Involuntary Resettlement
0P 4.12: Planning Instruments
A Resettlement Overview
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What are the purposes of resettlement planning?
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What is a Resettlement Action Plan (RAP) and
what does it require?
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What is a Resettlement Policy Framework (RPF)
and what does it require?
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 generally required at
appraisal (or prior to subproject approval)
Recurring Issues and Problems

Defining the project: “Indirect impacts” and
“linkage” in application of Bank policy

Bridging the eligibility gap: Assisting vulnerable
people and those who lack full legal recognition

Covering all costs: ‘Replacement cost’ valuation,
transaction costs and transitional support

Stock and flow: Asset compensation, income
restoration, and development opportunities
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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Internal and external monitoring arrangements
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Consultation and information dissemination
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Grievance procedures
RAP: Technical Content

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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Valuation, compensation and 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
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
Recurring Practical Problems

RAP inputs and processes are more timeintensive than usual domestic practice

Consultation and information disclosure
requirements may be more extensive
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Clarifying responsibilities and inter-agency
coordination can be difficult

Different Bank measures and procedures
bureaucratically difficult to implement
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Bridging gaps: borrower often lacks authority to
go beyond existing regulations or practice
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Monitoring and adapting to contingencies
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 impossible to finalize a RAP
by appraisal
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Technical planning cannot be done if location,
nature and scale of impacts are not known

Bank acceptance of RAP required prior to
‘approval of financing’ and initiation of works
Core Content of RPF
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Description of project and estimated impacts

Explanation why full planning is not possible
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Key principles and objectives

Policy and regulatory gap analysis

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 Transition Issues

RPF is borrower’s document, representing
acceptance of policy obligations

RPF provides tentative agreement; RP
reviewed and approved based on final design

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
Resettlement Process Framework
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Applicability: Restrictions on access to resources
in legally designated parks or conservation areas
Objective: Livelihood restoration “in a manner
that maintains the sustainability of natural
resources.”
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

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