RP1344 Republic of Albania Ministry of Agriculture Food and Consumer Protection Water Resources and Irrigation Project Project ID P121186 Consultancy Services: Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Photo: Koshnica A Reservoir and Village RESETTLEMENT POLICY FRAMEWORK - DRAFT June 2012 CEIA Republic of Albania Ministry of Agriculture Food and Consumer Protection Water Resources and Irrigation Project Project ID P121186 Consultancy Services: Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys RESETTLEMENT POLICY FRAMEWORK - DRAFT June 2012 Date of issue 6th June 2012 Version: A Prepared DAH/SPS Checked RSS/SPS Approved BAE Water Resources and Irrigation Project i Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Table of Contents Page No 1 INTRODUCTION ............................................................................................................. 1-1 1.1 Project Background ............................................................................................................. 1-1 1.2 Project Components ............................................................................................................. 1-1 1.3 The Project Area .................................................................................................................. 1-2 1.4 Objectives and Principles of Resettlement Policy Framework ............................................ 1-5 1.5 Objectives and Process for Resettlement Action Plans ....................................................... 1-5 1.6 Layout of the Resettlement Policy Framework ................................................................... 1-7 2 INSTITUTIONAL AND LEGAL FRAMEWORK ........................................................ 2-1 2.1 Institutional Framework ...................................................................................................... 2-1 2.2 Legal Framework ................................................................................................................. 2-2 3 ELIGIBILITY AND ENTITLEMENTS ......................................................................... 3-1 3.1 Eligibility ............................................................................................................................. 3-1 3.2 Entitlements ......................................................................................................................... 3-1 3.3 Valuing Affected Assets ...................................................................................................... 3-3 4 RAP INFORMATION REQUIREMENTS .................................................................... 4-1 4.1 Census and Inventory of Project Affected Persons ............................................................. 4-1 4.2 Identification of Losses ....................................................................................................... 4-1 4.3 Baseline Survey ................................................................................................................... 4-1 5 COMMUNITY PARTICIPATION/GRIEVANCE PROCEDURES ........................... 5-1 5.1 Consultation with Affected Populations .............................................................................. 5-1 5.2 Monitoring Income Restoration........................................................................................... 5-1 5.3 Mechanisms for consultations ............................................................................................. 5-1 5.4 Description of the implementation process ......................................................................... 5-1 5.5 Arrangements for funding resettlement ............................................................................... 5-1 5.6 Responsible Institutions and/or Agencies ............................................................................ 5-1 5.7 Grievance Redress Mechanisms .......................................................................................... 5-2 5.8 Arrangements for Monitoring and Evaluation ..................................................................... 5-4 6 COSTS AND BUDGETS .................................................................................................. 6-1 7 ANNEXES .......................................................................................................................... 7-1 7.1 Annex 1: Proposed Formats for RAP and Abbreviated RAP .............................................. 7-1 CEIA Water Resources and Irrigation Project ii Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7.2 Annex 2: Provisional Entitlement and Compensation Matrix ............................................. 7-2 7.3 Annex 3: Checklist and Data Requirements for Census ..................................................... 7-4 7.4 Annex 4: List of Data for Inventory of Losses .................................................................... 7-6 7.5 Annex 5: Data for Baseline Survey ..................................................................................... 7-8 List of Figures Page No Figure 1-1: Location of the Project Area .............................................................................................. 1-3 List of Tables Page No Table 1-1: Details on the Location and Statistics of Dams .................................................................. 1-4 Table 1-2: Categorisation of RAP Requirements ................................................................................. 1-6 Table 2-1: Key Resettlement Activities and Responsibilities .............................................................. 2-1 Table 2-2: Classification and Definition of Affected Groups .............................................................. 2-5 Table 2-3: Expropriation Procedure ..................................................................................................... 2-5 Table 2-4: Comparison of Local Laws and World Bank Policy .......................................................... 2-6 ACRONYMS AND ABBREVIATIONS ALL Albanian Lek ALUIZNI Agency for Legalization and Integration of Informal Properties BP World Bank Procedure BWA Basin Water Agency BWC Basin Water Council CEIA Centre for Environmental Impact Assessment DCM Decision of the Council of Ministers DSDC Department of Strategy of Donor Coordination EA Environmental Assessment EIA Environmental Impact Assessment EFD Environmental Framework Document EMP Environmental Management Plan ESFD Environmental and Social Framework Document ESIA Environmental and Social Impact Assessment ESMP Environmental and Social Management Plan EU European Union GoA Government of Albania Ha Hectare HH Household IDA International Development Administration INSTAT Albania Institute for Statistics IWRM Integrated Water Resources Management LGU Local Government Unit CEIA Water Resources and Irrigation Project iii Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 ACRONYMS AND ABBREVIATIONS MAFCP Ministry of Agriculture, Food Security and Consumer Protection MEFWA Ministry of Environment, Forestry and Water Administration Mm3 Million cubic metres MPWTT Ministry of Public Works, Transport and Telecommunications NGO Non-Governmental Organization NSDI National Strategy for Development and Integration NWC National Water Council OD World Bank Operational Directive OP World Bank Operational Policy PIM Project Implementation Manual PIU Project Implementation Unit PPO Private Property Owner RAPs Resettlement Action Plans RPF Resettlement Policy Framework SAR Sodium Adsorption Ratio SIA Social Impact Assessment TDS Total Dissolved Solids TS Technical Secretariat USD United States Dollar WB The World Bank WFD EU Water Framework Directive WRIP Water Resources and Irrigation Project WUA(O) Water User Association (Organisation) ZRRP Real Estate Registration Office % Percent # No CEIA Water Resources and Irrigation Project 1-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 1 INTRODUCTION 1.1 Project Background The proposed Water Resources and Irrigation Project (WRIP), is financed by the World Bank (WB) and responds to requests from the Ministry of Agriculture, Food and Consumer Protection (MAFCP) and De- partment of Strategy of Donor Coordination (DSDC), and integrates strategic support for IWRM, to be implemented by the Ministry of Environment, Forestry and Water Administration (MEFWA), and institu- tional support and investments in the rehabilitation of reservoirs and associated irrigation and drainage infrastructure, to be implemented by MAFCP. The principle development objective for the WRIP is to increase the area under improved irrigation and drainage, to improve the safety of dams and to establish the institutional basis for improved IWRM in two priority river basins, namely the Drini-Buna and Seman. A Feasibility Study (FS) has been prepared by Consultants - Mott MacDonald which provides informa- tion on the existing status of the 14 dams and associated irrigation systems, which represent the first phase of WRIP. Various options are provided by Mot MacDonald for rehabilitation with a preferential option given in each case. The FS advocates that further detailed design work needs to be undertaken in- cluding geotechnical investigations before a final decision on how each dam will be rehabilitated. Consultancy firms COWI and CEIA have been awarded the contract to undertaken environmental and social impact assessment (ESIA) for the various dam sites only. The irrigated systems and the pipelines/channels to carry the water are not part of the work at this stage. The specific objective of the current assignment for the ESIA Consultant is to undertake necessary tasks to prepare:  An ESFD, a generic ESMP, 13 site-specific ESMPs (dams of Strum and Kurjan share the same reser- voir) and SIAs to effectively integrate environmental quality objectives and social impacts into the proposed WRIP and to ensure that environmentally and socially - related measures are incorporated in the project implementation mechanisms (PIM), to prevent, minimize and mitigate possible negative environmental and social impacts.  A RPF and specific RAPs for rehabilitation projects identified and baseline studies of irrigated pe- rimeters. The deliverables mentioned in the preceding bulleted paragraph are required in order to ensure implemen- tation of the project is consistent with the applicable WB and GoA environmental and social safeguards policies. This will include preparation of 13 site-specific ESMPs and Social Impact Assessment Reports for sub-projects that will be executed during the first year of project implementation. In addition there will be need to prepare a Resettlement Policy Framework (RPF) and specific Resettlement Action Plans (RAPs) for the initial first year’s dam rehabilitation pr ojects and to carry out baseline studies of irrigated perimeters served by each dam. This report focuses on the RPF, and assesses the need for RAP at the 14 dam sites that will be rehabilitated during Year 1 of the WRIP. 1.2 Project Components The WRIP comprise the following components: 1. Systems Rehabilitation implemented by the MAFCP with an aim to improve irrigation water deliv- ery and address dam safety through rehabilitation of hydraulic infrastructure, including irrigation CEIA Water Resources and Irrigation Project 1-2 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 schemes, drainage facilities and irrigation reservoirs. The component will finance two sub- components: i) reservoir, irrigation and drainage rehabilitation and ii) pipeline preparation. 2. Institutional and Productive Support for Irrigation and Drainage implemented by MAFCP with an aim to improve the performance of organizations that provide irrigation services, including institutional reforms and capacity strengthening of Local Government Units (LGUs), Water User As- sociations/Organisations (WUA/Os) and Drainage Boards (DBs). The component would also finance preparation of an irrigation policy and strategy. 3. Institutional Support for Integrated Water Resources Management will be implemented by MEFWA with an aim to improve the performance of institutions responsible for integrated water re- sources management (IWRM), including the National Water Council (NWC) and its Technical Secretariat (TS), and selected River Basin Water Councils (BWCs) and Basin Water Agencies (BWAs). 4. Implementation Support will be implemented by MAFCP and MEFWA with an aim to manage project resources in accordance with the project’s objectives and procedures as outlined in the PIM. 1.3 The Project Area 1.3.1 Location The project consists on rehabilitation and revitalization of 13 agricultural reservoirs (two dams –Kurjan and Strum share the same reservoir of Murriz Thana), located at Northern part of Central Mountain Re- gion, Southern Part of Central Mountain Region, on Intermediary Zone of Adriatic Pre Lowland Region, on the Intermediary Zone of Hilly Central Region, and on the Intermediary zone between Hilly Central Region and Southern Mountain Region. All reservoirs were built during the so called “Central Economy period� for irrigation purposes. Most of such reservoirs were and still are used also for fishing. Because of the fairly long period of their exis- tence; some of the reservoirs are more than 50 years old; these water bodies are considered almost “natu- ral� in character. Notwithstanding, the reservoir biodiversity is actually not that natural, and in the past several fish species were introduced to control eutrofication (by fish grazing the water plants) and to be used as source of food. The location of the dams and reservoirs under review are shown on the satellite image in Figure 1-1 be- low. Essentially there are three groupings of dams:  Group 1 focused around Kukes and Tropoja comprising #7, #8, #9 and # 12  Group 2 focused around Korca comprising #4 and # 10; and  Group 3 focused around Fier and Berat comprising #1, #2, #3, #5, #6, #11 #13 and #14. The numbers on the Figure 1-1 can be cross referenced with the list of reservoir and dam names shown in Table 1-1 below. It can be seen that the sites are widely dispersed within the two river basins of Drini- Buna in the north; and the Seman with the sub basins of the Devolli and Osum rivers upstream, in the south central region of Albania. CEIA Water Resources and Irrigation Project 1-3 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Source: Google Earth © Figure 1-1: Location of the Project Area 1.3.2 Key Dam and Reservoir Information Key information on the dams and reservoirs is shown in Table 1-1 below. CEIA Water Resources and Irrigation Project 1-4 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Table 1-1: Details on the Location and Statistics of Dams Proposed Total Dam Dam Town Irrigated Population Nr. Dam Latitude Longitude Storage Height length Nearby Area Affected Mm3 m m Hectares 1 Murriz Thana Dam 19o 50’ 06’’ E 40o 51’ 21’’ N Lushnje 42,000 66.00 17 3570 210 o o 2 Kurjan Dam 19 43’ 31’’ E 40 43’ 19’’ N Fier 6500 31.5 17 540 350 o o 3 Strumi Dam 19 43’ 36’’ E 40 44’ 19’’ N Fier 6500 NA 17 700 80 o o 4 Leminoti Dam 20 41’ 33� E 40 47’ 51� N Korça 400 1.20 33 180 1300 5 Duhanas Dam 20° 00' 44" E 40°44' 26'' N Berat 200 1.90 39 235 420 o o 6 Belesova Dam 20 02’ 45� E 40 48’ 59� N Berat 912 1.40 42 304 200 o o 7 Tregtan 2 Dam 20 20’ 25’’ E 42 08’ 15’’ N Kukes 17 0.06 10 254 30 o o 8 Tregtan 3 Dam 20 20’ 10’’ E 42 08’ 37’’ N Kukes 315 0.95 32 137 30 o o 9 Vranisht 2 Dam 20 22’ 28’’ E 42 09’ 36’’ N Kukes 217 0.65 27 158 60 o o 10 Koshnica 1 Dam 20 55’ 38’’ E 40 32’ 01’’ N Bilisht 800 2.35 31 300 10 11 Staravecke Dam 20o 24’ 13’’ E 40o 28’ 43’’ N Skrapar 60 0.15 30 170 50 o o 12 T’Pla Dam 20 03’ 49’’ E 42 16’ 11’’ N B. Curri 600 1.80 25 360 15 o o 13 Zharrëz Dam 19 40’ 13’’ E 40 42’ 06’’ N Fier 600 1.90 22 520 390 o o 14 Slanica 19 48’ 39’’ E 40 44’ 33’’ N Berat 230 0.80 32 250 75 Total 51,851 104.65 3220 Source: Adapted from Mott MacDonald Feasibility Study Group 1 Dams Group 2 Dams Group 3 Dams The reservoirs are located close to inhabited sites, most of them close to villages, and some close to the cities. The regions/prefectures of Korça, Berat and Fier (9 of the reservoirs are situated in these three pre- fectures), are some of the most important municipalities of Albania. Agriculture remains the most important economic output for those municipalities. The others, are situated in Skrapare and Kukes (and close to Bajram Curri) municipalities, and represent a very important instru- ment for agriculture development. The agricultural industry of Albania was fundamentally changed at the beginning of the 1990’s. In the 1980s towards the end of the Hoxha regime approximately 700,000 hectares of agriculture land existed and 52% of this was irrigated (Volgi 2012). The industry comprised of large state or co-operative farms and by 1983 when the collectivisation process was largely complete the average farm size was 1320ha (Halcrow, 2001). In the beginning of the 1990, the Democratic Parliament approved the new law of “The Land�, when the land was separated between peoples that worked on it, or administrated it regardless of whether they had inherited it from their forebears. More recently, the Law of “The Land� has undergone revision and improvement with the introduction of new by-laws made by decisions from the council of ministers (DCMs) who are trying to give legal right of ownership of agricultural land to those that have inherited it, but this policy has not been fully imple- mented till the present day. Most farms now typically comprise of three non contiguous blocks of land, such that most farms can be considered smallholder and part time affairs. These smallholdings are now of CEIA Water Resources and Irrigation Project 1-5 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 average size of 1.11ha (MAFCP, 2010), with the total amount of agricultural land now being approxi- mately the same as the pre-1990 figures at 695,000 ha. However in 2010, only 29.4% of this land was irrigated (MAFCP 2010), primarily due to breakdown of ageing system, no rehabilitation and no mainte- nance. 1.4 Objectives and Principles of Resettlement Policy Framework The objective of the RPF is to ensure that each of the rehabilitation sites conform to the World Bank Op- erational Policy on Involuntary Resettlement (WB OP 4.12) and relevant Albanian legislation. Moreover, the RPF will guide the preparation of Resettlement Action Plans (RAP) that will ensure that, in the event of any future resettlement issues, all persons affected by the work will be compensated at replacement cost at full market value for their losses, and provided with the necessary rehabilitation measures so that they are at least as well off as they would have been in the absence of the Project. The enduring principle is that involuntary resettlement should be avoided wherever feasible, or mini- mised, by exploring all viable alternatives in project design1. If unavoidable, resettlement activities should be conceived and executed with sustainable development in mind, providing sufficient resources to en- able the person displaced by the project are able to share in its benefits. Furthermore, displaced persons should be meaningfully consulted and should be involved in the planning and implementation of their own resettlement; and be assisted in their efforts to improve their livelihoods and standards of living; or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to project commencement, whichever is higher. 1.5 Objectives and Process for Resettlement Action Plans 1.5.1 RAP Objectives The RAP is designed to comply with international best practices for involuntary resettlement.;. The main goal of the RAP is to ensure that the World Bank guidelines and procedures are adhered to in the man- agement any adverse impacts that might occur to ensure that project�affected persons (PAPs) living within the surroundings of the 14 dams sites and the 13 reservoirs will not be adversely affected due to and permanent or temporary land acquisition needs of the Project. The RAP ensures that any losses are addressed and that, as necessary PAPs are assisted to restore their living standards and income. Therefore, RAP findings suggest that the affected people will not be worse off than they were before the project, especially when considering the current status of women, vulnerable groups, disabled and children who are usually the most affected in such situations. Consequently the main objectives of the RAP if it is needed on this Project are:  To generate baseline data that will be needed to determine necessary entitlements for mitigation of land acquisition and related project impacts and to facilitate implementation monitoring and closure of the RAP.  To recommend appropriate measures to mitigate the expected impacts.  To identify and quantify different categories of PAP who would require some form of assistance, compensation, rehabilitation or relocation.  To verify the adherence and compliance with the World Bank Safeguard policy on Involuntary Reset- tlement (OP 4.12). 1 World Bank Operational Policy on Involuntary Resettlement (WB OP 4.12); January 2002, p.1 CEIA Water Resources and Irrigation Project 1-6 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 1.5.2 RAP Process According to OP 4.12, all projects that entail resettlement require a RAP. However, the scope and level of detail of the RAP vary with the magnitude and complexity of resettlement. A full RAP is only required when there are more than 200 persons affected or when the land takes more than 10% of an individual land holding or when a physical relocation of population is required. Anything below these thresholds and an Abbreviated RAP is required. If there is no loss of assets or incomes or displacement then no RAP is required. The following provides details on this categorisation process. Table 1-2: Categorisation of RAP Requirements Resettlement Planning Category No. of Affected People Impact Requirement 200 or more people experience major impacts, defined as: A Significant Full RAP  Physical displacement and/or  Loss of 10 % or more of their productive assets B Less than 200 people experience major impacts Minor Abbreviated RAP C No loss of assets and incomes or displacement None No RAP None of the 14 sub projects under study are anticipated to require a full RAP. The rehabilitation works intended will take place upon the footprint of the existing dam and reservoir. Access roads will be up- graded along existing routes. Hence full RAP is unlikely to be needed. There may be some disturbance to some of the land along the reservoir edge, particularly on the site where the crest is being raised by be- tween 0.3 and 0.5 metres so an abbreviated RAP could be required in those areas. RAPs will document in detail the implementation arrangements for resettlement (not necessary on this project), including asset acquisition, compensation, relocation and rehabilitation. A census and inventory of assets, livelihoods and losses of all PAPs will be prepared. Each completed RAP will be submitted to MAFCP and WB to obtain approval prior to commencement of the works. After approval has been obtained, compensation, resettlement (not necessary) and rehabilita- tion activities will be initiated, and will be completed before awarding contracts of civil works under each of the sub projects. The following are the steps in the RAP Process: 1. The ESIA Consultant for the Project provides an initial and documented description of the existing baseline situation, in particular related – but not limited – to resettlement, land required for the sub component (either permanent or temporary), and identification and mapping of landownership in the affected area. 2. Once completed, this documentation is reviewed by the MAFCP and the WB as needed. . Potential impacts are identified and followed up by the ESIA Consultant and, when necessary, by MAFCP through visits to those sites where impacts are expected. 3. Site visits include (i) initial discussions with local authorities; (ii) verifying information provided by the ESIA Consultant; and if required or warranted, (iii) obtaining additional information on the scale and magnitude of the potential impacts; 4. If there is any of the 14 dam or 13 reservoir sites that include potential resettlement or resettlement effects, then this is subsequently scheduled for an intensive sensitisation and consultation process to involve the potentially impacted communities. 5. The consultation process is properly documented and the outcome presented to the MAFCP for fur- ther processing and eventual approval to proceed (or otherwise) with the specific dam rehabilitation works. 6. If approval to go ahead is obtained and a cut-off date for eligibility declared, PAPs and the local au- CEIA Water Resources and Irrigation Project 1-7 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 thorities are informed about the impending compensation and resettlement; 7. Subsequently, a PAP census survey – as an integral part of RAP preparation – is undertaken and combined with preparing the inventory of losses to limit the inconvenience for the PAPs and speed up the process of RAP preparation. If required, a baseline survey is simultaneously undertaken.. 8. Once the results of the survey instruments are compiled and completed, a decision is made whether a RAP (abbreviated or full, as applicable) for that sub project needs to be drafted by ESIA Consultant. 9. If RAPs are required, then they will need to follow a specific outline and be in sufficient detail so that the RAPs can be in conformity with this RPF. Details of the contents of the Full RAP and Abbrevi- ated RAP are contained in Annex 1. 1.6 Layout of the Resettlement Policy Framework RPF has been prepared in line with the requirements of the Contract and is structured as follows:  Chapter 1 provides an introduction to the assignment, describing the background, project area, objectives of the RPF and the RAP objectives and RAP Process and rational for the project assignment,  Chapter 2 describes the legal framework and expropriation procedures and shows the gaps between GoA legislation and WB Policy.  Chapter 3 describes the resettlement measures, the PAPs and mitigation measures that are proposed.  Chapter 4 describes the calculation of valuation and compensation.  Chapter 5 provides proposed community participation and grievance procedures, and  Chapter 6 provides conclusions.  Annexes including in the report are: o Annex 1: Proposed Formats for RAP and Abbreviated RAP o Annex 2: Provisional Entitlement and Compensation Matrix o Annex 3: Checklist and Data Requirements for Census o Annex 4: List of Data for Inventory of Losses o Annex 5: Data for Baseline Survey CEIA Water Resources and Irrigation Project 2-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 2 INSTITUTIONAL AND LEGAL FRAMEWORK 2.1 Institutional Framework Several institutions, each with different roles and responsibilities, are responsible for adhering to the prin- ciples and objectives of the RPF while developing and implementing subsequent RAPs. Most, if not all, institutions that play a role in resettlement and resettlement issues associated with the implementation of the Project are listed below in Table 2-1. Table 2-1: Key Resettlement Activities and Responsibilities RESETTLEMENT ACTIVITY RESPONSIBLE INSTITUION MAFCP jointly with Local Government (municipality/ Assessment of Impacts and Inventory of Losses communes) MAFCP jointly with Local Government (municipality/ Census of Affected persons and affected assets communes) MAFCP jointly with Local Government (municipality/ Consultations with Affected persons communes) Valuation of Assets MAFCP and certified independent valuation experts Preparation of Resettlement Plan MAFCP (consultant) with Beneficiary Municipality Council of Ministers and Ministry of Finance Payment of Compensation and Relocation Assistance Local Government (municipality/communes) Expropriation of land and assets Council of Ministers Assistance (non-compensation) to affected persons MAFCP jointly with Local Government Grievances (receiving and acting upon) MAFCP Monitoring and Evaluation MAFCP MAFCP will bear overall responsibility for oversight and monitoring of all activities under this RPF. They will guide, supervise and report on progress in the sub projects and will handle resettlement and compensation issues requiring action and coordination at the central government level. Consequently MAFCP will also have overall control and management of the resettlement budget. Other agencies that MAFCP will associate and coordinate with in the context of resettlement issues in- clude, but may not be limited to the following:  Municipalities or Communes that are the direct beneficiaries of the reservoir rehabilitation projects have an important role to play. The scope and specific activities to be played by communes/ munici- palities are specified in law and additional requirements may be determined on a case-by-case basis. Municipal authorities need to familiarize themselves with the contents of this Policy Framework. MAFCP will require the active participation of Local Government (Municipalities, Communes) in consultation and appropriate assistance to affected parties as a condition of participation in the WRIP.  The Immovable Property Registration Office for each District which is under the authority of the Central Registration Office is responsible for identifying and verifying property boundaries and own- ership and other real rights such as leases and concessions. Land Administration and Protection Of- fices (formerly Cadastre Offices) will clarify land allotment certificates ( Tapis) for agricultural land that has not been formally registered and transferred to the Immovable Property Registration Offices. However, as mentioned above the ultimate responsibility for the implementation and enforcement of the Land Acquisition & Resettlement Policy Framework rests with the MAFCP. The key activities and re- CEIA Water Resources and Irrigation Project 2-2 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 sponsible actors in the planning and implementation of specific land acquisition and resettlement plans are outlined in the table below 2.2 Legal Framework 2.2.1 Background and Principles One of the first tasks of the RPF is to assess legal needs for dealing with the issues considered necessary to solve from communicating with the stakeholders and PAPs. . Steps for the development of the frame- work include undertaking a literature review on legal needs that will be required from the projects as well as well as a review of the expressed needs from the stakeholders and PAPs. The outcome of this work will be a draft Legal Framework. The methodology followed in the case of expropriation is based on national legislation and on the best international practice. Firstly, the Consultant has informed the PAPs about the project implementation and impacts, and received feedback from them, so as to choose the best alternative to minimize the negative effect of the project in their livelihood. Secondly, the authority concerned with the expropriation (MAFCP) will negotiate with the PAPs for an agreement. If some of the PAPs do not agree then the pro- ject with proceed with unilateral/independent expropriation. In the case of permanent land expropriation; which may occur in some reservoirs where the dam crest level has been raised 0.3-0-5 metres; the prices of permanent expropriations for specific regions are speci- fied with a map approved by a decision of the Council of Ministers. It is important that the land values are current market prices; real estate agents should be consulted on actual land prices in the area, these prices should be actual amounts paid, not reduced amounts used to reduce taxes on land sales. Essential that the values are objectively established; use of a zonal map can only be done if the values correspond to actual current values for land sales. The Consultant has also asked PAPs what they think the value of their land will be if they will sell it today. In the case of temporary expropriations that may be necessary for temporary use of land during construc- tion (access roads or repository areas). The expropriation prices are paid to the owner on a monthly basis for as long as the land is occupied. The price varies upon the type of land functionality. The price refer- ences are taken from the Agricultural Directorate of the Region where the project is located. In the case of payment for damage, compensation is given to the land owner for any agricultural damage caused during construction activities. The reference prices are also taken from the Agricultural Director- ate of the Region. 2.2.2 Main Legal Statues In the Republic of Albania the legal framework for expropriation of land and resettlement issues mainly consist of the following legal acts:  The Constitution of the Republic of Albania.  Law No. 8561 dated 22. 12. 1999 “On Expropriations and Temporary Takings of the Private Prop- erty for Public Interest�  Law No. 9235, dated 29.7.2004 “On restitution and compensation of private properties�  Law No. 9482, dated 3.4.2006 "On legalization, urbanization and integration of informal properties�  The Council of Ministers Decision No. 138 dated 23. 3. 2000 provides the legal criteria for the evaluation of properties affected by expropriation.  Council of Ministers Decision No.438, dated 28.6.2006 "On the criteria, procedures and required documentation that determine legalization of informal properties� CEIA Water Resources and Irrigation Project 2-3 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 The Constitution of Republic of Albania Article 41 clause 4 of the Albanian Constitution states: “The expropriations or limitations of a property right that are equivalent to expropriation are permitted only against fair compensation� Furthermore, on the European Convention on Human Rights, Article 1 “Right to property� of the Protocol 1: “Every natu- ral or legal person is entitled to the peaceful enjoyment of his possessions. No one shall be deprived of his possessions expect in the public interest and subject to the conditions provided by the law and by the gen- eral principles of international law…� Law 8561 Law no. 8561 provides the entire process on how an expropriation procedure begins, for which reason, from which subject and the right of the owners to contest the evaluation of the property made unilaterally from the state institutions. Notwithstanding, an international agreement ratified by law has precedence over a common law (refer to Article 116 of the Albanian Constitution). Furthermore, if a law creates a conflict with an international agreement ratified by law, the international agreement will take precedence. It is assumed that this principle acts as a guarantee between the Albanian Government and the WB, and it will take priority over the legislation in force, especially in front of the mentioned law 8561 “On expro- priation….�. The principles provided by law 8561“On expropriation…� can be as follows:  The project aims public interest, since it is an investment on water and agricultural sector; (Art. 8/c of Law “On Expropriation...)�;  The beneficiary subject in the expropriation process will be the various communes in the sub project areas) (refer Art. 9 of the Law “On Expropriation…)�  A list of necessary documents needs to be submitted to the line Ministry in this case is the MAFCP (refer Art. 10 and 11, of Law 8561);  The line Ministry has to follow the legal procedure, on publishing the request for expropriation, col- lecting the complaints of the affected owners, and preparing the draft of the sub legal act for the Council of Ministers;  The procedure will be considered complete, when the owners through a statement approve the trans- action of the property in favour of the State;  The decision for the expropriation (for the owners that do not agree with the expropriation) will be approved by the Council of Ministers and will enter into force immediately, also it will be published in the Official Journal/Gazette;  The affected owners have the right of complaint to the Court for compensation and if they don’t fol- low this procedure, the decision of the Council of Ministers will be an executive title. Almost the same procedure “mutatis mutandis�, will also be followedfor: • 1- The devaluation of property; (Art 18, of the Law 8561 “On Expropriation....�) • 2- The provisional taken on possession of the property; (Art. 27� 37 of the Law 8561 “On Ex- propriation….�) The devaluation of property: During any construction for public interest it might happen that some prop- erties may not be taken from the owner, but at the same time the owner will not be able to enjoy the prop- erty as he did earlier and thus he has the right to be compensated for the devaluation of his property. This institution is not applied so often in practice, but it is provided for in the law, if owners are affected in this manner during the project implementation. • The provisional taking on possession of the property: During construction it might happen that certain properties are needed to be taken into possession for temporary use. The request to take on provisional possession a property needs to be addressed to the line Ministry (i.e. MAFCP), describing the property, the reason, the term and the compensation for the owner. The owner has the right to raise a complaint to the court against such decision. CEIA Water Resources and Irrigation Project 2-4 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 2.2.3 Legal Criteria on the Evaluation of Properties The Council of Ministers Decision No. 138 dated 23. 3. 2000 provides the legal criteria for the evaluation of properties affected by expropriation as follows:  Land: The estimation of expropriated land shall be determined for urban lands, lands within the yel- low line town and commune properties according to the prices approved by Council of Ministers De- cision deriving from Law No. 9235, dated 29.7.2004 “On restitution and compensation of private properties� (Seethe price map).  Residential properties: Value of expropriation compensation for residential properties is considered the average sales price according to the records of the Real Estate Registration Office (ZRPP)2.  Industrial and Agricultural properties: The value of expropriation compensation for industrial and agricultural properties is considered the average sales price according to the records of the MPWTT and MAFCP. Depreciation of property must be subtracted from the price.  Agricultural land, forested areas, etc: The estimate value of agricultural lands, forested areas, pas- tures and grasslands is determined from the prices approved by Council of Ministers Decision com- plementary to the Law No. 9235, dated 29. 7. 2004 “On restitution and compensation of private prop- erties�. In cases where there are no prices approved for certain regions, the evaluation for agricultural lands, forested areas, pastures and grasslands is determined by the average sales price available at ZRPP.  Fruit trees: For fruit trees the estimated value is calculated considering costs of investment and ex- penses. This value is calculated per unit (number of fruit trees) or unit per land surface (m² of vine- yard, nursery etc). The investment present in the land, the total expenses and different amortization factors are foreseen by special MAFCP directives.  Crops: For crops the estimated value is calculated based on the expected yield and market unit price.  Illegal constructions: For investments on national highways the owners of properties, who are not registered at the ZRPP (i.e. without a title), are also expropriated. The entity, which initiates the ex- propriation has the right to complete the procedure if: the owners of the property have started an ad- ministrative process at the Agency for Legalization and Integration of Informal Properties (ALUIZNI) according to Law Nr. 9482, dated 3.4.2006 "On legalization, urbanization and integration of informal properties�; or in case the illegal building (or additional works on the existing building) have been previously declared and have been qualified later for legalization permit from ALUIZNI, based on the criteria set in the Council of Ministers Decision No.438, dated 28.6.2006 " On the criteria, procedures and required documentation that determine legalization of informal properties�; in case when the owners of the property are in the process of taking a legalization permit, etc. 2.2.4 Identification and classification of affected population groups Identification of the affected target group is conducted first on the basis of set criteria on residency; i.e. if the target group (households, businesses etc) are resident in the project areas or if they are non� resident and hence not directly affected by the project implementation. Therefore, upon identification of the af- fected area from the project implementation there are two different target groups: a) Permanently affected persons; and b) Temporarily affected persons. The next stage is to identify the different categories of people affected by the project, as a basis for  Establishing the terms of their eligibility for support, and  Better specifying the terms of assistance. 2 Albanian name is Zyra e Regjistrimit të Pasurive të Paluajtshme CEIA Water Resources and Irrigation Project 2-5 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Following site visits and contacts with local authorities (municipalities and communes) a classification of affected groups can be provided as shown in Table 2-2 below. Table 2-2: Classification and Definition of Affected Groups Classification of Definition Affected Persons Private Property Owners Those who have legal title to land, structure and other assets. (PPO) Those who have illegally (informal settlements) occupied municipality/ commune lands for Unlawful resident residential, business or other purposes. Those who have extended their building, agricultural lands, business premises or work Encroachers places into municipality/commune lands. Those persons having tenancy agreements, written or unwritten, with a PPO with clear prop- Tenants erty titles, to occupy a structure or land for residence, business or other purposes Project�Affected Each adult displaced person, his/her spouse, minor children and other dependents who ha- Families bitually reside in one household. Persons who have economic interests or residence within the project impact area and who Project�Affected may be adversely affected directly by the project. PAP include those displaced, those losing Persons (PAP) commercial or residential structures in whole or part, those losing agricultural land or home- steads in whole or part, and those losing income sources as a result of project action. Are groups or communities outside the immediate impact of water supply system to be es- Project Affected tablished, that may be affected by the project with a focus on the more vulnerable or weaker Groups: groups in society. HH living above the Based on social assistance schemes acquired at the Regional Department of Social Insur- Poverty Line ances Those groups such as women�headed households, handicapped/disabled and landless fami- Vulnerable groups: lies, who will be dealt with on a case to case basis. 2.2.5 Expropriation Procedure The following Table 2-3 provides a brief resume of the five steps in the expropriation procedure to apply. Table 2-3: Expropriation Procedure Responsible Steps Description Comments Institution Fulfilment of criteria provided under the law, es- 1 MAFCP Request for expropriation for public interest pecially the necessary documents that prove the expropriation needs. Commission for expropriation at MAFCP has to examine the expropriation request and documents; 2 MAFCP  If the legal criteria are fulfilled the MAFCP starts the expropriation procedures;  If not, the request will be rejected; Agreement with the other stakeholders (com- Important: the fair evaluation of the munes, WUAs) about expropriation; properties;  Publication of the notice for the expropria-  The procedure must be followed carefully and tion; respecting the right of the third persons to pre- 3 MAFCP  Examine the suggestions and the complaints vent the complaint to the Court; of persons affected by the process;  The expropriation will not be done for the per-  Prepare the draft decision for the Council of sons that will accept with free will to be com- Ministers. pensated with the conditions published. CEIA Water Resources and Irrigation Project 2-6 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Responsible Steps Description Comments Institution Approve the decision of the expropriation for public interest; Council of OR 4 Ministers Reject the proposal to MAFCP with the suggestion to review, if it is not in conformity with the law; Pay the compensation to persons affected by 5 MAFCP the expropriation, before the civil works begin. 2.2.6 Gaps between Albanian Laws and World Bank (IFC) Policies The following Table 2-4 provides a comparison of the Albanian laws and the WB policy regarding com- pensation. Table 2-4: Comparison of Local Laws and World Bank Policy National World Bank Recommendations To Category Legislation Policy Bridge Gaps Compensation at full replace- ment cost:  For agriculture land pre�project or pre- displacement (whichever is higher), market value of land Compensation with the price of equal productive potential A. Loss of Land defined before for urban within the same vicinity. Families, land and agriculture  For urban land, households Land pre�displacement market value of land of equal size and use, with similar facilities and sources within the same vicin- ity.  Replacement land of equiva- lent productive potential.  Resettlement assistance to those most vulnerable to restore pre�displacement level liveli- hoods. Vulnerable groups may  Resettlement assistance in include but not be limited to: lieu of compensation for land poor or landless, women headed occupied (land, cash, and households, disabled and eld- A. Loss of Land No compensation provided other assets, employment) to erly. Non –title holder at least restore their liveli-  Encroachers will not be entitled hoods and standards of living to any compensation for their af- to pre�displacement levels. fected unauthorized/illegal ex- tensions over public land.  Encroachers with economic losses are entitled to assistance for livelihood restoration.  Compensation at the  Compensation at full re- B. Loss of prices referred by the placement cost. Homes, ZRRP  For houses and structures the Structures  Compensation for the market cost of the materials Families, structure without title with and labour to build a replace- households, the condition to have ap- ment structure of a similar Structure owners plied before for legaliza- quality or better than the af- tion at ALUIZNI fected structure. CEIA Water Resources and Irrigation Project 2-7 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 National World Bank Recommendations To Category Legislation Policy Bridge Gaps C. Loss of Compensation with the cost Economic Assets Compensation at full replace- method of evaluation of ob- Families, ment cost ject. households  Follow OP 4.12.  Rehabilitation assistance for lost Measure to assist affected peo- or diminished livelihoods. ple in improving their former D. Loss of No provisions living standards, income earning  In the case of landless families Income who suffer partial or total loss of capacity, and production levels, or at least restoring them livelihood, provide income gen- erating options and support mechanisms.  Compensation for re�establishing or reconstructing Measures to assist impacted E. Loss of lost community resources such Compensation by the Gov- communities to re�establish or Community as religious and cultural struc- ernment with market value. re�develop lost community re- Resources tures, irrigation structures. sources.  Restore partially affected struc- tures. The EIA Act features some Systems for comprehensive Comprehensive consultations with consultative activities to be consultations, full documenta- F. Consultations full documentation and grievance carried out with impacted tion and grievance redressed redress mechanisms to be in place. populations. mechanisms to be in place. In principle, Albanian laws and regulations relevant to land acquisition, resettlement, loss of housing and loss of assets and those related to WB OP 4.12 adhere to the objective of compensation for affected fami- lies or persons and also to the objective of rehabilitation. However, Albanian laws are unclear on how re- habilitation is to be achieved and in practice the provision of rehabilitation is left to ad hoc arrangements taken by the local governments and the specific project proponents. Another and rather major difference between the GoA laws and the WB is that OP 4.12 recognises titled and non-titled owners as well as reg- istered and unregistered tenants, i.e. lack of legal title is no bar to compensation and rehabilitation, whereas the GoA does not allow compensation for non title holders. To clarify these issues and reconcile eventual gaps between the Albanian laws and regulations and those of OP 4.12, this RPF recommends compensation at full replacement cost of all items, includ- ing the rehabilitation of informal/non-titled settlers, and rehabilitation packages (as appropriate, to be determined in the RAP) for PAPs that may need to be relocated, suffer business losses, or may be severely affected.3 Furthermore, public disclosure and consultation are not well articulated in the GoA laws and the project will ensure due inclusion of (potential) PAPs and, in particular, of vulnerable groups affected by the pro- ject, in the public consultation and participation process prior to and during project implementation (see also section 5 below). In addition, an accessible grievance redress mechanism will be instituted (see also section 5.7 below) and physical project implementation works will not commence until all compensation and rehabilitation measures of a project or sub component are completed. 3 This is an important point for discussion between World Bank and GoA (MAFCP) CEIA Water Resources and Irrigation Project 3-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 3 ELIGIBILITY AND ENTITLEMENTS 3.1 Eligibility Following on from the previous chapter and the assumption that compensation at full replacement cost of all items, including the rehabilitation of informal/non-titled settlers, and rehabilitation packages will be adhered to, then the basic principle followed in this RPF is that PAPs should be assisted in their efforts to improve their former living standards, income earning capacity, and production levels, or at least to re- store them to pre-project level whereby lack of legal title does not exclude individuals from the eligibility to receive compensation and/or rehabilitation assistance. PAPs eligible for compensation will include those who have formal legal rights to land or other assets, and those who initially do not have formal legal rights to land or other assets but have a claim to legal rights based upon the laws of Albania; upon the possession of documents such as land tax receipts and residence; or upon the permission of local authorities to occupy or use the project affected plots. The genesis of these rights may come from continued possession of public land where the government has not sought their eviction. Affected items could include, but may not be limited to, the following:  Permanently or temporarily affected land;  Houses or other structures, crops, trees, or other assets;  Business and production; and/or,  Suffered income losses as a result of the Project or sub projects. The WB’s OP 4.12 recognises that individuals and households who occupy project -affected areas after the cut-off date are not eligible for compensation. The cut-off date will be publicly announced by the relevant GoA authorities and the census of PAPs will commence immediately following this announce- ment. All people moving into the project area and/or people conducting construction works, planting trees, etc. after the cut-off date are non-eligible PAPs and thus will not receive any compensation. Advance notice will be given, requesting them to vacate their premises and dismantle affected structures prior to project implementation. To facilitate this, the Program will put at their disposal the necessary transportation means for their relocation. 3.2 Entitlements Land acquisition and resettlement will be implemented according to a compensation and entitlements framework in line with both GoA laws and regulations and WB OP 4.12. During compensation identifica- tion, the entitlement matrix and description of compensation entitlements shall be revised and updated accordingly. A provisional entitlement matrix is shown in Annex 2 at the back of this RPF. The entitlement matrix is based on the premise that resettlement, rehabilitation and compensation pro- grams should improve or, at a minimum, maintain the PAPs’ pre-project living standards and ensure their participation in project benefits. This is reflected in the following principles of compensation: 3.2.1 Eligibility  All PAPs living in the Project area before the cut-off date may be considered for compensation for their losses and/or rehabilitation assistance. Lack of legal rights or titles do not make them ineligible for entitlements; CEIA Water Resources and Irrigation Project 3-2 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 3.2.2 Compensation  PAPs will be compensated at full replacement and substitution costs without depreciation, and relo- cated or resettled in and after due consultation with them. The preliminary compensation rates for re- placement and substitution cost will be proposed to the PAPs to give them an opportunity to compare those with the prevailing market rates;  All fees and taxes on land and/or house transfers will be waived or otherwise fees and taxes will be included in a compensation package for land and/or house. The competent government authorities will give preferential treatment to PAPs reconstructing their houses on their own, and to obtain the necessary property titles and official certificates; 3.2.3 Resettlement Strategy  Preference will be given to land-based resettlement strategies for PAPs whose livelihoods are land- based. These strategies may include resettlement on public land or on private land acquired or pur- chased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages and other factors is at least equivalent to the advantages of the land taken.  If land is not the preferred option of the PAPs, or the provision of land would adversely affect the sus- tainability of a park or protected area, or sufficient land is not available at a reasonable price 4, non- land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. 3.2.4 Cash compensation  Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land-based (such as agriculture), but the land taken for the project is a small fraction (this needs to be adequately demonstrated and documented to the WB satisfaction) of the affected asset and the residual is eco- nomically viable; (b) active markets for land, housing, and labour exist, PAPs use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. Cash compensa- tion levels should be sufficient to replace the lost land and other assets at full replacement cost in lo- cal markets, calculated as of the cut-off date.  Compensation in cash for all residential, commercial or other structures will be paid at replacement cost of these structures, without any depreciation of the structure and without deduction for salvage- able materials; 3.2.5 Consultation and Planning  Resettlement plans will be developed and implemented in consultation with the PAPs. In the reloca- tion area, community infrastructure and services will be built and improved, so that the PAPs will have access to these services.  Effective and timely design, planning and implementation of resettlement and rehabilitation measures will be conducted to avoid unnecessary delays and consequent inconveniences to the PAPs. 3.2.6 Relocation  PAPs will be provided full assistance for transportation of personal belongings, household inventory and salvaged material, and will be given a relocation allowance in addition to the compensation at re- placement cost of their houses, lands and other properties.  In cases where community infrastructure such as schools, factories, water sources, roads, sewage sys- tems, electrical supply, or other community resources such as a woodlot or pasture is lost, this will be replaced at no cost to the community. 4 The lack of adequate land will be demonstrated and documented to the satisfaction of the MCC CEIA Water Resources and Irrigation Project 3-3 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 3.2.7 Timing  Resettlement, compensation and rehabilitation Programs for PAPs will be timed so as to guarantee the availability of new land and residences, prior to commencement of project or sub component related construction activities;   Land clearance will not be started before the PAPs have received compensation and rehabilitation as- sistance.  3.2.8 Monitoring  In the event of resettlement being necessary (considered highly unlikely), institutional arrangements will be made for internal and external monitoring of all important activities relating to the subject. 3.3 Valuing Affected Assets In the event that a RAP or Limited RAP is necessary, MAFCP will engage the services of a competent and acknowledged independent assessor, responsible for determining replacement cost of affected proper- ties and assets. During the valuation process, PAPs, local officials and relevant government offices (such as the Cadastral Survey office (Land Administration and Protection Offices) will be consulted. Subse- quently, compensation and rehabilitation measures will be developed by MAFCP based on the valuations thus established. The following guiding principles for the valuation will be taken into account: 3.3.1 Replacement valuation With regard to land and structures, the replacement value is defined as follows:  For agricultural land, it is the pre-project 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 cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes.  For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the af- fected land, plus the cost of any registration and transfer taxes.  For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labour and contractors’ fees, plus the cost of any registration and transfer taxes. In determining the replacement cost to be compensated to the PAP, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Where domestic law does not meet the standard of com- pensation at full replacement cost, World Bank guidelines and technical specifications for compensation at replacement cost will be applied. Compensation for land, structures, business, fixed improvements and other temporary assets will be based on market valuation, productivity valuation, negotiated settlements, material and labour valuation, dispo- sition of salvage materials and other fees paid. It should be noted that lack of title, license or permit is not a bar to compensation. 3.3.2 Rehabilitation cost In addition to compensation for lost assets, PAPs will be entitled to transitional assistance which include moving expenses, temporary residence (if necessary), employment training and income support while awaiting employment and should have an option for full compensation if duration of impact is to exceed two years. These losses will be estimated for each individual case and may vary from (temporary or per- CEIA Water Resources and Irrigation Project 3-4 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 manent) loss of business opportunities to loss of crops, orchards, trees, and other items. In relation to losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts will be made to establish access to equivalent and culturally acceptable resources and earning opportunities. CEIA Water Resources and Irrigation Project 4-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 4 RAP INFORMATION REQUIREMENTS 4.1 Census and Inventory of Project Affected Persons Soon after the completion of feasibility studies and further detailed design work by the FS Consultant, a cut-off date will be publicly announced and, where applicable, a census of families and persons adversely affected by the Project needs to be prepared. The census will include a complete inventory of all losses to be incurred by each PAP. A checklist of information together with a list of data for the census survey is included in Annex 3. 4.2 Identification of Losses If the Project or sub project components actually involve physical relocation of PAPs (very unlikely), or provision of replacement land, data will need to be collected on the location, area, type, and category of the replacement land available for residential and/or agricultural purposes. This information will form part of the Baseline Survey (mentioned in section 4.3 below). Care needs to be taken to ensure that the relocation site or replacement land is in the vicinity of the PAP previous location to avoid social disloca- tion and unrealistic division of the PAPs’ economic livelihood. A list of identification of losses is shown in Annex 4 4.3 Baseline Survey In addition to the census and inventory of affected properties, sub-projects requiring physical relocation of PAPs may include a baseline survey of the affected population as part of the RAP 5. In the event that a Baseline Survey is required, this will provide data on the existing social structure, tenure arrangements and resource use, access to common property resources, social services and infrastructure facilities by different social groups in the project area, and for the host population at the proposed resettlement site (if relevant), clearly identifying all special interest groups, particularly those who are poor and vulnerable (e.g. tenants, landless labourers, and female-headed households), and describing their special characteris- tics in relation to the project. A list of items covered under the Baseline Study is contained in Annex 5 5 If a full RAP is required, a baseline survey is mandatory. For an abbreviated RAP a baseline survey is undertaken if physical relocation of PAPs is unavoidable and/or if some of the PAPs lose more than 10% of their productive assets; cf. footnote 6, OP 4.12, Annex A CEIA Water Resources and Irrigation Project 5-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 5 COMMUNITY PARTICIPATION/GRIEVANCE PROCEDURES 5.1 Consultation with Affected Populations To ensure the interests of the PAP are fully entrenched in the RAP process and income restoration, the implementing agency will need to undertake a thorough consultation with the affected persons, represen- tatives of any affected group, any interested group and the various administrative and government de- partments all through the project area covering the dam and reservoir sites. Some of the consultation with PAP is already undertaken by the ESIA Meetings have been arranged with them and at the municipality and commune level. Communication with PAP, as well as with other com- munity members who expressed interest in the project, needs to be maintained by the respective stake- holders (i.e. MAFCP and others) throughout the implementation of the project to closure phase. 5.2 Monitoring Income Restoration The income restoration strategy proposed in the previous chapter, upholds the principle of OP 4.12 and aims at ensuring the PAP are reinstated to their prevailing state at the beginning of the project and ade- quate measures are in place to assist them progress further. The monitoring process and the responsible parties will be described in the Monitoring and Evaluation section of any necessary RAP document. The key indicators of the performance of the income restoration measures within the restoration strategies adopted are:  Measurement of income / poverty variation among the PAPs / households;  Conflicts within the PAP, social, political etc. 5.3 Mechanisms for consultations In addition to documenting the expropriation procedures indicated above, once the more detailed tentative arrangement of the civil works is identified, each sub�project proponent (Communes or Regions) will hold public consultations to discuss the expropriation and its implications. All those whose ownership or occupation of land that will be affected by the expropriation will be invited to these consultations, in which they will be offered choices about their options and rights pertaining to compensation, and reset- tlement – if required, and provided with technically and economically feasible alternatives. 5.4 Description of the implementation process The implementation of expropriation activities will be linked to the implementation of the project, to en- sure that loss of assets and/or and displacement does not occur before the necessary mitigation measures and resources are in place. In particular, land and related assets will be taken only after compensation has been paid. 5.5 Arrangements for funding resettlement The overall responsibility for resettlement and expropriation for the Project is under the Council of Minis- ters. The financial responsibility for the expropriation procedures, including the compensation to be paid, resettlement costs, etc., lies with the MAFCP. The Council of Ministers is responsible for issuing the ex- propriation decision and authorizing the funds required. The land acquisition transfer must be fully com- pleted, and payment made, before any Works can be executed on the expropriated property. 5.6 Responsible Institutions and/or Agencies CEIA Water Resources and Irrigation Project 5-2 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 The following agencies and institutions are responsible for the coordination and delivery of each activity in the land entitlement policy:  Immovable Property Registration Office for each District in the respective sub-Project area, under the authority of the Central Registration Office, which are responsible for identifying and verifying prop- erty boundaries and ownership.  Land Administration and Protection Offices (formerly Cadastre Offices) under the Region, which will clarify land allotment certificates for agricultural land that has not been formally registered and trans- ferred to the Immovable Property Registration Offices.  The Communes, Regions and the Municipalities will be responsible for the coordination of the im- plementing procedures and execution of the compensation 5.7 Grievance Redress Mechanisms Grievances in involuntary resettlement are a common phenomenon that invariably gives rise to local re- sistance, political tension and unnecessary delays in executing the project if they are not resolved in an amicable and timely manner. A grievance redress mechanism for the project is suggested for addressing potential legitimate concerns of PAPs who may consider themselves deprived of appropriate treatment under the project. The mechanism will be developed by the MAFCP and with WB approval and would include:  A recording and reporting system, including grievances filed both verbally and in writing,  Personnel with responsibility at various levels of governments and representative of the community, and  A time frame to address the filed and lodged grievances The functioning of the grievance redress mechanism should be regularly monitored and evaluated by the MAFCP during project implementation. Families and businesses undergoing expropriation shall be notified in writing that they have the right to file a complaint or appeal against a decision. Such appeals shall be received, recorded and acknowledged by a designated official in MAFCP who will undertake a review of the review of the grievance, engaging with other stakeholders and agencies as appropriate, and provide a response within a reasonable length of time. Complainants are entitled to legal representation and should be able to present evidence and grounds for their complaints. Additionally, the Office of the Ombudsman in Tirana [ Avokati Popullit] receives complaints from citizens against government actions that affect their rights. The Expropriation Law also provides for an appeals process against the proposed award for compensation. In addition, the Urban Planning and Construction Inspectorate laws allow for administrative appeals against a decision for demolitions. Further appeals can be made to the district courts. For the purposes of the RAPs associated with this project, it is suggested to initially involve a local NGO to assist people with any grievances, fixing problems during implementation, etc, before the need to go to authorities. Essentially the grievance mechanism is an easy access, no cost mechanism, which involves people from the community, the project, and the relevant authorities to manage and fix problems before they run for official channels of redress, which might take time and have a cost. The NGO would help organize this through setting up a PAP�Project�Authorities group to handle problems during implementa- tion. 5.7.1 NGO Scope of Work The objectives of the local NGO to be appointed for the implementation of the RAP should be entitled to: CEIA Water Resources and Irrigation Project 5-3 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012  Provide the MAFCP with grass�root skills and capacity for field activity in the implementation of the Resettlement Plan;  Educate the identified PAP regarding their entitlements and obligations under the RAP and ensure PAP obtain their entitlements.;  Assist the PAP in the redress of grievances through the system implemented as part of the RAP. 5.7.2 NGO Tasks The NGO will be responsible for assisting the PAPs during the resettlement and rehabilitation process and shall ensure that the RAP with regard to the well being of the PAPs, are implemented appropriately and effectively. The NGO will:  Develop rapport between the PAPs and the project authorities through regular meeting with both the MAFCP representatives and the PAPs. All meetings and decisions taken are to be documented.  Assist PAPs in getting the compensation for their land and properties acquired for the project.  The NGO will determine the entitlements of each PAP and compare it to the offer being made by the project. If there is a discrepancy, between the two, the NGO will be responsible for assisting the PAP in coming to some agreement with the MAFCP and, if necessary, pursuing the matter through the grievance redresses mechanism.  MAFCP will be monitoring the implementation of the RAP and will require data from the NGO to monitor input, output and impact indicators; 5.7.3 Methodology In order to carry out the above tasks, employees of NGOs are to be stationed in the district centres (a local NGO would be better).  Besides contacting PAPs on an individual basis to regularly update the baseline information, group meetings should be conducted by the NGOs on a regular basis. The frequency of such meetings will depend on the requirements of the PAPs, but should occur at least once a month, to allow the PAPs to remain up to date on project developments.  The NGO should encourage participation of individual PAPs in such meetings by discussing their problems and other aspects relating to their socio�economic lives. Such participation will make it eas- ier to find a solution acceptable to all involved. 5.7.4 Reporting It is suggested that the following reporting should be considered by the appointed NGO:  An inception report�detailing plan of action, manpower deployment, time schedule, and detailed methodology within 30 days of the commencement of the assignment.  Monthly progress reports on the activities carried out and proposed activities for the coming month including data on indicators as required by the MAFCP.  A final report summarizing the actions taken during the project implementation, the methodology and manpower used to carry out the work, and a summary of assistance given to each PAP on completion. 5.7.5 Time Schedule It is estimated that the NGO services will be required for six months for participating in the implementa- tion of RAP. This is based upon the provisional timeframe shown in the FS. However, this may be re- scheduled based on the exact nature of the activity, with greater inputs in the initial two quarters and re- duced inputs in the subsequent two other quarters/end of year of NGO involvement (assuming a one year timeframe). CEIA Water Resources and Irrigation Project 5-4 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 If the involvement of a local NGO does not satisfy the grievance, then there is recourse to official admin- istrative channels, but the project should make a real effort to solve problems initially on the ground. The Expropriation Law provides for an appeals process against the proposed award for compensation. In addition, the Urban Planning and Construction Police laws allow for administrative appeals against a de- cision for demolitions of illegal construction. Further appeals can be made to the district courts. The Of- fice of the Ombudsman in Tirana receives complaints from citizens against government actions that affect their rights. The project staff from MAFCP can also play a role in resolving grievances. 5.8 Arrangements for Monitoring and Evaluation During implementation, MAFCP and the relevant local government units will monitor all activities con- nected with each subproject to ensure that PAP have been able to adapt to new conditions, find new places to live (resettlement is unlikely in this case) and work and have the means to maintain their liveli- hood. It is proposed approximately one year following the completion of each subproject that MAFCP will re- visit the site to verify that urban services and conditions have returned to normal. Persons affected by the subproject will be interviewed to ascertain whether they have been able to restore their livelihoods ade- quately and whether they have managed to reproduce approximately the same standard of living as prior to land disturbance or resettlement (which is unlikely). CEIA Water Resources and Irrigation Project 6-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 6 COSTS AND BUDGETS Based on the finalised RAPs, MAFCP needs to submit to the WB detailed cost of resettlement, with a breakdown by agricultural land, residential land, houses, other assets, and livelihood to be affected. The cost estimates will make adequate provision for monitoring and supervision and for contingencies. All costs for resettlement will be funded through MAFCP funds. CEIA Water Resources and Irrigation Project 7-1 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7 ANNEXES 7.1 Annex 1: Proposed Formats for RAP and Abbreviated RAP Full RAP Abbreviated RAP Includes a statement of objectives, policies and Covers the following minimum elements6: principles, and typically covers the following: 1. Description of the project; 1. A census survey of displaced persons and 2. Project resettlement potential impacts; valuation of assets; Or census of lost as- 3. Objectives; sets (land acquisition permanent or tem- 4. Socio-economic studies; porary) 5. Legal framework; 2. Description of compensation and other re- 6. Eligibility; settlement assistance to be provided; De- 7. Valuation of and compensation for losses; scriptiono of compensation and other as- 8. Site selection, site preparation and reloca- sitance to be provided for permanent or tion; temporary losing of asets. 9. Housing, infrastructure and social services; 3. Consultations with displaced people about 10. Organisational responsibilities; acceptable alternatives;Consultations with 11. Public participation, consultation and griev- affected persons, temporary or permanent ance mechanism; loss of assets, about acceptable alterna- 12. Implementation schedule; tives 13. Cost estimate and budget; 4. Institutional responsibility for implemen- 14. Monitoring and Evaluation tation and procedures for grievance re- dress; 5. Arrangements for monitoring and imple- mentation; and 6. A timetable and budget. 6 In case some of the displaced persons lose more than 10% of their productive assets or require physical relocation, the plan also cov- ers a socio-economic baseline survey and income restoration measures. CEIA Water Resources and Irrigation Project 7-2 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7.2 Annex 2: Provisional Entitlement and Compensation Matrix Affected people Type of loss Specification Entitlements at cut off date  Land for land compensation with plots of equal value and productivity to the plots lost; or;  Cash compensation for affected land at replacement cost free of taxes, Farmer/ registration, and transfer. titleholder  Residual portions of plots affected by the required ROW which are re- duced to less than 400m2 or rendered unusable by alterations in access, irrigation, or workability will be included in the affected land and com- pensated as indicated above. All land  Renewal of lease in other plots of equal value/productivity of plots lost, losses, irre- Leaseholder (reg- or cash equivalent to market value of gross yield of affected land for the spective of istered or not) remaining lease years (up to a maximum of 10 years). severity of 1. Permanent loss impact  Cash compensation equal to the market value of the lost harvest share Share-croppers of agricultural and rehabilitation assistance as appropriate (to be determined in the spe- (registered or not) land, including cific RAP) cultivable land Agricultural work-  Cash indemnity corresponding to their salary in cash and kind for the and uncultivable ers losing their remaining part of the agricultural year and rehabilitation assistance as wasteland (such contract appropriate (to be determined in the specific RAP) as pastures,  One rehabilitation allowance equal to market value of one net harvest (in woodlots, etc) Non-titled land- addition to crop compensation) for land use loss; additional rehabilitation owners assistance as appropriate (to be determined in the specific RAP) Farmer/  One severe impact allowance equal to market value of one net harvest of titleholder & the affected land for one year (inclusive of winter and summer crop and Leaseholder (reg- additional to standard crop compensation and rehabilitation assistance, as Additional istered or not) appropriate) provisions for  One severe impact allowance equal to market value of share of harvest severe impacts Share-croppers lost (additional to standard crop compensation and rehabilitation assis- (> 10% of land (registered or not) tance, as appropriate) loss)  One severe impact allowance equal to market value of net harvest of the Non-titled land- affected land for one year (additional to standard crop compensation and owners rehabilitation assistance, as appropriate)  Affected land & communal infrastructure will be restored to pre-project conditions. All PAPs (includ- 2. Temporary loss  Rent shall be agreed between landowner and Contractor equal to the ing non-titled of land revenue lost based on market value (example: compensation for harvests landowners lost at average yield/hectare)  Cash compensation for assets lost (example: structures, trees)  Land for land compensation through provision of a plot comparable in value/location to plot lost; or: Titleholder  Cash compensation for affected land at full replacement cost free of 3. Residential/ taxes, registration, and transfer costs commercial land Tenant/  Maximum of three months allowance to find replacement Leaseholder Non-titled land-  Provision of a free or leased plot in a Government resettlement area or a owner self-relocation allowance.  Cash compensation at replacement rates for affected structure and other All relevant PAPs fixed assets free of salvageable materials, depreciation and transaction 4. Houses, build- (with or without costs. In case of partial impacts full cash assistance to restore remaining ing and structures house or building structure. The cost of lost water and electricity connections will be in- registration cluded in the compensation.  Crop compensation in cash at full market rate for one year gross harvest All PAPs (includ- Crops af- by default to be paid both to landowners and tenants based on their spe- 5. Crops ing non-titled fected/lost cific sharecropping agreements; additional rehabilitation assistance as landowners appropriate (to be determined in the specific RAP All PAPs (includ-  Cash compensation shall reflect income replacement. Fruit trees will be Trees af- 6. Trees ing non-titled valued at gross market value of one year income x number of years fected/lost landowners needed to grow trees of the same productivity. CEIA Water Resources and Irrigation Project 7-3 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 Affected people Type of loss Specification Entitlements at cut off date  Business owner: Temporary All PAPs (includ-  Cash compensation for the period of business interruption, based on tax loss of busi- ing non-titled declaration or official minimum salary ness or em- ployment landowners  Worker/employee: Indemnity for lost wages for the full period of busi- ness interruption 7. Business/ Employment  Business owner:  Cash compensation equal to one year income (based on tax declaration Permanent loss All PAPs (includ- or official minimum salary) and rehabilitation assistance as appropriate of business or ing non-titled (to be determined in the specific RAP) employment landowners  Worker/employee: 3 months indemnity for lost wages and rehabilitation assistance as appropriate (to be determined in the specific RAP)  Restoration of livelihoods must be to levels at least equivalent to those maintained at the time of dispossession, displacement, or restricted ac- Loss of social All PAPs (includ- cess. 8. Livelihoods support sys- ing non-titled  If replacements to losses are unavailable, strategies can include skill tems landowners development, wage employment or self-employment, including access to credit. Transport and  Provision of cash compensation to cover transport expenses and liveli- transitional All PAPs affected 9. Relocation hood expenses due to relocation; time period to be determined in the livelihood by Relocation RAP costs  Provision of a cash grant of three months rent at the prevailing market Tenants who have 10. House tenants rate in the area and will be assisted in identifying alternative accommo- leased a house dation  Rehabilitation/substitution of the affected structures/utilities (i.e. places 11. Community of worship, footbridges, roads, schools, health centres, pastures, wood- assets lots, etc.) to pre-project functions  Priority for employment in project-related jobs, training opportunities, 12. Vulnerable PAP below pov- self-employment and wage-employment assistance; people’s liveli- erty line  Rehabilitation assistance package to be determined based on a cases by hood case analysis CEIA Water Resources and Irrigation Project 7-4 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7.3 Annex 3: Checklist and Data Requirements for Census 7.3.1 Checklist Persons:  Aggregate number of individuals and households in each affected category;  Age, gender, occupation of every individual. Personal property including details of ownership of  structures: houses, farm buildings, shops, industrial structures, grain drying area, latrines;  land and type: irrigated or non irrigated, woodlots, grassland, wasteland, etc.;  description and estimate of the value of standing crops on land;  other: livestock, wells, trees. Public and common property:  land: village common lands, gathering and foraging areas, fishing areas, etc;.  structures and facilities: schools, health facilities, burial grounds, temples, community centres, public transport, banks, co-ops;  infrastructure: drinking and other water systems, access and internal roads, electricity and other power sources; PAP incomes from other sources, including:  farm-based income;  off-farm labour;  informal sector activities. 7.3.2 Data Requirements 1. Background Information (a) Questionnaire code and date of survey (b) Name of interviewer (c) Name of province, district and village/hamlet 2. Household Census (a) Name of household head and all household members (b) Relationship of household members to the household head (c) Age and sex of each household member (d) Information on ethnicity (e) Education level of each member (f) Primary occupation and monthly income of each member (g) Incomes from secondary sources for each member (h) Location of job or businesses as the case may be (i) Length of stay on present location 3. Tenure Status (a) Category of land (b) Type of land ownership and the name of the owner/HH member (c) Type of document possessed to certify ownership type (d) If not owned, name and address of owner (e) If informal use right, type of agreement CEIA Water Resources and Irrigation Project 7-5 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 (f) Number of years used (g) Rent per month paid by tenant (h) Deposits made by lessee Note: In case census and inventory are conducted as separate exercises, some information on land use, affected structures and other fixed assets, and affected businesses should also be collected as part of census sur- veys. CEIA Water Resources and Irrigation Project 7-6 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7.4 Annex 4: List of Data for Inventory of Losses 1. Land Use a. Existing use of land b. Areas under different land usages, where applicable c. Total and affected area of land with breakdown by usages, if applicable d. Estimate whether the remaining area is viable for continued use e. Total area of land by type for compensation purposes 2. Structures a. Type of structure b. Number of floors c. Area by floor d. Name of owner of structure e. Year of construction f. Whether permit obtained for structure g. Use of structure and areas by usages, if applicable h. Description of building material used for roof, walls and floors by surface areas i. Type of foundation j. Description of any special features of structure k. Utility connections (electric meter, water supply, etc.) I. Charges paid for utility connections m. Affected area of structure n. Estimate whether the remaining structure is viable for continued use o. Total area of building for compensation purposes 3. Other Structures a. Types of structures (wells, boundary wall, fence, warehouse, etc.) b. Area of fish pond affected c. Average household income from fish pond d. Description of areas and construction material of affected structures e. Use of other structures 4. Agricultural Products a. Type of crops affected b. Owner of affected crops c. Total yearly production of crop on affected land d. Average yield of crop e. Any products that are sold at the market f. Number of employees/labour used for crop production g. Average value of crop h. Average yearly household income from agriculture 5. Trees a. Number and types of affected trees b. Age of tress c. Name of owner of trees d. Average yield of fruit bearing trees e. Average yearly income from fruit trees CEIA Water Resources and Irrigation Project 7-7 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 6. Business a. Type of business affected b. Name of owner of business c. Registration/permit number of business (check document) d. Total yearly household income from business e. Average operating expenditure of business f. Number of employees in business g. Number of permanent and temporary employees h. Average income and profit as reported for income tax (check document) i. Whether the business needs to be relocated 7. Affected Public Utilities and Facilities a. Description of affected community infrastructure b. Description of affected facilities by area & building material used c. Estimated number of population adversely affected by the facilities/infrastructure 8. Preference for Relocation a. Whether there is a need for relocation or reorganization b. Preferred mode of compensation (cash or kind) for land c. Preferred mode of compensation for structure d. Preferred type of assistance for income rehabilitation CEIA Water Resources and Irrigation Project 7-8 Environmental and Social Impact Assessment, Resettlement Policy and Baseline Surveys Resettlement Policy Framework - June 2012 7.5 Annex 5: Data for Baseline Survey Note: The background information, household status and land use information would be same as in An- nex 3 above: List of Data for Census Survey Additional information would include the following: 1. Access to Facilities a. Access to electricity b. Type of water supply available c. Type of sanitation facilities within the building d. Distance to school e. Distance to health facilities f. Distance to market 2. Household Assets a. Type and number of farm equipment and implements owned by the household b. Type of other business equipment owned by household c. Estimated value of affected equipments d. Type of transport owned (bike, motorcycle, truck, animal cart, car, other) e. Major kitchen equipments owned (stove, cooker, etc.) f. Ownership of fridge, radio, TV, etc. g. General condition of building (excellent, good, average, poor) h. General condition of household furnishing (furniture, cupboards, etc.) 3. Household Income and Expenditure a. Average annual household income from all sources b. Average expenditure on major items: food, transport, health, education c. Any loans taken from bank, friends or relatives d. Approximate savings, if any 4. Skills Possessed a. Skills of each household member b. Types of training or skills preferred for further upgrading CEIA