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OPERATIONAL POLICY 0P 4.12 INVOLUNTARY RESETTLEMENT Radhika Srinivasan, ECSSD. Outline of the Presentation. Triggers of the Policy Objectives Scope and Coverage Required Resettlement Measures Eligibility Criteria Resettlement Planning Instruments Bank and Borrower Roles.

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  2. Outline of the Presentation • Triggers of the Policy • Objectives • Scope and Coverage • Required Resettlement Measures • Eligibility Criteria • Resettlement Planning Instruments • Bank and Borrower Roles

  3. IMPACTS THAT TRIGGER OP 4.12 OP/BP 4.12 is triggered when a Bank investment causes • Involuntary taking of land that results in direct social and economic impacts such as: • Loss of shelter leading to relocation • Loss of assets or access to assets • Loss of income sources or means of livelihood (whether or not the affected persons must move to another location) • Involuntary restriction of access to legally designated parks and protected areas that result in adverse impacts on the livelihoods of affected persons

  4. Avoid involuntary resettlement where feasible, or minimize it, exploring all viable alternative project designs Consult affected persons meaningfully and provide opportunities to participate in planning and implementing resettlement programs Assist affected persons in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels POLICY OBJECTIVES

  5. SCOPE AND COVERAGE OF OP.412 OP 4.12 applies to • all components of the project that require land take, regardless of the source of financing • other activities requiring land take that are • directly and significantly related to the Bank-assisted project • necessary to achieve its objectives as set forth in the project documents • carried out, or planned to be carried out, contemporaneously with the project

  6. IMPACTS COVERED BY OP4.12yes or no? • Business losses caused by rerouting of road away from existing village • Loss of farmland inundated by a reservoir • Loss of jobs due to Bank-financed privatization project • Loss of dwelling due to construction of a drainage canal • Devaluation of property due to Bank-financed solid waste dump nearby

  7. Inform affected persons about their rights/ options pertaining to land acquisition/ resettlement Provide prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project Provide resettlement assistance for vulnerable affected people MITIGATION MEASURES

  8. Options can be “land for land” if livelihoods land-based; Cash possible if land taken is a small fraction of the affected asset and residual is viable Link Compensation/ Resettlement implementation to project timetable MITIGATION MEASURES

  9. WHO IS ELIGIBLE? The borrower carries out a census to identify those affected and eligible for assistance: 1. Those who have formal legal rights to land [compensation] 2. Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets [compensation] 3. Those who have no recognizable legal right or claim to the land that they are occupying [resettlement assistance]

  10. RESETTLEMENT INSTRUMENTS • Resettlement (Action) Plan* • When it is possible to determine scale of adverse impacts and affected population during project preparation, prior to appraisal • Abbreviated Resettlement (Action) Plan • When impacts are minor or if fewer than 200 people are displaced * Or Land Acquisition (Action) Plan

  11. RESETTLEMENT INSTRUMENTS cont. • Resettlement Policy Framework • When not possible to identify precise siting alignments or specific impacts/affected population during project preparation (financial intermediary operations, and projects with multiple subprojects), • A Resettlement Action Plan is prepared for each subproject that may involve land acquisition, before the subproject is accepted for Bank financing • Process Framework • For projects involving restriction of access to resources in legally designated parks or protected areas • No separate Resettlement Action Plan required

  12. LEGAL AGREEMENT The resettlement instrument is included in the Legal Agreement between the Bank and the Borrower

  13. BORROWER: Prepare the Resettlement Instrument (Framework or Plan) Consult project affected persons Disclose the draft instrument as condition of project appraisal Disclose the instrument again after it is finalized Implement and monitor the Resettlement Plan Final evaluation of the Plan BANK: Provide advice during the preparation of the instruments Review and approve the Plan or Framework before appraisal Disclose draft instrument at the Infoshop Disclose final instrument again at the Infoshop Supervise regularly the implementation of the Plan Include Resettlement Results in the ICR RESPONSIBILITIES


  15. What is a Land Acquisition/ Resettlement Policy Framework ? Specific impacts relating to land take not known in advance Agreement between the Borrower and the WB: involuntary land expropriation, will comply with national laws relating to land expropriation and World Bank Operational Policy (OP) 4.12 on Involuntary Resettlement. Underlying principle: avoid/ minimize adverse impacts

  16. What is the purpose of the RPF? • Clarifies land acquisition principles and organizational arrangements • Ensures that where land acquisition is unavoidable, borrower will • consult project affected persons • compensate for lost assets at replacement costs • provide assistance to improve/ restore livelihoods and standards of living to pre-displacement levels in the event of displacement

  17. What are the contents of a RPF? • Description of project components which trigger land acquisition • Legal framework reviewing borrower laws and Bank policy requirements on expropriation • Methods of valuing assets • Estimated land take/ population displacement • Eligibility criteria and Entitlement Matrix • Organizational arrangements for the delivery of entitlements • Description of consultation process, grievance redress mechanisms, arrangements for funding, timeline • Monitoring arrangements by the PIU

  18. What does a review of the Legal Framework entail? • Borrower land acquisition laws and procedures and fit with OP 4.12 principles • Typical areas of differences • Assessment of land acquisition impacts through a census of those affected with socio-economic data and an inventory of losses • Compensation: Land-for-land or Cash? • Scope for consultation? • Methods for valuing assets? • Approach to people without clear titles to land/ assets? • Income restoration measures?

  19. Example: Entitlement Matrix

  20. Example: Organizational Arrangements

  21. Example: Grievance Redress Mechanisms • Grievances related to impacts community level, PIU, design consultants to find technical solutions. • Grievances related to compensation amounts, delays in compensation payments PIU in liaison with the Municipalities. • The Expropriation Law provides for an appeals process against the proposed award for compensation. • Arbitration by NGOs. • Grievances through the court system.

  22. Example: Monitoring Arrangements (by PIU)

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