RP899
GOVERNMENT OF SAO TOME AND PRINCIPE
Social Sector Support Project (SSSP)
Additional Financing
RESETTLEMENT POLICY FRAMEWORK[1]
ALKA KOTHARI
Updated on October 31, 2009
TABLE OF CONTENTS- Introduction and Project Description
- Principles and objectives governing resettlement preparation and implementation
- A description of the process for preparing and approving10 Resettlement plans
- Eligibility criteria for defining various categories of project affected persons13
- Methods of valuing affected assets14
- A legal framework reviewing the fit between borrower laws and regulations15 and Bank policy requirements and measures proposed to bridge any gaps
between them
- Organizational procedures for the delivery of entitlements20
- A description of the implementation process22
- A description of the grievance redress mechanisms24
- A description of the arrangements for funding resettlement, including the26 preparation and review of cost estimates, the flow of funds,
and contingency arrangements
- A description of mechanisms for consultations with, and participation of,30 affected and/or displaced persons in planning, implementation, and monitoring
- Arrangements for monitoring by the implementation agency and,32 if required, by independent monitors
1
PASS
Glossary of Key Terms
Cut - off Date – refers to a day on and beyond which any person who occupies land required for project use, will not be eligible for compensation. The date is often the day when the assessment of persons and their property in the project area commences.
Market rate – is defined as the highest rate over the last three to five years based on commercial terms.
Project Affected Person(s) (PAPs) – are persons affected by the land use or acquisition needs of project supported activities that lead to these person(s) being required to (or not necessarily required to) be physically displaced or relocated due to loss of shelter and or, lose, denied or restricted access and or to economic assets, or lose income sources or means of livelihood, whether or not the person(s) must move to another location.
Resettlement and Compensation Plans (RAPs), are also known as Resettlement Action Plans or Resettlement Plans – are resettlement instruments (documents) to be prepared when project activities are identified ,that require land acquisition that leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. RAPs are prepared by the party impacting people and livelihoods in this manner and contain specific and legal binding requirements to be taken by that party to resettle and compensate the affected party before project activities causing this adverse impact are implemented.
Resettlement Policy Framework (RPF), is also a resettlement instrument (this document) that is prepared by the borrower (in this case by the Government of Sao Tome e Principe) when project activities that require land acquisition that lead to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources, are not identified at the project preparation stage. The RPF is therefore prepared and disclosed before the proposed project is appraised setting out the resettlement and compensation principles, organizational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the project, when project activities are identified. The RAP is prepared consistent with the provisions of the RPF.
1
Social Sector Support Project (SSSP)
Additional Financing
B. INTRODUCTION and PROJECT DESCRIPTION
This Resettlement Policy Framework (RPF) is an update of the original framework prepared in 2004 for a Social Sector Support Project (PASS). This update focuses on the additional financing of the Social Sector Support Project (SSSP) granted to the Republic of São Tome & Principe for an amount of US$2.4 million. The development objective of the proposed additional financing is to contribute to improving delivery of basic education services, with a focus on greater and more equitable access, better quality, and improved local governance.
The Grant will allow for the scaling up of ongoing health interventions launched under the PASS. It will particularly contribute to: (a) improving equity and access to basic health services; (b) improving the quality of basic health services; (c)cross-sectoral issues (HIV/AIDS and Malaria. The following activities to be funded by the CF Grant have been identified:
(i)Improving access and equity to basic services. Activities under the first sub-component include the rehabilitation of the health center in Porto Alegre to complete the set of rehabilitation works of relevant health centers that have been carried out with the support of the project, and the construction of four residences for health staff in the district of Cantagalo and the island of Principe, which are deemed necessary to retain and motivate health staff in these remote areas of the country.
(ii)Improving the quality of basic health services. The quality sub-component includes capacity building and training activities such as developing alternatives for the medium-term financing of the health sector, as a first step towards a financial sustainability of the health system; rehabilitation and equipment of the health national school and a high-level training of its personnel, particularly nurses and managers; validation and pilot experiment of the health information system set up with the support of the Project; pursue the use of the media to promote health prevention attitudes among the population, including issues of reproductive health; and training of teachers of primary schools on visual, oral, and intestinal health as a complement of the ongoing de-worming program in schools.
(iii)Cross-sectoral issues (HIV/AIDS and Malaria): This component has two sub-components: HIV/AIDS and Malaria. Activities under these sub-components include the rehabilitation and expansion of National Center for Endemic Diseases (Centro Nacional de Endemias) to help improve its functionality; the training of key health staff working on HIV/AIDS program; and the purchase and distribution of condoms for the prevention of HIV/AIDS transmission, in line with what the Project has been doing over the last years
The preparation of a Resettlement Action Plan (RAP) is not required at this stage since the project will finance classrooms on existing school sites. Notwithstanding, in line with the Bank’s Involuntary Resettlement Policy OP 4.12, the Government of Sao Tome e Principe is required to prepare a Resettlement Policy Framework for disclosure before appraisal. The RPF establishes the resettlement principles, organizational arrangements and design criteria to be applied to activities that will be prepared during project implementation in compliance with the laws of STP and the Bank’s safeguards policy on resettlement.
B. POLICY PRINCIPLES and OBJECTIVES GOVERNING RESETTLEMENT PREPARATION and IMPLEMENTATION
The impacts due to involuntary resettlement from development projects, if unmitigated, often gives rise to severe economic, social and environmental risks resulting in production systems being dismantled, people facing impoverishment when their productive assets or income sources are lost, people being relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks being weakened; kin groups being dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished or lost.
Therefore, the objectives of this policy are the following: i)Involuntary resettlement should be avoided where feasible, or minimized,exploring all viable alternative in activity design.Where involuntary resettlement is unavoidable, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to give the persons displaced by the project the opportunity to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.Displaced persons should 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 the beginning of project implementation, whichever is higher.Here, the affected people, according to the Bank policy, refers to people who are directly affected socially and economically by the Bank assisted investment projects, caused by: (a) the involuntary taking of land and other assets resulting in:
(i)relocation or loss of shelter;
(ii)loss of assets or access to assets;
(iii)loss of income sources or means of livelihood, whether or not the affected persons must move to another location;
or
(b) the involuntary restriction of access to legally designated parks and protected areas results in adverse impacts on the livelihood of the displaced persons.
The resettlement policy applies to all components under the project, whether or not they are directly funded in whole or in part by the Bank. It also applies to other activities resulting from involuntary resettlement, which in the judgment of the GoSTP and the Bank, are (a) directly and significantly related to the Bank assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, or planned to be carried out, contemporaneously with the project.
The policy applies to all displaced persons regardless of the total number affected, the severity of impact, and legal title to land. Particular attention should be paid to the needs of vulnerable groups among those displaced; especially those below the poverty line, the landless, the elderly, women and children, indigenous groups and ethnic minorities or other displaced persons who may not be protected through STP’s land compensation legislation.In particular for this project, the policy also requires that the implementation of resettlement plans are a pre-requisite for the implementation of activities to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. For activities involving land acquisition, it is further required that these measures include provision for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, the taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to displaced persons. For activities requiring relocation or loss of shelter, the policy further requires that measures to assist the displaced persons are implemented in accordance with the activity’s resettlement plan of action.
The policy aims to have the displaced persons perceive it to be fair and the compensation process transparent.
C. DESCRIPTION OF THE PROCESS FOR PREPARING AND APPROVING RESETTLEMENT PLANS
To address the impacts under this policy, activities resettlement plans must include measures to ensure that the displaced persons are;
a)informed about their options and rights pertaining to resettlement
b)consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives
c)provided prompt and effective compensation at full replacement cost for loss of assets attributable to the activity as well as costs incurred as a result of resettlement.
At the start of implementing the project, two studies would have to be conducted, namely,
a)A Socio-economic Study
b)Assets Evaluation Study
The purpose of the Socio-economic study is to collect baseline data within the project targeted areas thereby enabling the social assessment of potentially affected populations/communities. Under this study a comprehensive census would be carried out to identify potentially affected people on the individual and household levels, vulnerable groups (women, children, the elderly, female headed households, etc.). The social assessment would focus on identification of stakeholders (demographic data), the participation process, identification of affected people and impact on their property and their production systems, the institutional analysis and the system for monitoring and evaluation. Detailed calculation of household economies will be necessary in the social assessment and be the determinant in the potential compensation process.
The purpose of the evaluation of assets study is to evaluate potential activityrequiring land and to determine the sizes of the individual pieces of land that will be acquired. It would alsoclassify the land, built structure and any other immovable assets and will also provide guideline information on the value of these assets.
When the results of these studies are available, the resettlement plans for activitieswould be prepared by the implementers (Focal Points) and screened and approved through the Department of Infrastructure (DoI) in compliance with the project institutional administrative arrangements. It would also require that the resettlement plans are consistent with this framework policy and approved by the Bank.
Therefore, each activity that is proposed to be included would be screened and classified according to its environmental and social impact. The screening and classification process should follow certain criteria already established and the mitigation measures that will be proposed vis-à-vis environmental and social issues should be in compliance with all Government of STP Environmental and World Bank Safeguard policies. Certain activities will not be funded by the project, including those likely to trigger selected safeguards for e.g. disputed areas, cultural property, indigenous peoples and natural habitats.
The DoI will screen the proposed activities that it receives from the beneficiaries. The Screening Process
The screening process would take the form of;
1.)Classifying the activities by activity into the following categories;
i)Building of schools
ii)Building of medical clinics
iii)Others
2.)Identifying and evaluating potential impacts for each proposed activity on the resettlement policy.
3.) Triggering of the resettlement policy would require a preliminary determination of whether the activity should be proposed or not, based on an assessment of the intensity of the impact and on the mitigation measures that would need to be developed and proposed. The Focal Point can then decide to present its case even where extensive/cumbersome mitigation measures are deemed necessary in the activity.
4.)Determining the need for land acquisition and whether there is a need to obtain legal title to the land. This is a pre-condition for approval.
5.)Using of the Socio Economic Studies to identify affected people on the household level and vulnerable groups in the activity impact area(s) and to calculate household economies.
6.)Using the assessment evaluation reports.
7.)Ensuring that land required/acquired is not, (i) in disputed areas, (ii) cultural property, (iii) negatively affecting indigenous peoples and (iv) is not in natural habitats. This is a pre-condition for approval.
The above screening process should be used by the FP in the preparation of the activities to enhance their likelihood for approval. Notwithstanding, at the level of the DoIactivities received would be reviewed applying very similar screening and evaluation mechanisms as those carried out by the FPs in order to review and control the process already carried out.
Furthermore, the DoI should as a guideline consider the cumulative factor and not approve activities that have individual high impact intensity. For example, where land acquisition is required to such an extent that it would require more than 5% of a communities total land under cultivation or when the mitigation measures are so cumbersome that their efficacy cannot be predetermined or they cost more than 20% of the investment budget.
Before the decision to approve aactivity is taken, the DoI will need to approve or disapprove the resettlement plan of the activity in totality with the overall environmental and social screening process that has been applied for each activity and to also approve or disapprove of the proposed mitigation measures, if any. Final approval of Resettlement Action Plans will be made by the Bank.
The activitiesfocus only on constructing additional classrooms on existing school facilities.
D. ESTIMATED POPULATION DISPLACEMENT AND LIKELY CATEGORIES OF DISPLACED PERSONS
At this stage any attempt to quantify the estimated likely number of people who may be affected would be at best, unreliable, since the activities have not all been identified.
However, the likely displaced persons can be categorized into three groups, namely;
i) Affected Individual - An individual who suffers loss of assets or investments as a result of the activities and to whom compensation is due. For example, an affected individual is a person who farms a field, or who has built a structure on land that has been demarcated for agricultural use by the GoSTP and is now required by anactivity.
ii)Affected Household - The people whom an affected individual declares ought
to join him or her in resettlement. This provides for:
a)vulnerable individuals who may be too old or ill to farm along with the others
b)relatives who cannot reside together because of cultural rules, but who depend on one another for their daily existence.
c)relatives who may not eat together but provide housekeeping, or reproductive services critical to the family’s maintenance, and
d)other vulnerable people who cannot participate for physical or cultural reasons in production, consumption, or co-residence.
Resettlement will not be limited to people who live together in a co-resident group, since this might leave out people whose labor contributions are critical to the functioning of the “household”. For example, many wives have separate homes. An opposite-sex parent and child cannot live together, due to special proscriptions, even though the child is often the parent’s main support.
iii) Vulnerable Households - vulnerable households may have different land needs from most households or needs unrelated to the amount of land available to them. This provides for:
a)Women – may depend on husbands, sons, brothers or others for support. In many cases too, women are the main breadwinner in their household. They need relatively easy access to health service facilities, as mothers and wives. Women are central to the stability of the household. They should not be resettled in a way that separates them from their households as the very survival of their households depends on them.