Involuntary Resettlement
0P 4.12: Planning Instruments
WB Safeguards Training Workshop
Tbilisi, May 2013
Resettlement Instruments
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Resettlement plan
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Abbreviated resettlement plan
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When affected people are not physically displaced and less
than 10% of their productive assets are lost, or fewer than
200 people are displaced
Resettlement policy framework
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When it is possible to determine displacing population
during project preparation (i.e. site-specific resettlement)
In a project with multiple subprojects where population to
be displaced not know during project preparation (i.e.
linear resettlement
Process framework
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For projects involving restriction of access to legally
designated parks and protected areas resulting in adverse
impacts on the livelihoods of affected people
Cartoon by Chris Madden
Key Planning Objectives
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Identify adverse impacts for avoidance,
minimization or mitigation
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Assist affected people to improve, or at least
restore, incomes and living standards
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Provide arrangements and resources for
implementation of mitigation measures
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Mitigating risks for affected people helps
minimize risks to borrower and Bank, too
Key Planning Considerations
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RAP is borrower’s responsibility to prepare and
implement
Implementers and affected people should be
involved in planning process
Compensation and other necessary assistance
provided before impacts are imposed
Bank acceptance required at appraisal (or
prior to subproject approval)
RAP: Institutional Aspects
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Policy and regulatory gap analysis
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Timetable linked to project implementation
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Organizational roles and capacity assessment
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Monitoring arrangements
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Consultation and information dissemination
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Grievance procedures
RAP Content
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Description of project and impacts
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Impact avoidance and minimization efforts
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Identification of affected persons and impacts
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Compensation at replacement value
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Other assistance measures
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Relocation site plan (if relevant)
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Income restoration plan (if relevant)
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Budget and financial arrangements
Conducting Census and Inventory
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100% census is essential for identifying and
enumerating all affected people (build on the
social component of ESIA –nature of
impacts/direct and indirect)
Inventory of affected assets essential to
categorization of impacts and formulation of
assistance
Income-related impacts and other potential
socioeconomic issues can be considered on
sample survey basis
Full and timely data gathering is key to
establishing eligibility, budgeting, monitoring and
resolution of grievances
Consultation and Participation
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Policy requirement: “displaced persons should be
meaningfully consulted and should have opportunities to
participate in planning and implementing resettlement
programs”
Meaningful consultation:
• A two-process in which stakeholders provide advice and input
on the design of proposed projects
• Iterative process from project preparation to completion
• Promotes dialogue between governments, affected
communities, NGOs and implementing agencies
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Lack of reliable project information and involvement of
affected persons can lead to conflict and adversely affect
the resettlement program
GRM: timely, easy to use
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point person with the responsibility
of coordinating grievances (receive
and sort)
track and monitor grievance
acknowledgement and resolution
multiple channels for receiving
feedback need to be established
(mail, fax, e-mail, website,
telephone, in person)
Keep good records of consultations in order to:
1. Document when and where consultations were held
2. Keep track of issues raised, solutions provided by people (inform mgmt. plans)
3. Summarize key issues and potential solutions – substance of consultations
4. Document what people said (views of different stakeholders) to demonstrate
that all views considered  broad consensus
If possible, make electronic copies…
Module III - How / Consultation / Record
18
Eric Brusberg
Mitigation Measures
Cash compensation may
be appropriate when:
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Land taken by the
project is a small
fraction of the
affected asset and
residual is viable
Livelihoods are not
land based
Cash compensation is
the preferred option
of displaced people
and they have the
capacity for selfresettlement
Mitigation Measures
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To provide prompt
compensation at full
replacement cost for losses of
assets attributable directly to
the project
Provide assistance during
relocation
To provide residential houses,
or housing sites, or
agricultural sites, least
equivalent to the advantages
of the old site
Mitigation Measures
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Offered support after
displacement, for a
transition period, based on
a reasonable estimate of
the time likely to be
needed to restore their
livelihood and standards of
living
Moving expenses
• Employment training
• Income support while
awaiting income
restoration
Develop affordable and
accessible grievance
redress mechanisms
Replacement Costs where there is no formal
market
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Structures – estimate the cost
of materials and labour to reconstruct the shed etc. today.
Upgrade to minimum safety
standard e.g. no asbestos
Land – replacement land as a
priority. Failing land
availability or person’s choice
to move to other sources of
livelihood then compensation
of 5 years produce of the land
Fruit trees – 5 years yield
calculated at rate of highest
yield over last 3 years OR
sapling plus annual yield x
age of tree or annual yield x
number of years of
productivity
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Shade trees – 2/3 times value
of wood of tree (depending on
how long tree takes to grow)
plus sapling
Grazing land and common
property resources –
alternative site if available. if
temporary loss only, then
option for stall feeding or
compensation for purchase of
supplemental produce in case
of loss of edibles. If
permanent loss then some
kind of community investment
or micro finance fund can be
established.
Vulnerable groups:
Examples include (HH, Groups, communities):below poverty
line, landless, elderly, women, children, handicapped,
single parents, indigenous peoples, ethnic minorities
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Look at the specific impacts on each sub group and go
beyond the standard examples given above.
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For example, urban vendors / herders / school children may
be affected by specific impacts.
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Identify specific measures to mitigate the impact on
vulnerable groups (women headed households given extra
compensation for labor for house construction).
General vulnerability is relevant to the extent that any
rehabilitation measure has to be done to a minimum
acceptable development standard
Aim for livelihood restoration rather than just replacement.
Livelihood Restoration
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Impacts
• Loss of income-earning capacity
• Compensation alone does not guarantee the restoration or
improvement of living standards
• Example: agricultural land has a market value (requires
compensation), but it is also the basis for livelihood and future
earning capacity (requires rehabilitation)
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Issues
• Household may have multiple providers of income – require
intra-household analysis
• Women have different opportunities for employment – require
gender analysis
• Vulnerable groups (poor, elderly, ethnic minorities) have
different opportunities for livelihood restoration – establish
criteria for vulnerability
Practical Problems
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RAP inputs and processes are more timeintensive than usual domestic practice
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Consultation and information disclosure
requirements may be more extensive
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Clarifying responsibilities and inter-agency
coordination can be difficult
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Bridging gaps: the challenge of going beyond
existing regulations
Resettlement Policy Framework
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RPF establishes principles and procedures for
subsequent planning and implementation
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Prepared when it is not possible to finalize a RAP
by appraisal (lack of project definition, others)
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Technical planning cannot be done if location,
nature and scale of impacts are not known
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Bank acceptance of RAP required prior to
‘approval of financing’ and initiation of works
Content of RPF
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Description of project and estimated impacts
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Explanation why full RAP planning is not possible
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Key principles and objectives
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Policy and regulatory gap analysis
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Plan preparation and approval process
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Organizational roles and procedures
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Consultation, disclosure and grievance redress
commitments
Recurring RPF Issues
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RPF is borrower’s document, representing
acceptance of policy obligations
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RPF provides tentative agreement; RP
reviewed and approved based on final design
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RPF should reflect level of information
available at appraisal stage
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Planning or implementation issues often arise
if borrower ownership of RPF is weak
Process Framework
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Applicability: Restrictions on access by users to
resources in legally designated parks or
conservation areas
Objective: Livelihood restoration “in a manner
that maintains the sustainability of natural
resources” and does not adversely affect user
livelihoods.
Process Framework Requirements
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An acceptable process framework document is
required for appraisal.
The framework establishes a participatory process by which
appropriate restrictions and mitigation measures, as well as
implementation and monitoring arrangements, are to be
considered
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An acceptable plan of action is required prior to
enforcement of restrictions
The plan of action describes specific restrictions, measures to be
undertaken to assist affected persons, and arrangements for
implementation and monitoring