure that no individual or affected 
household would be displaced (economically or physically) due to civil works activity 
before compensation is paid and resettlement sites with adequate facilities are prepared and 
provided for to the individual or homestead affected. Once the RAP is approved by the 
local and national authorities, the RAP should be sent to the World Bank for final review 
and approval. 
9.2  Implementation schedule 
The timing of the resettlement will be coordinated with the implementation of the main 
investment component of the project requiring resettlement. All RAPs will include an 
implementation schedule for each activity covering initial baseline and preparation, actual 
relocation, and post relocation economic and social activities. The plan should include a 
target date when the expected benefits for resettled persons and hosts would be achieved. 
 
Arrangements for monitoring implementation of resettlement and evaluating its impact will 
be developed during project preparation and used during supervision. Monitoring provides 
both a warning system for project managers and a channel for resettled persons to make 
known their needs and their reactions to resettlement execution.  
 
Target dates for completion of compensation and various forms of assistance to the 
resettled persons should be disseminated to them. Planning and coordination of the tasks of 
the various actors is key to successful implementation. To achieve this, workshops will be 
organized with the stakeholders and other relevant government agencies, at project 
launching to ensure a common understanding of the implications of this RPF.  The 
workshops will focus on (i) taking stock of the legal framework for compensation, (ii) 
settling institutional arrangements and mechanisms for payment of compensation, (iii) 
defining tasks and responsibilities of each stakeholder and (iv) establishing a work plan. 
 
The stakeholders will be requested to participate in the decision making process and 
provide inputs in the area of their expertise in order to establish a coherent work plan or 
schedule. 
 
When the resettlement and compensation plans are submitted to the Mayor for approval, 
part of the screening process that would be used to approve RAPs would be to confirm that 
the resettlement plans contain acceptable measures that link resettlement activity to civil 
works in compliance with this policy. The timing mechanism of these measures would 
ensure that no individual or affected household would be displaced (economically or 
physically) due to civil works activity before compensation is paid and resettlement sites 
with adequate facilities are prepared and provided for to the individual or homestead 
affected. Once the resettlement plan is approved by the local and national authorities, the 
resettlement plan should be sent to the World Bank for final review and approval. 
Page  30
30
10.  Grievances Redress Mechanisms
Grievance procedures are required to ensure that PAPs are able to lodge complaints or 
concerns, without cost, and with the assurance of a timely and satisfactory resolution of the 
issue. The procedures also ensure that the entitlements are effectively transferred to the 
intended beneficiaries. Stakeholders will be informed of the intention to implement the 
grievance mechanism, and the procedure will be communicated at the time that the RAPs 
are finalized. 
 
Grievances may arise from members of communities who are dissatisfied with (i) the 
eligibility criteria, (ii) community planning measures, or (iii) actual implementation. This 
chapter sets out the measures to be used to manage grievances. 
10.1 Overview 
A
key element of resettlement activities will be the development and implementation of a 
grievance mechanism. Grievances will be actively managed and tracked to ensure that 
appropriate resolution and actions are taken. A clear time schedule will be defined for 
resolving grievances, ensuring that they are addressed in an appropriate and timely manner, 
with corrective actions being implemented if appropriate and the complainant being 
informed of the outcome. The grievance procedure will be simple and will be administered 
as far as possible, at the subproject level by the Resettlement and Compensation Committee 
to facilitate access by PAPs. 
 
The grievance procedure does not replace existing legal processes. Based on consensus, the 
procedures will seek to resolve issues quickly in order to expedite the receipt of 
entitlements, without resorting to expensive and time-consuming legal actions. If the 
grievance procedure fails to provide a result, complainants can still seek legal redress. 
 
The overall process of grievance is as follows:- 
 
1.  During the initial stages of the valuation process, the affected persons will be given 
copies of grievance procedures as a guide on how to handle the grievances. 
2.  The process of grievance redress will start with registration of the grievances to be 
addressed for reference, and to enable progress updates of the cases. 
3.  The project will use a local mechanism, which includes resettlement committees, peers 
and any established local representative bodies of the affected people. These will ensure 
equity across cases, eliminate nuisance claims and satisfy legitimate claimants at low cost. 
4.  The response time will depend on the issue to be addressed but it should be addressed 
with efficiency. 
5.  Compensation will be paid to individual PAPs only after a written consent of the PAPs, 
including both husband and wife. 
 
10.2 Grievance redress process 
 
At the time that the individual resettlement plans are approved and individual 
compensation contracts are signed, affected individuals and homesteads will have been 
Page  31
31
informed of the process for expressing dissatisfaction and to seek redress. The grievance 
procedure will be simple and administered as far as possible at the local levels to facilitate 
access, flexibility and ensure transparency. 
 
All the grievances will be channeled to the existing structures in Tajikistan for handling 
grievances.  A grievance log will be established by the project and copies of the records 
kept with all the relevant land authorities at the district, sector and village level and will be 
used in monitoring of complaints 
 
The grievance redress mechanisms is designed with the objective of solving disputes at the 
earliest possible time which will be in the interest of all parties concerned and therefore 
implicitly discourages referring such matters to the law courts for resolution which would 
otherwise take a considerably longer time.  
 
All grievance complaints submitted by vulnerable households will be dealt with as priority 
and assistance provided to them to submit and follow up these complaints. 
 
DVK being a party to the contract would not be the best office to receive, handle and rule 
on disputes. Therefore, taking these concerns into account, all grievances concerning non-
fulfilment of contracts, levels of compensation, or seizure of assets without compensation 
should be addressed to the grievance committee for resolution. The grievance committee 
will be comprised of at least 5 members of whom 2 are DVK and Municipality of 
Dushanbe representatives (but not those on the Resettlement and Compensation 
Committee).  The other 3 should be independant of the project implementing authorities 
and Government of Tajikistan.  They should be chosen from recognised NGOs/CBOs 
operating in Dushanbe along with eminent persons of appropriate standing (e.g. respected 
lawyer or professor).  These professionals will be paid sitting fees for these sessions and 
will not be regular employees of any of the project agencies.  
10.2.1 Management of Reported Grievances 
The procedure for managing grievances should be as follows: 
 
The affected person should file his/ her grievance, relating to any issue associated with the 
resettlement process or compensation, in writing to the subproject Resettlement and 
Compensation Committee. The grievance note should be signed and dated by the aggrieved 
person. A selected member of the Committee will act as the Project Liaison Officer (PLO) 
who will be the direct liaison with PAPs.  The PLO should be working in collaboration 
with an independent agency/NGO person ensure objectivity in the grievance process. 
Where the affected person is unable to write, the local Project Liaison Officer will write the 
note on the aggrieved person’s behalf. Any informal grievances will also be documented by 
the Project Liaison officer. The note should be embossed with aggrieved person’s 
thumbprint. A sample grievance form is provided in Annex. A copy of this completed form 
should be submitted by the Project Liaison Officer to PCT. 
 
Page  32
32
1. The Project Liaison Officer and the sub-project Resettlement and Compensation 
Committee will consult to determine the validity of claims. If valid, the Committee will 
notify the complainant and s/he will be assisted. 
 
2.  The sub-project Resettlement and Compensation Committee will respond within 14 
days during which time any meetings and discussions to be held with the aggrieved person 
will be conducted. If the grievance relates to valuation of assets, a second or even a third 
valuation will be undertaken, until it is accepted by both parties. These should be 
undertaken by separate independent valuers than the person who carried out the initial 
valuation. The more valuations that are required to achieve an agreement by both parties, 
the longer the process will take. In this case, the aggrieved person must be notified by the 
Project Liaison Officer that his/her complaint is being considered. 
 
3. 
If the complainant’s claim is rejected by the Committee, the Project Liaison Officer 
will assist the aggrieved person to take the matter to the Cell Land Adjudication 
Committee, legally responsible for resolving formally lodged grievances. 
 
OR 
 
4.  If the aggrieved person does not receive a response or is not satisfied with the outcome 
within the agreed time, s/he may lodge his/her grievance to the relevant Municipal 
Administration (Complaints handling Department at the Municipality of Dushanbe). If 
requested, or deemed necessary by the sub-project Committee, the Project Liaison Officer 
will assist the aggrieved person in this matter. 
 
5. The relevant Municipal Administration will then attempt to resolve the problem 
(through dialogue and negotiation) within 30 days of the complaint being lodged. If no 
agreement is reached at this stage, then the complaint is dealt with through the Tajikistan  
courts (Civil Court) where possible. 
 
6.  The Resettlement and Compensation Committee will provide assistance at all stages to 
the aggrieved person to facilitate resolution of their complaint and ensure that the matter is 
addressed in the optimal way possible. 
10.2.2 Grievance Log 
The Project Liaison officer will ensure that each complaint has an individual reference 
number, and is appropriately tracked and recorded actions are completed. The log also 
contains a record of the person responsible for an individual complaint, and records dates 
for the following events: 
·
date the complaint was reported; 
·
date the Grievance Log was uploaded onto the project database; 
·
date information on proposed corrective action sent to complainant (if appropriate); 
·
the date the complaint was closed out; and 
·
date response was sent to complainant. 
Page  33
33
10.2.3 Monitoring Complaints 
The Project Liaison Officer will be responsible for: 
·
providing the sub-project Resettlement and Compensation Committee with a weekly 
report detailing the number and status of complaints; 
·
any outstanding issues to be addressed; and 
·
monthly reports, including analysis of the type of complaints, levels of complaints, and 
actions to reduce complaints. 
 
Page  34
34
11.  RPF Implementation Budget
R
Resettlement and compensation will be adequately financed either through the existing 
budget for such land acquisition in the Municipality of Dushanbe (who is responsible for 
such activities), or through allocated project funds.     
 
However, the actual cost of resettlement will depend on final designs and current market 
rates and hence might vary. 
 
At this stage, it is not possible to estimate the exact number of people who may be affected 
since the technical designs and details have not yet been developed. It is therefore not 
possible to provide an estimated budget for the total cost of resettlement that may be 
associated with implementation of this project.  However, when these locations are known, 
and after the conclusion of the site specific socio-economic study, information on specific 
impacts, individual and household incomes and numbers of affected people and other 
demographic data will be available, a detailed and accurate budgets for each RAP will be 
prepared. Each RAP will include a detailed budget, using the following template thus 
facilitating the preparation of a detailed and accurate budget for resettlement and 
compensation. The project will prepare the resettlement budget and will finance this budget 
through the administrative and financial management rules and manuals like any other 
activity eligible for payment under the program. This budget will be subject to the approval 
of the World Bank. 
 
At this stage however, all that can be reasonably and meaningfully prepared is an indicative 
budget, highlighting key features that the budget must contain, inter alia, as follows; 
 
The City Finance Department at the Dushanbe Municipality will manage and monitor the 
resettlement budget and will finance it through the administrative and financial 
management rules and manuals as for any other activity eligible for payment under this 
project. 
Page  35
35
12.  Mechanism For Consultations And Participation Of Displaced Persons In 
Planning, Implementation And Monitoring
12.1 Overview
 
The involvement of involuntary resettled persons and hosts in planning prior to the move is 
critical and initial resistance to the idea of involuntary resettlement is expected. To obtain 
cooperation, participation and feedback, the resettled persons will be systematically 
informed and consulted during preparation of the resettlement plan about their options and 
rights. Particular attention will be given to vulnerable groups such as the landless, women-
headed households, households with orphans, elderly living alone, to ensure that they are 
represented adequately in such arrangements. 
 
Public consultation and participation are essential because they afford potential PAPs the 
opportunity to contribute to both the design and implementation of the project activities and 
reduce the likelihood for conflicts between and among PAPs and DVK.  Effective and 
close consultation with PAPs is a pre-requisite for project success. In recognition of this, 
particular attention would be paid to public consultation with potentially affected 
individuals/households/homesteads when resettlement and compensation concerns are 
involved. 
 
Public consultation will take place at the inception of the planning stages when the 
potential land areas are being considered. The participation strategy would evolve around 
the provision of a full opportunity for involvement. Therefore, as a matter of strategy, 
public consultation would be an on-going activity taking place through out the entire 
project cycle. For example, public consultation would also occur during the preparation of 
the (i) the socio-economic study, (ii) the resettlement and compensation plan (iv) the 
environmental impact assessment and (v) during the drafting and reading of the 
compensation contract. 
 
Public participation and consultation could take place through meetings, radio programs, 
request for written proposals/comments, filling in of questionnaires/ application forms, 
public readings and explanations of project ideas and requirements, making public 
documents available at the National, local and homestead levels at suitable locations like 
the community centres. The compensation document for each household detailing the 
resettlement package will also serve to inform and guide PAPs. 
 
Monitoring of this process would be done as a specific output, but within the overall 
monitoring and evaluation mechanism of the entire project. This requirement is line with 
the Bank policy on disclosure. 
12.2 Implementation Operation 
During implementation, the PAPs will be informed about their rights and options, at which 
point they will air their views. Cash compensation amount and size of land offered for 
compensation will be presented to each eligible PAP for consideration and endorsement 
before cash payment or land compensation can be effected.  
Page  36
36
12.3  Monitoring and Evaluation phase 
The PAPs representatives will participate in the project completion workshops, to give their 
evaluation of the impacts of the project. They will also suggest corrective measures, which 
may be used to improve implementation of other activities. After completion of all 
expropriation/compensation operations, the PAPs will be consulted in a household survey 
to be undertaken as a monitoring and evaluation exercise. 
Page  37
37
13.  Arrangements For Monitoring And Evaluation
This section sets out requirements for the monitoring of the implementation of the RPF. In 
addition, monitoring of social indicators will be mainstreamed into the overall monitoring 
and evaluation system for the project. 
13.1 Overview 
The arrangements for monitoring will fit the overall monitoring plan of the entire project 
which will be implemented through DVK.  All RAPs will set major socio-economic goals 
by which to evaluate their success which will include (i) affected individuals, households, 
and communities being able to maintain their pre-project standard of living, and even 
improve on it, (ii) the local communities remaining supportive of the project and (iii) the 
absence or prevalence of conflicts. In order to assess whether these goals are met, RAPs 
will indicate parameters to be monitored, institute monitoring milestones and provide 
resources necessary to carry out the monitoring activities. DVK will institute an 
administrative reporting system that will:- 
 
ƒ
Provide timely information about all resettlement arising as a result of project activities; 
ƒ
Identify any grievances that have not been resolved and require resolution through the 
involvement of the grievance committee or higher authority; 
ƒ
Document the timely completion of project resettlement obligations for all permanent 
and temporary losses; 
ƒ
Evaluate whether all PAPs have been compensated in accordance with the requirements 
of this RPF and that PAPs have higher living standards in comparison to their living 
standards before physical or economic displacement. 
ƒ
Alert project authorities to the necessity for land acquisition in 
the project’s planned 
activities 
 
The objective will be to make a final evaluation in order to determine; 
 
·
if affected people have been paid in full and before implementation of any project 
activity that is causing resettlement , 
·
if the people who were affected by the project activities have been affected in such a 
way that they are now living a higher standard than before, living at the same standard as 
before, or are they  actually poorer than before.  
·
Specific impacts on vulnerable households 
 
13.2 Indicators to measure impact on PAPs 
 
A
number of indicators would be used in order to determine the status of affected people 
(land being used compared to before, standard of house compared to before, level of 
participation in project activities compared to before, access to services compared to before  
etc). Therefore, the resettlement and compensation plans will set two major socio-economic 
goals by which to evaluate its success: 
 
Page  38
38
·
Affected individuals, households, and communities are able to maintain their pre-
project standard of living, and even improve on it;  
·
Specific impacts on vulnerable households 
·
The local communities remain supportive of the project. 
·
The absence or prevalence of conflicts 
 
Most of the information for these indicators will be gathered the farmer cooperative or 
information collated through survey. The information for these indicators should be 
collated at regular intervals (e.g., quarterly or half yearly depending on circumstances) and 
compared over time. The pre-project Census information should provide most, if not all of 
the required information to set a baseline against which performance can be tracked. 
 
13.3  Indicators to Measure RAP Performance 
In order to access whether these goals are met, the resettlement and compensation plans 
will indicate parameters to be monitored, institute monitoring milestones and provide 
resources necessary to carry out the monitoring activities. The following provides a list of 
potential indicators for monitoring, which assess the change in the following for those who 
have been affected by project activities: 
 
In terms of the resettlement process, the following indicators could be used to understand 
the success of the measures identified and the working of the relevant parties in 
implementation the RAP: 
 
·
percentage of individuals selecting cash or a combination of cash and in-kind 
compensation; 
·
the number of contentious cases as a percentage of the total cases; 
·
the number of grievances and time and quality of resolution; 
·
the ability of individuals and families to re-establish their pre-displacement activities,  
land and crops (if affected) or other alternative incomes; 
·
number of vulnerable households identified and given special assistance 
·
number of impacted locals employed by the civil works contractors; 
·
general relations between the project and the local communities. 
 
These will be determined through the following activities: 
·
questionnaire data through the initial census, during preparation of RAP and in follow 
up M & E 
·
each individual will have a compensation dossier recording his or her initial situation, 
all subsequent project use of assets/improvements, and compensation agreed upon and 
received; 
·
DVK will maintain a complete database on every individual impacted by the project 
activities and land use requirements including 
·
relocation/resettlement and compensation, land impacts or damages; and the 
Resettlement and Compensation Committee should prepare Resettlement Completion 
Reports for each RAP, in addition to other regular monitoring reports 
 
Page  39
39
All vulnerable households will be included in the monitoring samples and follow up visits 
will be done for at least 1 year after completion of resettlement. 
 
It is the responsibility of DVK to document information ideally integrated into existing 
databases. DVK will need to design a robust reporting system at the beginning of the 
project to ensure that these data are collated at appropriate intervals and in sufficient 
quantity and quality.  
 
The Resettlement and Compensation Committee will facilitate coordination of information 
collation activities (such as surveys, supervising documentation) in accordance with 
procedures put in place. The project will finance any training and technical support to 
ensure that this happens. 
 
13.4  Monitoring of RPF Implementation 
 
The Resettlement and Compensation Committee will be responsible to manage the 
compilation of basic information on all physical or economic displacement arising from the 
project, and convey this information to DVK, on a quarterly basis.  
 
They will compile the following statistics:- 
(a) Number of activities requiring preparation of a RAP; 
(b) Number of households and individuals physically or economically displaced by each 
activity; 
(c) Length of time from design finalization to payment of compensation to PAPs; 
(d) Timing of compensation in relation to commencement of physical works; 
(e) Amount of compensation paid to each PAP household (if in cash), or the nature of 
compensation (if in kind); 
(f) Number of people raising grievances in relation to each sub-project; 
(g) Number of unresolved grievances. 
 
The DVK will scrutinize these statistics in order to determine whether the resettlement 
planning arrangements as set out in this RPF are being adhered to. They will alert the 
Project Coordinator, if there appears to be any discrepancies. Financial records will be 
maintained by the Resettlement Committee and DVK, to permit calculation of the final cost 
of resettlement and compensation per individual or household. The statistics will also be 
provided to an independent consultant that will be contracted on an annual basis.  
 
Each PAP household will be provided with a signed report recording his or her initial 
situation, all subsequent project use of assets and compensation agreed upon and received. 
The Local Authority and PCT will maintain a complete database on every individual 
impacted by the project land use requirements including relocation, resettlement and 
compensation, land impacts or damages. 
 
Each recipient of compensation will have a record containing individual bio-data, number 
of household dependents and amount of land available to the individual or household when 
the report is opened. Additional information to be acquired for individuals eligible for 
Page  40
40
resettlement and/or compensation include the level of income and of production, inventory 
of material assets and improvements in land and debts. 
 
Each time land is used by the project; the report will be updated to determine if the 
individual or household is being affected to the point of economic non-viability and 
eligibility for compensation or its alternatives. These reports will provide the foundation for 
monitoring and evaluation, as well as documentation of compensation agreed to, received, 
and signed for.  It is normal that some compensation procedures and rates may require 
revision at some time during the project/program cycle.  
 
This framework is suggesting that the M & E of resettlement is structured into the whole 
M&E component of the project. This would take the form of giving DVK the responsibility 
to contract an independant consultant/firm to carry out independent monitoring of the 
implementation of the resettlement and compensation plans at periodic intervals of 
quarterly or half yearly (as circumstances  dictate) during the project life. Their report 
would then be sent to the Municipality and World Bank and become part of the official 
documents of the project. 
 
13.5  Annual Audit 
The annual audit of RPF implementation will include (i) a summary of the performance of 
each sub-project vis-
à-vis its RAP, (ii) a summary of compliance and progress in 
implementation of the process s and (iii) a presentation of compliance and progress in the 
implementation of the RPF. 
 
The audit will verify results of internal monitoring and assess whether resettlement 
objectives have been met irrespective of whether livelihood and living standards have been 
restored or enhanced. The audit will also assess the resettlement efficiency, effectiveness, 
impact and sustainability, drawing lessons for future resettlement activities and 
recommending corrections in the implementation. Finally, the audit will ascertain whether 
the resettlement entitlements were appropriate to meeting the objectives and whether the 
objectives were suited to PAPs conditions. Annual audit reports will be submitted for 
scrutiny to the World Bank. 
 
13.6  Socio-economic monitoring 
The purpose of socio-economic monitoring is to ensure that PAPs are compensated and 
recovering on time. During implementation of each sub-project RAP, an assessment will be 
undertaken on payment of compensation, restoration of income delivery of resettlement 
objectives. Monitoring of living standards will continue following resettlement. A number 
of indicators will be used to determine the status of affected people and appropriate 
parameters and verifiable indicators will be used to measure the resettlement and 
compensation plans performance. For each activity with adverse social impacts, a 
monitoring and evaluation plan of the mitigation measures will be established. As part of 
the preparation of each RAP, a household survey will be conducted of all PAPs, prior to 
physical or economic displacement, and this will provide baseline data against which to 
Page  41
41
monitor the performance of the RAP.  All vulnerable households will be included in the 
monitoring samples and follow up visits will be done for at least 1 year after completion of 
resettlement. 
 
Page  42
42
14.  ANNEX  
ANNEX A: RESETTLEMENT SCREENING FORM 
 
Sub
-project name: 
Subproject Location
(Include map/sk
etch):   (e.g. District, Sector, Cell etc). 
Type of activity:
(e.g. new construction, rehabilitation, periodic maintenance) 
Estimated Cost:
Proposed Date of 
Commencement of Work:
Technical
Drawing/Specifications
Reviewed
:
(circle answer):     Yes         No
 
This report is to be kept short and concise. 
 
1. Site Selection: 
When considering the location of a subproject, rate the sensitivity of the proposed site in the 
following table according to the given criteria. Higher ratings do not necessarily mean that a site is 
unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social 
effects, and that more substantial environmental and/or social planning may be required to 
adequately avoid, mitigate or manage potential effects. 
 
Site Sensitivity
Issues
Low Medium High
Low Medium High
Low Medium 
High
Rating
nvoluntary
esettlement
Low population
density; dispersed
population; legal
enure is well
-
defined.
Medium population
densit
y; mixed 
ownership and land
enure.
High population
density; major 
owns
and villages; low
ncome
amilies
and/or illegal
ownership of 
and;
communal
Properties.
Page  43
43
 
2. Checklist questions: 
Physical data: 
Yes/No answers and bullet lists 
preferred except where descriptive 
detail is essential. 
Site area in ha 
 
Extension of or changes to existing alignment 
 
Any existing property to transfer to sub-project 
 
Any plans for new construction 
 
Refer to project application for this information. 
Land and resettlement: 
Yes/No answers and bullet lists 
preferred except where descriptive 
detail is essential. 
Will the subproject involve loss of land and 
other resources? 
 
Will the project result into temporary or 
permanent loss of crops, household 
infrastructure like shelter, granaries or latrines? 
 
What is the likelihood of land purchase for the 
subproject? 
 
How will the proponent go about land 
purchase? 
 
What level or type of compensation is planned? 
 
Who will monitor actual payments? 
 
Refer to the Resettlement Policy Framework. 
 
Actions
:
List outstanding actions to be cleared before 
sub-project appraisal. 
 
Approval/rejection 
Yes/No answers and bullet lists preferred 
except where descriptive detail is essential. 
Recommendations
:
Requires a RAP to be submitted on date: _________________________________ 
 
Does not require further studies 
 
Reviewer: _____________________________________________________________ 
Name: ________________________________________________________________ 
Signature: _____________________________________________________________ 
Date: _________________________________________________________________ 
 
Page  44
4
4
A
N
N
E
X
B
:
C
E
N
S
U
S
A
N
D
L
A
N
D
A
S
S
E
T
I
N
V
E
N
T
O
R
Y
F
O
R
M
S
o
c
i
o
-
e
c
o
n
o
m
i
c
H
o
u
s
e
h
o
l
d
D
a
t
a
s
h
e
e
t
o
f
P
A
P
s
N
a
m
e
o
f
I
n
t
e
r
v
i
e
w
e
r
I
D
C
o
d
e
S
i
g
n
a
t
u
r
e
N
a
m
e
o
f
S
u
p
e
r
v
i
s
o
r
I
D
C
o
d
e
(
a
f
t
e
r
v
e
r
i
f
i
c
a
t
i
o
n
o
f
i
n
t
e
r
v
i
e
w
)
C
e
l
l
N
a
m
e
I
D
C
o
d
e
(
G
P
S
C
o
o
r
d
i
n
a
t
e
s
)
D
a
t
e
:
…
…
…
…
…
…
…
…
…
…
…
…
…
…
D
a
y
M
o
n
t
h
Y
e
a
r
N
a
m
e
o
f
H
e
a
d
o
f
E
x
t
e
n
d
e
d
F
a
m
i
l
y
:
N
u
m
b
e
r
o
f
N
u
c
l
e
a
r
F
a
m
i
l
i
e
s
i
n
E
x
t
e
n
d
e
d
R
e
s
i
d
e
n
t
i
a
l
G
r
o
u
p
(
i
n
c
l
u
d
i
n
g
h
o
u
s
e
h
o
l
d
o
f
h
e
a
d
o
f
e
x
t
e
n
d
e
d
f
a
m
i
l
y
)
Page  45
4
5
H
o
u
s
e
h
o
l
d
I
n
t
e
r
v
i
e
w
S
e
x
I
n
c
o
m
e
E
a
r
n
e
r
E
c
o
n
o
m
i
c
A
c
t
i
v
i
t
i
e
s
N
a
m
e
a
n
d
S
u
r
n
a
m
e
R
e
l
a
t
i
o
n
s
h
i
p
t
o
H
e
a
d
o
f
F
a
m
i
l
y
M
F
P
l
a
c
e
o
f
B
i
r
t
h
A
g
e
M
a
r
i
t
a
l
S
t
a
t
u
s
R
e
s
i
d
e
n
c
e
T
e
n
u
r
e
E
t
h
n
i
c
G
r
o
u
p
R
e
l
i
g
i
o
n
E
d
u
c
a
t
i
o
n
a
l
L
e
v
e
l
Y
e
s
N
o
P
r
i
m
a
r
y
S
e
c
o
n
d
a
r
y
1
.
2
.
3
.
4
.
5
.
6
.
7
.
R
e
l
a
t
i
o
n
t
o
H
e
a
d
o
f
F
a
m
i
l
y
:
1
H
o
H
;
2
S
p
o
u
s
e
o
f
H
o
H
;
3
C
h
i
l
d
o
f
H
o
H
;
4
S
p
o
u
s
e
o
f
c
h
i
l
d
o
f
H
o
H
;
5
G
r
a
n
d
c
h
i
l
d
o
f
H
o
H
;
6
P
a
r
e
n
t
o
f
H
o
H
;
7
;
8
9
O
t
h
e
r
(
s
p
e
c
i
f
y
)
;
0
N
o
A
n
s
w
e
r
.
M
a
r
i
t
a
l
S
t
a
t
u
s
:
1
M
a
r
r
i
e
d
;
2
W
i
d
o
w
e
d
;
3
D
i
v
o
r
c
e
d
;
4
U
n
m
a
r
r
i
e
d
;
0
N
o
A
n
s
w
e
r
.
R
e
s
i
d
e
n
t
i
a
l
S
t
a
t
u
s
:
1
P
R
P
(
P
e
r
m
a
n
e
n
t
R
e
s
i
d
e
n
t
)
;
2
R
A
(
R
e
s
i
d
e
n
t
a
b
s
e
n
t
)
;
3
M
e
m
b
e
r
o
f
n
o
n
-
r
e
s
i
d
e
n
t
H
H
;
4
V
i
s
i
t
o
r
;
9
O
t
h
e
r
(
s
p
e
c
i
f
y
)
;
0
N
o
A
n
s
w
e
r
.
O
c
c
u
p
a
t
i
o
n
s
:
-
P
r
i
n
c
i
p
l
e
O
c
c
u
p
a
t
i
o
n
:
1
.
G
o
v
t
e
m
p
l
o
y
e
e
;
2
P
r
i
v
a
t
e
s
e
c
t
o
r
s
a
l
a
r
i
e
d
;
3
N
G
O
s
e
c
t
o
r
s
a
l
a
r
i
e
d
;
4
S
e
l
f
-
e
m
p
l
o
y
e
d
p
r
o
f
e
s
s
i
o
n
a
l
;
5
S
e
l
f
–
e
m
p
l
o
y
e
d
b
u
s
i
n
e
s
s
m
a
n
;
6
R
e
l
i
g
i
o
u
s
l
e
a
d
e
r
;
7
A
r
t
i
s
a
n
;
8
U
n
e
m
p
l
o
y
e
d
;
9
O
t
h
e
r
(
s
p
e
c
i
f
y
)
;
0
N
o
A
n
s
w
e
r
S
e
c
o
n
d
a
r
y
O
c
c
u
p
a
t
i
o
n
s
:
i
d
e
m
.
E
d
u
c
a
t
i
o
n
a
l
L
e
v
e
l
:
1
I
l
l
i
t
e
r
a
t
e
;
2
T
h
r
e
e
y
e
a
r
s
o
r
l
e
s
s
;
3
P
r
i
m
a
r
y
S
c
h
o
o
l
;
4
S
e
c
o
n
d
a
r
y
S
c
h
o
o
l
;
5
T
e
c
h
n
i
c
a
l
S
c
h
o
o
l
;
6
R
e
l
i
g
i
o
u
s
S
c
h
o
o
l
;
0
N
o
A
n
s
w
e
r
R
e
l
i
g
i
o
n
:
1
M
u
s
l
i
m
;
2
C
h
r
i
s
t
i
a
n
;
9
O
t
h
e
r
(
s
p
e
c
i
f
y
)
;
0
N
o
A
n
s
w
e
r
Page  46
4
6
L
a
n
d
a
s
s
e
t
i
n
v
e
n
t
o
r
y
f
o
r
P
r
o
j
e
c
t
A
f
f
e
c
t
e
d
P
e
o
p
l
e
D
i
s
t
r
i
c
t
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
D
a
t
e
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
C
e
l
l
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
S
u
r
v
e
y
n
o
.
N
a
m
e
o
f
H
e
a
d
o
f
H
o
u
s
e
h
o
l
d
N
o
.
o
f
P
e
r
s
o
n
s
i
n
h
o
u
s
e
h
o
l
d
T
o
t
a
l
l
a
n
d
h
o
l
d
i
n
g
o
f
H
h
o
l
d
(
m
2
)
L
a
n
d
t
o
b
e
a
c
q
u
i
r
e
d
(
m
2
)
L
a
n
d
U
s
e
T
y
p
e
*
L
o
s
s
o
f
%
t
o
t
a
l
L
o
s
s
o
f
a
s
s
e
t
s
L
o
s
s
o
f
c
r
o
p
s
L
o
s
s
o
f
o
t
h
e
r
a
s
s
e
t
s
O
t
h
e
r
l
o
s
s
e
s
S
t
r
u
c
t
u
r
e
s
P
e
r
m
a
n
e
n
t
(
m
2
)
S
t
r
u
c
t
u
r
e
s
t
e
m
p
o
r
a
r
y
(
m
2
)
A
r
e
a
o
f
r
e
s
i
d
e
n
t
i
a
l
l
a
n
d
l
o
s
t
(
m
2
)
F
r
u
i
t
t
r
e
e
s
l
o
s
t
t
y
p
e
a
n
d
n
u
m
b
e
r
A
g
r
i
c
u
l
t
u
r
a
l
l
a
n
d
l
o
s
t
(
m
2
)
O
t
h
e
r
(
s
p
e
c
i
f
y
)
e
.
g
.
g
r
a
v
e
y
a
r
d
s
,
w
e
l
l
s
,
e
t
c
.
(
t
y
p
e
a
n
d
n
o
.
)
R
e
s
i
d
e
n
e
(
r
e
n
t
e
d
)
B
u
s
i
n
e
s
s
l
o
s
t
I
n
c
o
m
e
l
o
s
s
*
L
a
n
d
t
y
p
e
s
a
r
e
a
s
f
o
l
l
o
w
s
(
p
l
e
a
s
e
f
i
l
l
i
n
t
h
e
t
y
p
e
s
o
f
l
a
n
d
f
o
r
T
a
j
i
k
i
s
t
a
n
)
1
.
3
.
2
.
4
.
Page  47
4
7
E
n
t
i
t
l
e
m
e
n
t
s
o
f
P
r
o
j
e
c
t
A
f
f
e
c
t
e
d
P
e
o
p
l
e
S
e
c
t
o
r
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
D
a
t
e
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
C
e
l
l
:
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
_
S
u
r
v
e
y
n
o
.
N
a
m
e
o
f
H
e
a
d
o
f
H
o
u
s
e
h
o
l
d
C
o
m
p
e
n
s
a
t
i
o
n
f
o
r
L
a
n
d
C
o
m
p
e
n
s
a
t
i
o
n
f
o
r
s
t
r
u
c
t
u
r
e
s
C
o
m
p
e
n
s
a
t
i
o
n
f
o
r
c
r
o
p
s
a
n
d
t
r
e
e
s
C
o
m
p
e
n
s
a
t
i
o
n
f
o
r
o
t
h
e
r
a
s
s
e
t
s
a
n
d
l
o
s
s
e
s
(
e
.
g
.
,
,
g
r
a
v
e
y
a
r
d
s
,
w
e
l
l
s
,
b
u
s
i
n
e
s
s
e
s
,
e
t
c
)
T
o
t
a
l
(
F
r
w
)
Q
u
a
n
t
i
t
y
(
m
2
)
U
n
i
t
p
r
i
c
e
(
F
r
w
)
p
e
r
m
E
n
t
i
t
l
e
m
e
n
t
(
F
r
w
)
Q
u
a
n
t
i
t
y
(
m
2
)
U
n
i
t
p
r
i
c
e
(
F
r
w
)
p
e
r
m
E
n
t
i
t
l
e
m
e
n
t
(
F
r
w
)
Q
u
a
n
t
i
t
y
(
m
2
)
U
n
i
t
p
r
i
c
e
(
F
r
w
)
p
e
r
m
E
n
t
i
t
l
e
m
e
n
t
(
F
r
w
)
Q
u
a
n
t
i
t
y
(
m
2
)
U
n
i
t
p
r
i
c
e
(
F
r
w
)
p
e
r
m
E
n
t
i
t
l
e
m
e
n
t
(
F
r
w
)
Page  48
ANNEX C: SAMPLE GRIEVANCE REDRESS FORM 
 
Grievance Form
 
Grievance Number
 
Copies to forward to:
 
Name of the Recorder
 
(Original)-Receiver Party
 
District/ Sector/ Cell
 
(Copy)-Responsible Party
 
Date
 
INFORMATION ABOUT GRIEVANCE
 
Define The Grievance:
 
INFORMATION ABOUT THE COMPLAINANT
 
Forms of Receive
 
Name-Surname
 
Telephone Number
 
Address 
 
Village/ Cell
 
Sector/ District 
 
Signature of Complainant
 
Phone Line
 
Community/ Information
 
Meetings 
Mail
 
Informal
 
Other
 
DETAILS OF GRIEVANCE
 
1. Access to Land 
and Resources 
 
a) Fishing grounds 
b) Lands 
c) Pasturelands 
d) House 
e) Commercial site 
f) Other 
 
2. Damage to 
 
a) House 
b) Land 
c) Livestock 
d) Means of 
livelihood 
e) Other
 
3. Damage to 
Infrastructure or 
Community Assets 
 
a) Road/Railway 
b) Bridge/ 
Passageways 
c)Power/Telephone 
Lines 
d) Water sources, 
canals 
and water 
infrastructure 
for irrigation and 
animals 
e) Drinking water 
f) Sewerage System 
g) Other
 
4. Decrease or 
Loss of 
Livelihood 
 
a) Agriculture 
b) Animal 
husbandry 
c) Beekeeping 
d) Small scale 
trade 
e) Other
 
5. Traffic 
Accident 
 
a) Injury 
b) Damage to 
property 
c) Damage to 
livestock 
d) Other
 
6. Incidents 
Regarding 
Expropriation and 
Compensation 
(Specify) 
 
7. Resettlement 
Process (Specify)
 
8.Employment 
and 
Recruitment 
(Specify)
 
9. Construction Camp 
and Community 
Relations 
a) Nuisance from dust 
b) Nuisance from noise 
c) Vibrations due to 
explosions 
d) Misconduct of the 
project personal/worker 
e) Complaint follow up 
f) Other
 
10. Other 
(Specify)
 
Page  49
49
 
Annex D: Template for Preparing Resettlement and Compensation Plans       
(RAPs). 
 
This template is extracted from OP 4.12 Annex A which can also be found on the Banks 
website at 
www.worldbank.org
.
The scope and level of detail of the resettlement plan vary with magnitude and 
complexity of resettlement.  The plan is based on up-to
—date and reliable information 
about (a) the proposed resettlement and its impacts on displaced persons and other 
adversely affected groups, and (b) the legal issues involved in resettlement. The 
resettlement plan covers elements, as relevant. When any element is not relevant to 
project circumstances, it should be noted in the resettlement plan. 
 
Description of the sub project: 
General description of the sub project and identification of 
sub project area. 
 
Potential Impacts: 
Identification of (a) the sub project component or activities that give 
rise to resettlement, (b) the zone of impact of such component or activities, (c) the 
alternatives considered to avoid or minimize resettlement; and (d) the mechanisms 
established to minimize resettlement, to the extent possible, during project 
implementation. 
 
Objectives: 
The main objectives of the resettlement program. 
 
Socio-economic studies: 
The findings of socio-economic studies to be conducted in the 
early stages of project preparation and with the involvement of potentially displaced 
people, including; 
 
(a) The results of a census survey covering; 
(i) 
Current occupants of the affected area to establish a basis for 
design of the resettlement program and to exclude subsequent 
inflows of people from eligibility for compensation and 
resettlement assistance.  
(ii) 
Standard characteristics of displaced households, including a 
description of production systems, labor, and household 
organization; and baseline information on livelihoods (including, 
as relevant, production levels and income derived from both formal 
and informal economic activities) and standards of living 
(including health status) of the displaced population 
(iii) 
The magnitude of the expected loss, total or partial, of assets, and 
the extent of displacement, physical or economic 
(iv) 
Information on vulnerable groups or persons, for whom special 
provisions may have to be made; and 
Page  50
50
(v) Provisions
 to update information on the displaced people’s 
livelihoods and standards of living at regular intervals so that the 
latest information is available at the time of their displacement. 
 
(b) Other studies describing the following; 
(i) 
land tenure and transfer systems, including an inventory of common 
property natural resources from which people derive their livelihoods 
and sustenance, non-title-based usufruct systems ( including fishing, 
grazing, or use of forest areas) governed by local recognized land 
allocation mechanisms, and any issues raised by different tenure 
systems in the sub project area. 
(ii) 
The patterns of social interaction in the affected communities, 
including social support systems, and how they will be affected by the 
sub project 
(iii) 
Public infrastructure and social services that will be affected; and 
(iv) 
Social and cultural characteristics of displaced communities, including 
a
description of formal and informal institutions ( e.g. community 
organizations, ritual groups, non governmental organizations (NGO’s) 
that may be relevant to the consultation strategy and to designing and 
implementing the resettlement activities. 
 
Legal Framework: 
The findings of an analysis of the legal framework, covering, 
 
(a) The scope of the power of eminent domain and the nature of compensation 
associated with it, in terms of both the valuation methodology and the timing of 
payment, 
 
(b) The applicable legal and administrative procedures, including a description of 
the remedies available to displaced persons in the judicial process and the normal 
timeframe for such procedures, and any available alternative dispute resolution 
mechanisms that may be relevant to resettlement under the sub project, 
 
(c) relevant law ( including customary and traditional law) governing land tenure, 
valuation of assets and losses, compensation, and natural resource usage rights, 
customary personal law related to displacement, and environmental laws and 
social welfare legislation, 
(d) Laws and regulations relating to the agencies responsible for implementing 
resettlement activities, 
(e)gaps, if any, between local laws covering eminent domain and resettlement and 
the Bank’s resettlement policy, and the mechanisms to bridge such gaps, and, 
(f) any legal steps necessary to ensure the effective implementation of 
resettlement activities under the project, including, as appropriate, a process for 
recognizing claims to legal rights to land, including claims that derive from 
customary and traditional usage . 
 
Institutional Framework: 
The findings of any analysis of the institutional framework 
covering; 
 
Page  51
51
(a) The identification of agencies responsible for resettlement activities and NGOs 
that may have a role in project implementation; 
(b) An assessment of the institutional capacity of such agencies and NGOs; and 
(c) Any steps that are proposed to enhance the institutional capacity of agencies 
and NGOs responsible for resettlement implementation. 
 
Eligibility: 
Definition
 
of
displaced persons and criteria for determining their eligibility 
for compensation and other resettlement assistance, including relevant cut-off dates. 
 
Valuation of and compensation for losses: 
The methodology to be used in valuing losses 
to determine their replacement cost; and a description of the proposed types and levels of 
compensation under local law and such supplementary measures as are necessary to 
achieve replacement cost for lost assets. 
 
Resettlement Measures: 
A
description of the packages of compensation and other 
resettlement measures that will assist each category of eligible displaced persons to 
achieve the objectives of OP 4.12. In addition to being technically and economically 
feasible, the resettlement packages should be compatible with the cultural preferences of 
the displaced persons, and prepared in consultation with them. 
 
Site selection, site preparation, and relocation: 
Alternative relocation sites considered 
and explanation of those selected, covering, 
 
(a) institutional and technical arrangements for identifying and preparing 
relocation sites, whether rural or urban, for which a combination of productive 
potential, locational advantages, and other factors is at least comparable to the 
advantages of the old sites, with an estimate of the time needed to acquire and 
transfer land and ancillary resources, 
(b) Any measures necessary to prevent land speculation or influx of eligible 
persons at the selected sites, 
(c) Procedure for physical relocation under the project, including timetables for 
site preparation and transfer; and 
(d) legal arrangements for regularizing tenure and transferring titles to resettlers. 
 
Housing, infrastructure, and social services: 
Plans to provide (or to 
finance resettler’s 
provision of) housing, infrastructure (e.g. water supply, feeder roads), and social services 
to host populations; any necessary site development, engineering, and architectural 
designs for these facilities. 
 
Environmental protection and management. 
A
description of the boundaries of the 
relocation area; and an assessment of the environmental impacts of the proposed 
resettlement and measures to mitigate and manage these impacts (coordinated as 
appropriate with the environmental assessment of the main investment requiring the 
resettlement). 
 
Page  52
52
Community Participation: 
a
description of the strategy for consultation with and 
participation of resettlers and host communities, including 
(a) a description of the strategy for consultation with and participation of resettlers 
and hosts in the design and implementation of resettlement activities, 
(b) a summary of the views expressed an how these views were taken into account 
in preparing the resettlement plan, 
(c) a review of the resettlement alternatives presented and the choices made by 
displaced persons regarding options available to them, including choices related 
to forms of compensation and resettlement assistance, to relocating as individual 
families or as parts of pre-existing communities or kinship groups, to sustaining 
existing patterns of group organization, and to retaining access to cultural 
property (e.g. places of worship, pilgrimage centers, cemeteries); and 
(d) institutionalized arrangements by arrangements by which displaced people can 
communicate their concerns to project authorities throughout planning and 
implementation, and measures to ensure that such vulnerable groups as 
indigenous people, ethnic minorities, landless, and women are adequately 
represented. 
 
Integration with host populations: 
Measures to mitigate the impact of resettlement on any 
host communities, including, 
 
(a) consultations with host communities and local governments, 
(b) arrangements for prompt tendering of any payment due the hosts for 
land or other assets provided to resetters, 
(c) arrangements for addressing any conflict that may arise between 
resettlers and host communities, and 
(d) any measures necessary to augment services (e.g. education, water, 
health, and production services) in host communities to make them at least 
comparable to services available to resettlers. 
 
Grievance procedures: 
Affordable and accessible procedures for third-party settlement of 
disputes arising from resettlement, such grievance mechanisms should take into account 
the availability of judicial recourse and community and traditional dispute settlement 
mechanisms. 
 
Organizational responsibilities: 
The organizational framework for implementing 
resettlement, including identification of agencies responsible for delivery or resettlement 
measures and provision of services; arrangements to ensure appropriate coordination 
between agencies and jurisdictions involved in implementation; and any measures 
(including technical assistance) needed to strengthen the implementing agencies capacity 
to design and carry out resettlement activities; provisions for the transfer to local 
authorities or resettlers themselves of responsibility for managing facilities and services 
provided under the project and for transferring other such responsibilities from the 
resettlement implementing agencies, when appropriate. 
 
Implementation Schedule: 
An implementation schedule covering all resettlement 
activities from preparation through implementation, including target dates for the 
Page  53
53
achievement of expected benefits to resettlers and hosts and terminating the various 
forms of assistance. The schedule should indicate how the resettlement activities are 
linked to the implementation of the overall project. 
 
Costs and budget:
 Tables showing itemized cost estimates for all resettlement activities, 
including allowances for inflation, population growth, and other contingencies; timetable 
for expenditures; sources of funds; and arrangements for timely flow of funds, and 
funding for resettlement, if any, in areas outside the jurisdiction of the implementing 
agencies. 
 
Monitoring and evaluation: 
Arrangements for monitoring of resettlement activities by the 
implementing agency, supplemented by independent monitors as considered appropriate 
by the Bank, to ensure complete and objective information; performance monitoring 
indicators to measure inputs, outputs, and outcomes for resettlement activities; 
involvement of the displaced persons in the monitoring process; evaluation of the impact 
of resettlement for a reasonable period after all resettlement and related development 
activities have been completed; using the results of resettlement monitoring to guide 
subsequent implementation. 
 
Page  54
54
 
Annex H. TERMS OF REFERENCE FOR A RESETTLEMENT POLICY 
FRAMEWORK AND A RESETTLEMENT SURVEY 
 
1.  
BACKGROUND 
The Dushanbe Water Supply Project 2 (DWSP 2) is designed as one part of a 
comprehensive Priority Investment Program (PIP) reconciling DVK needs and the 
envisioned availability of funding by IDA and other donors [European Consortium led by 
EBRD and including EIB and IFCA]. The IDA-funded DWSP2 would implement 
selected components of the Program, in parallel with other components funded by others. 
The Program aims at comprehensive improvement of quality and commercial 
sustainability of water service in Dushanbe. Overall investment needs for such Program, 
include (a) rehabilitation and upgrade of water systems, (b) systematic metering and 
billing, and (c) utility management capacity building.  
 
The program will include four components:  
Component 1  (US$ 9.3 million of which financed by IDA US$8.7 million):
 Water 
system upgrades for improved quality, reliability and efficiency of service, including: (i) 
network cleaning, (ii) NAP pump station and reservoir rehabilitation, (iii) SAM filter 
rehabilitation,  (iv) chlorination systems rehabilitation; (v) water quality monitoring units; 
(vi) bulk metering and pressure zoning;  
Component 2  (US$ 16.8 million of which financed by IDA US$ 0.0 million):
 Demand 
management for higher commercial revenue and reduced water wastage, including: (i) 
installation of 165,000 residential and master meters; (ii) rehabilitation of plumbing in 
apartment buildings; (iii) rehabilitation of house connections.  
Component 3  (US$ 2.7 million of which financed by IDA US$2.7 million):
 Capacity 
building for operational performance improvement, including (i) technical assistance to 
O&M; (ii) Consultancy for water master plan & hydraulic modeling, network information 
system, SCADA system and leak reduction strategy; (iii) TA for implementing NIS and 
hydro models; (iv) hardware and software; (v) training in energy efficiency; (vi) training 
for water quality monitoring; and (vii) TA for specialized O&M aspects.  
Component 4  (US$ 1.4 million of which financed by IDA US$ 0.0 million):
 
Capacity 
building for corporate development and financial performance improvement, including : 
(i) TA for corporate development and finance; (ii) Support accounting department; (iii) 
accounting and customer service/billing software; (iv) planning and budgeting of tariffs; 
(v) support billing and metering program; (vi) strengthen human resources functions; 
(vii) Customer relationship management. 
Component 5  (US$ 2.
2
million of which financing by IDA US$ 1.34 million): including 
(i) Engineering design and supervision of physical investments; (ii) PCU operating cost; 
(iii) Annual project audits.   
 
2. 
 
WORLD BANK OP 4.12 INVOLUNTARY RESETTLEMENT 
 
Page  55
55
(OP 4.12)
1
is applied to any Bank financed project that involves the taking of land 
resulting in relocation or the loss of shelter, the loss of assets or access to them, and the 
loss of income or means of livelihood whether or not he affected persons move to another 
location or not. Similarly the policy is applied if there is limited access to legally 
designated parks or protected areas resulting in impacts on livelihoods of displaced 
persons.  The Bank describes all these processes and outcomes as “involuntary 
resettlement,” or simply resettlement, even when people are not forced to move.  
Resettlement is involuntary if affected people do not have the option to retain the status 
quo that they have before the project begins. 
The project requires a process entailing the preparation of two instruments.  First is a 
Resettlement Policy Framework
 (
RPF
)
that will guide and govern the entire LWH as 
civil works packages are defined for funding.  Second are the specific 
Resettlement 
Action Plans
 (
RAPs)
 for each package where the acquisition of land described above 
will take place.  
Abbreviated RAPs
 
(ARAPs)
 may be used if the impacts are minor or 
fewer than 200 people are displaced for the entire LWH project.  The RPF will specify 
the process for reviewing, approving and implementing subsequent RAPs/ARAPs before 
the relevant civil works are initiated. 
The RPF is a statement of the policy, principles, institutional arrangements and 
procedures that the project will follow in each civil works package involving 
resettlement
.
It sets out the elements that will be common throughout the project.  
Preparing it allows the Bank and the DVK to agree on principles and processes so that 
these need not be discussed for every works package.  It also allows DVK staff, who may 
be in many different locations, to undertake planning for specific packages without 
having to re-negotiate fundamental agreements.   
The RPF and the individual RAPs/ARAPs will be fully complementary to one another.  
The more that is agreed in the RPF, the less that needs to be discussed for each case.   
 
The principles and requirements underlying both RPFs and RAPs/ARAPs are contained 
in OP 4.12.  Annex A of OP 4.12 sets out the basic contents of both RPFs and 
RAPs/ARAPs.   
 
SCOPE OF WORK 
 
The Consultant will: 
a) 
Prepare an RPF for the LWH to meet World Bank standards (Section 4 below); 
b)  After the RPF has been prepared, review procedures used to acquire land for project 
financed infrastructure to determine the extent to which compensation given to 
affected persons users under Tajikistan law and customary procedures conforms to 
the RPF standards (Section 5 below) 
 
In undertaking this work, the Consultant will, at least; 
1
Available at  
http://wbln0018.worldbank.org/Institutional/Manuals/OpManual.nsf/tocall/CA2D01A4D1BDF58085
256B19008197F6?OpenDocument 
Page  56
56
·
Review relevant Tajikistan law and procedures regarding land taking and 
compensation; 
·
Review relevant Tajikistan land law and procedures regarding land loss and land 
taking ; 
·
Review RPFs prepared for other recent World Bank projects in Tajikistan 
·
Undertake a reconnaissance field survey of a sample of project investments to assist 
in defining the content of the RPF  
·
Consult with the appropriate government officials at national and local levels; and 
·
Consult with persons receiving resettlement compensation to date from the project. 
 
RESETTLEMENT POLICY FRAMEWORK (RPF) 
 
The Consultant will prepare an RPF that meets the requirements elaborated below.  The 
RPF will specifically follow the World Bank requirements as stated in OP 4.12.  It will 
also meet the legal requirements of the GOR.  
 
The RPF should be an operational document (i.e. who does what, why, when, where and 
how) with annexes providing more detailed supportive and background information.  The 
Consultant will refer to OP 4.12 for specific direction concerning the preparation and 
content of the RPF.   In summary, it will include: 
 
Project Description:
 
Provide a brief description of the project, for readers of the RPF 
who may not see other project documentation.  Be more detailed with components and 
activities for which land acquisition and resettlement are required.  
 
Impacts, Land Acquisition, and Resettlement:
 
Discuss the land acquisition, or 
restrictions of access, that may be required.  Given the nature of the project, describe why 
resettlement is necessary, and why there needs to be an RPF.  State that RAPs/ARPAs for 
individual packages of civil works will be prepared, approved, disclosed and 
implemented before the relevant civil works are initiated. 
 
Principles and Objectives Governing Resettlement Preparation and 
Implementation:
 
Describe the basic principles and vision of the resettlement program.  
State that the resettlement objectives are to move as few people as possible consistent 
with the requirements of the project, and that general principles of doing no harm, of 
avoiding or minimizing resettlement are to be followed in all subprojects.  Show why 
acquisition of land or resources is needed and resettlement cannot be avoided in every 
case.  Demonstrate that the commitment is to ensure that affected people are 
meaningfully consulted, compensated fully and fairly for their losses, and assisted in their 
efforts to improve their livelihoods and standards of living or at least to restore them.  
Describe any particular conditions in the Project that may present special problems or 
opportunities, and show how the resettlement will be done, in principle, so as to 
overcome risks or take advantage of such opportunities. 
 
Page  57
57
Legal Frameworks for Resettlement:
 
Review the laws of Tajikistan governing the 
taking of land or other assets.  Because such legal instruments may come from many 
sources, make this section as extensive as is warranted.  Set out the requirements of the 
process for land takings.   Discuss discrepancies among the various legal instruments, if 
found.  Summarize what laws and regulations may apply to different categories of 
affected people.  Next, set out any requirements of the Bank for resettlement that apply to 
the types of cases that will arise in the project.  Analyze all gaps between national and 
Bank requirements, and say how such gaps may be bridged.   
 
Estimated Population Displacement and Categories of Affected People:
 
For the 
LWH, it may be difficult to estimate eventual total displacement, but every effort should 
be made -- in part to estimate budgets, but also to evaluate consultation requirements and 
potential challenges to the DVK staff.  Different categories of those displaced may 
include, for example, those losing legal title and those without it, those losing lands or 
those losing housing or those losing both, those losing temporary access or those losing 
permanent rights, business or residential property.  Discuss the unit of analysis, whether 
“cases” (such as properties or fields), or households or individuals.  Discuss whether 
uniform approaches will be taken across all civil works packages, and how records will 
be kept. 
 
Organizational Elements, Responsibilities and Procedures for Delivery of 
Entitlements:
 
State who in the overall LWH organization will be responsible for 
resettlement, centrally and in the regions, and what facilities they will have available to 
them.  Describe the process by which individual RAPs/ARAPs will be prepared and 
submitted to Project authorities, considered and approved, and how entitlements will be 
delivered.  If there is no unit(s) or officer(s) with the training and job description to 
oversee resettlement issues, describe the way in which such capacity will be developed, 
structured, and given authority.  In an annex, provide TOR for such unit(s) and officer(s) 
and describe interim arrangements until such capacity is functioning.  Recommend 
whether some or all RAPs/ARAPs should be reviewed by the Bank, and how this will 
happen. Set out the schedule by which resettlement will arise and be treated, both in 
terms of the overall management of the Project and the scheduling of the civil works. 
 
Eligibility Criteria for Various Categories of Affected People:
 
Determine the method 
for setting a cut-off date (see OP 4.12) for eligibility for compensation.  Set out the 
different categories of people affected by the project, and show the types of losses such 
people may suffer, whether to land, income, rights of access, housing, proximity to work, 
and others, and including combinations (house and land, for example).  Define the criteria 
that are to be used to identify the eligibility for compensatory measures for each category 
of affected people, whether losses are partial or total, whether people have their own land 
or also rent land, what happens when buildings are occupied by more than one business 
tenant or household, for example.  Make the criteria user-friendly, so that those applying 
the principles to civil works packages “on the ground” will be able quickly to identify 
whether affected people are eligible for compensatory measures, and how.  Describe who 
will judge eligibility in difficult cases, and how such processes will work.   
 
Page  58
58
It may be necessary for country approval to define categories of people eligible under 
national law and, separately, any others who must be compensated because of the 
requirements of World Bank policy.  The unit of compensation need to be defined 
–
individuals, families, collectivities (or all three, because some losses may be sustained by 
individuals, others by the community as a whole or by associations within it).  Some 
impacts may be defined as non-compensable, or as compensable with a generic payment 
–
e.g. minor strips of land of a meter or two along a water distribution line route.  Finally, 
cash payments may be more acceptable where losses constitute a very small fraction of 
incomes, than when the income source [or residence plot] is so compromised that the 
entire holding or structure should be replaced.  Defining the treatment to be applied to the 
major variations of all the main types of impacts in the RPF eliminates the need to 
negotiate these issues for each package of civil works in perhaps different regions. 
 
Methods of Valuing Affected Assets:
 
Describe the GOR’s methods of valuing those 
assets that it deems eligible for compensation, and those that must be compensated under 
the policy principles that meet the World Bank’s requirements.  Explain the methods for 
inventorying 
assets, 
assigning values
 to each type of asset, and 
coming to agreements
 
with each affected person or group on the total profile of losses and compensation.  
Present, to the degree possible, an “entitlement matrix” which shows the types of affected 
people, the types of losses, and the forms and amounts of compensatory actions that will 
be taken for each type.   
 
Grievance Redress Mechanisms:
 
Describe the mechanisms available to affected people 
to complain about aspects of their treatment under the RPF.  Show how the mechanism 
will be accessible (in terms of language, distance, and cost) to affected people, and what 
recourse/appeal from the local grievance mechanism may be available. 
 
Budget, and Funding Arrangements:
 
Estimate the overall costs of resettlement, 
including funds for RAP/ARAP preparation, general oversight, and implementation of 
civil works packages.  Show the sources of funds.  Show that the overall budget estimates 
have been included in the projecyt budget. 
 
Methods for Consultation with, and Participation of, Affected People:  
Consultation 
is to be done for both the RPF which sets many of the parameters by which resettlement 
will be carried out, and the individual RAPs/ARAPs which will be done for each package 
of civil works.  For the RPF, show that meaningful consultation was carried out with a 
broad array of stakeholders including both Borrower officials at every level and the types 
of people who may be the beneficiaries of, and affected by, typical civil works.  Show 
that the draft RPF is to be, or has been, circulated to interested parties, and that further 
consultations will take place before finalization.  Include a record of all such 
consultations in an annex to the RPF.  For the individual RAPs/ARAPs, show how the 
people affected by the particular package of civil works will be consulted throughout the 
process of RAP/ARAP formulation, as prescribed in OP 4.12.   
 
Monitoring:  
Provide an appropriate mechanism for monitoring the effective 
implementation of resettlement, either as part of the overall monitoring of project 
Page  59
59
progress, or separately to affirm the achievement of resettlement goals of ensuring that all 
affected people are addressed.  Describe how overall project achievements will be 
monitored, and at what frequency.  Show how the results of monitoring will be fed back 
into project implementation.  Where appropriate, set up monitoring checklists or 
templates to focus the work of local monitors. 
The RPF shall therefore include a section of monitoring and evaluation (M&E), including 
monitoring by the implementing agency and where required independent monitors. In 
addition to this, a RAP implementation report shall be required for each of the sites.  
 
Preparation of Individual RAPs/ARAPs:
 
Taking account of the degree of detail 
provided in the RPF, provide a template for individual RAPs/ARAPs for distinct civil 
works packages as they are defined.  Provide a step-by-step procedure, including 
consultation methods, typical questions to ask, checklists and forms, for completing a 
RAP.  Include in the RAP design the minimum information required to complement what 
has already been determined in the RPF.   
 
Insofar as possible, show any further information that may be needed during Project 
implementation, or where the general issues need to be supplemented due to differing 
local laws, special situations or effects on people, or the additional contributions of 
specialists to the individual RAP preparation. 
 
STAFFING, REPORTING AND TIMEFRAME 
 
Fluent in Russian and Tajik, knowledge of both languages will be an advantage 
 
The Consultant will be knowledgeable of World Bank resettlement policy requirements 
(RPFs and RAPs), and similar requirements in Tajikistan, and have demonstrated 
experience in successfully meeting these requirements.   
The Consultant team will have an extended experience, at least 5 in social science, social 
development, economy, law,  resettlement experience and intimate familiarity with the 
World Bank OP 4.12, asset evaluation (for determining methods), and training.  
Knowledge of local language will be important for the field consultations. 
 
The deliverables of the consultancy include: 
 
a) 
An RPF, and 
b) 
A Resettlement Action plans. 
 
It is expected that the levels of effort to carry out the various elements of these TOR will 
be approximately as follows: 
 
·
RPF- 4 person weeks 
 
All draft final reports will be submitted to the DVK as they are completed, and no later 
than 4 weeks after contract signature.   
Page  60
60
 
All draft final reports will be reviewed by the DVK and the World Bank.  The approved 
RPF will be disclosed in Tajikistan and submitted by the GOT to the Bank for disclosure 
through the World Bank InfoShop, according to Bank policy. 
 
All reports will be prepared using recent versions of MSWord and Excel, in English and 
Russian and submitted in both hard and electronic copies. Organize workshop to present 
findings and recommendations to key stakeholders and partners. 
 
6.  
SERVICES AND FACILITIES TO BE PROVIDED BY DVK
DVK will provide the following services: 
·
Make available all relevant documentation, studies and surveys, and operational data; 
and 
·
Make all necessary arrangements for facilitating the work of the Consultant and to 
provide access to government authorities, project sites, and local community 
members.