Water Sector Support Project

/ REPUBLIC OF YEMEN
MINISTRY OF WATER AND ENVIRONMENT
AND
MINISTRY OF AGRICULTURE AND IRRIGATION

RESETTLEMENT POLICY FRAMEWORK

(RPF)

FOR THE

WATER SECTOR SUPPORT PROJECT

FINAL REPORT
December 2008

/ CONSULTING ENGINEERING SERVICES (INDIA) PRIVATE LIMITED NEW DELHI - SANA’A

ACRONYMS / ABBREVIATIONS

% / Percentage
A21A / Agenda 21 for Agriculture
ACAP / Anti Corruption Action Plan
ACGH / American Conference of Government Industrial Hygienist
AFPPF / Agriculture and Fisheries Promotion Production Fund
AGSIP / Agricultural Long-term Plan
AREA / Agricultural Research and Extension Authority
CBO / Community Based Organization
CES / Consulting Engineering Services, India
COCA / Central Organization for Control and Audit
CSA / Country Social Analysis
CWRAS / Country Water Resources Assistance Strategy
dB (A) / Decibel – A weighted instrument
DCG / Donor Core Group
DFID / Department for International Development
DPPR / Development Plan for Poverty Reduction
E / East
EA / Environmental Assessment
EGMA / Enhanced Groundwater Management
Areas
EMO / Environmental Management Officer
EPA / Environmental Protection Authority
ESMF / Environmental and Social Management Framework
FGD / Focus Group Discussion
FMIS / Financial Management Information System (FMIS
GARWSP / General Authority of Rural Water and Sanitation Project
GDI / General Directorate Of Irrigation
GDP / Gross Domestic Product
GNP / Gross National Product
GOY / Government of Yemen
GSCRP / Groundwater and Soil Conservation Project
gtz / Deutsche Gesellschaft fuer Technische Zusammenarbeit (German Technical Cooperation)
HBS / House Budget Suvey
HDI / Human Development Index
IDA / International Development Agency
IIP / Improved Irrigation Project
JAR / Joint Annual Review
KfW / Kreditanstalt fuer Wiederaufbau (German Development Bank)
KII / Key Informant Interviews
Km2 / Square Kilometer
Leq / Equivalent Noise Level
LWSSCs/LCs / Local Water Supply and Sanitation Corporations
M&E / Monitoring and Evaluation
MAI / Ministry of Agriculture & Irrigation
MDGs / Millennium Development Goals
mm / millimeter
MOF / Ministry of Finance
MOPIC / Ministry of Planning and International Cooperation
MTEF / Mid Term Expenditure Framework
MWE / Ministry of Water & Environment
N / North
NEAP / National Environmental Action Plan
NGO / Non Governmental Organization
NGOs / Non-Governmental Organizations
NWRA / National Water Resources Authority
NWSSIP / National Water Sector Strategy and Investment Program
oc / Degree Centigrade
PAF / Project Affected Family
PAP / Project Affected People
PAWS / Programmed Aid to the Water Sector (Dutch financing)
PCM / Public Consultation Meeting
PCU / Project Coordination Unit
PIP / Public Investment Program
PMU / Project Management Unit
PPC / Program Preparation Committee
PRSP / Poverty Reduction Strategy Paper
PSIA / Poverty and Social Impact Assessment
PTOP / ProvincialTown Open Program
RAP / Resettlement Action Plan
RPF / Resettlement Policy Framework
SA / Social Assessment
SDR / Special Drawing Rights
SFYP / Second Financial Year Plan
SNACC / Supreme National Authority for Combating Corruption
SWAp / Sector-wide approach
SwESA/SESA / Sector-wide Environmental and Social Assessment
SWUFs / Scheme Water User Federations
TDA / Tihama Development Authority
TL / Team Leader
TOR / Terms of Reference
UBC / UniformBuilding Code
UK / United Kingdom
ULCs / Urban Local Corporations
UWSSP / Urban Water Supply Project
WB / World Bank
WEC / Water and Environmental Center
WSSP / Water Sector Support Program
WUAs / Water Users Associations
WUGs / Water Users Groups

Resettlement Policy Framework (RPF)

TABLE OF CONTENTS

ACRONYMS / ABBREVIATIONS

EXECUTIVE SUMMARY

Chapter 1: Introduction

Chapter 2: Country Legal and Institutional Framework

Chapter 3: World Bank OP 4.12 Involuntary Resettlement

Chapter 4: Gap between World Bank Policy and Yemeni Legislation

/ Project: Consultancy Services for the Technical Assistance for Sector-wide Environmental and Social Assessment
(Component 7 – Implementation Support)
IDA Credit 3774 – YEM)
Document: 20080034/SwESA/ Resettlement Policy Framework(Final) / October 2008
Revision: R0

a)Executive Summary

E.1In order to combat the water crisis in Yemen, the World Bank and its development partners such as GTZ, the Netherlands, and the UK started to prepare a Water Sector Support Program (WSSP) with an identification mission to Yemen in 2007. During this mission, donors collaborated with counterparts in the government such as Ministry of Water and Environment (MWE), Ministry of Agriculture and Irrigation (MAI), Ministry of Planning and International Cooperation (MOPIC), and Ministry of Finance (MoF) in identifying the program concept, development objectives, and components of the WSSP.

The WSSP is being formulated to achieve the following main development objectives by adopting a sector-wide approach (SWAp).

improve access to water supply and sanitation services,

increase returns to water use in agriculture,

strengthen sector institutions for sustainable water resources management and environmental protection

E.2Format of Resettlement Policy Framework

Chapter 1: provides a brief background of WSSP, narrating the development objectives, basis, and justification of preparing the RPF. The main objective is given as protection of PAPs from the consequences of resettlement through provision of appropriate and adequate compensation to ensure improved livelihoods of PAPs after resettlement.

Chapter 2: highlights Yemeni legal and institutional framework related to land acquisition resettlement and compensation.

Chapter 3: summaries Bank rule and regulations on involuntary resettlement (OP 4.12).

Chapter 4: Finally, and based on the discussion of the Bank regulations as well as Yemeni legislation, the last chapter identifies gaps between the two systems and presents recommendations on how to address existing differences.

E.3Under WSSP, various projects and sub-projects shall be implemented, where new land may have to be acquired. There will be need for the preparation of land acquisition procedures, resettlement and compensation. This entails providing sufficient investment resources to meet the needs of Project Affected Persons (PAPs). It requires adequate collaborative consultation and agreement with PAPs to ensure that they maintain or improve their livelihoods and standards of living. This RPF is prepared to ensure effective preparation and implementation of land acquisition, resettlement and compensation in the context of the WSSP.

E.4This policy provides guidelines for how to handle different situations that may arise as a result of land acquisition or resettlement as the various sub-projects are developed. The subprojects involve some physical works, which have not yet been fully defined. A Resettlement Policy Framework is required when the extent and location of resettlement cannot be known at appraisal. The RPF therefore, provides a safeguard against adverse social impacts of project activities of WSSP through minimizing the number of PAPs in the first place. It provides procedures and means for adequately compensating for the losses and to reduce the negative impacts of the affected community members.

E.5A Resettlement Policy Framework (RPF) has been prepared in accordance with World Bank guidelines as set out in their OP 4.12 and in compliance with Yemeni laws pertaining to resettlement and land acquisition.

E.6The legal instruments have been noted to contain relevant legislation that defines the different classification /categories of land, and specific issues that relate to land acquisition and land transfer including management of the land acquisition process. The Yemeni legal and institutional frameworks signify the provisions for expropriation and compensation; resettlement plans; public participation; role and responsibilities of concerned authorities in process of implementation of the Resettlement Action Plan.

E.7The World Bank (OP 4.12) principles and objectives governing resettlement preparation and implementation can be summarized as follows:

Resettlement must be avoided or minimized, exploring alternative project designs;

Where it is unavoidable, resettlement must be handled as a sustainable development program, whereby the displaced persons are given the opportunity to join the planning and implementation process, while sharing the benefits of the project; and

Affected/displaced persons must be assisted to improve their livelihood or, at least, restore it to pre-project levels.

E.8The key provisions of this policy were taken into consideration in preparing the RPF. The O.P 4.12 of the World Bank has been compared with the provisions available in the Yemeni laws and gap between the two systems have been identified. This discussion has been supplemented by suggesting additional measures and key recommendations.

E.9The Local Council shall take the responsibility for implementation of RPF at respective local authorities, with assistance from other line local offices of the concerned ministries.

E.10Every effort will be made to avoid land acquisition impacts, or where this is not possible, to minimize displacement and adverse impacts of the projects by examining all available design options. RPF will be implemented in full consultation and participation with project affected people. RPF presents a number of steps including:

A full understanding of project components, particularly those requiring land acquisition

Principles and Objectives Governing Resettlement and Implementation

Legal Framework

Public Participation and Consultation

Disclosure

Planning Procedures and Identification of Impacts

Resettlement Planning

Method and procedures for evaluating asset

Organizational responsibilities and Institutional Framework

The handling of Complaints and Grievances

Funding mechanisms

E.11These steps will ensure that WSSP projects are satisfactorily and efficiently implemented to effectively address social, economic and environmental impacts so that Project Affected Persons (PAPs) are fairly treated if land acquisition and/or resettlement will be required.

E.12Measures/Recommendations

The following are some measures/recommendations that will have to be considered as part of the policy dialogue with the concerned authorities to meet the regulatory gaps between the Yemeni law and Bank Policy:

E.13Loss of land

Fair compensation should be based on full replacement cost.

Compensation in the form of land for land, for those that have been displaced, should be a preferred option. Compensation for other loss of property should be paid as well in line with provisions of this framework

Transitional and shifting allowance support should be given along with compensation

E.14Loss of House/structure

If the impacts include physical relocation, the project includes measures to ensure that PAP should be:

Provided with residential housing, or housing sites which should be of better or at least equal value to the previous site/house. or

Entitled to in-kind compensation or cash compensation at full replacement cost

Provided with shifting allowance during relocation

E.15Loss of Income

Sensitize and discuss with the concerned authority on how the Bank’s policy addresses the issue of loss of income/business. Special focus should be given on livelihood restoration in relevant Resettlement Action Plans including the following:

Assistance for restoring income

Micro-finance support (savings and credit), and other small business development activities

Skill development and training to build their capacities on new vocations.

E.16Squatters

Enforcement of laws to ensure that the rights of the squatters are addressed properly. It should be noted that project affected persons, even if they have no official title to the land they occupy, are entitled to compensation according to OP 4.12.

E.17Tenants

The rights of the tenants must be clarified in laws or by-laws. As per Bank Policy tenant should be entitled for rental allowance and transitional allowance.

E.18Loss of Community Asset

Concerned authority must take care of protection, relocation and replacement of community assets and it must be clarified in laws or by-laws.

E.19Vulnerable Group

Specific attention must be given to any vulnerable groups affected by the project, especially the poor, people below the poverty line, the landless, the elderly, women and children. They should be consulted meaningfully throughout the project cycle and special assistance/allowance to be given to them to improve their socio-economic condition at pre-project level. This process should be carefully documented.

E.20Consultation – Grievance mechanisms

Independent mechanism to address grievances prior to resettlement

The compensation amount should be given prior to start of the project

Affected person/groups should get access to full information about the resettlement process and options for compensation.

Participatory planning and decision making should be applied in resettlement options and compensation

Meaningful information and consultation must be implemented throughout the project cycle

Specific grievance registration and processing mechanism to be put in place.

E.21Monitoring and Supervision

Implementation of Resettlement Plans will be regularly supervised and monitored by PMC. The findings will be recorded in reports to be furnished to the World Bank and PPC. Internal monitoring and supervision by PMC will verify that the baseline information of all PAPs has been collected. An independent agency or agencies will be retained by the concerned Ministry to periodically carry out external Monitoring and Evaluation (M&E) of the implementation of the Resettlement Plans, and suggest any modification in the implementation procedures of RP as necessary to achieve the principles and objectives of this Policy Framework.

E.22Funding

Funds for implementing Resettlement Plans will be provided by the project based on the cost estimated and presented in Resettlement Plans. In case of cost overruns due to unforeseen delays or other circumstances , the concerned ministry / project proponent will be responsible providing necessary additional funds as and when required to cover all resettlement cost.

E.23Resettlement Plans

As indicated above, the various WSSP sub projects have not yet been identified and the number of affected persons is therefore not known. However, as soon as specific sub projects are developed, site-specific Resettlement Action Plans (RAP) containing detailed information about number of people affected, area of land to be acquired and compensation amounts to be paid, will have to be developed. It should be noted that the RAP process must be completed prior to the start of physical works. Subsequent RAPs should be based on the principles outlined in this RPF.

E.24Key recommendations

All efforts should be made to avoid and minimize negative social impacts

PAPs should be informed, consulted and participate in planning, implementation and monitoring resettlement

Spell out clearly a cut-off date to avoid subsequent problems

Undertake a socio-economic study and give particular attention to vulnerable groups

Establish and operationalize fair, quick and transparent grievance redressal mechanism

For poor households and vulnerable PAPs, compensation should be linked with special allowances / assistance to improve their socio-economic conditions at pre-project level

Fair compensation to all PAPs before the start of the project

( 1)

Table of Contents

Chapter 1: Introduction

1.1Background and Information

1.2Objective, Basis and Justification of RPF

1.3Format of Resettlement Policy Framework

( 1)

Chapter 1: Introduction
1.1Background and Information

In order to improve socio-economic condition and combat the water crisis in Yemen, the government has taken several initiatives. The objective is efficient management of scarce water resources in the country and equitable distribution to ensure all round development on a sustainable basis.

Government of Yemen (GOY) produced a National Water Sector Strategy and Investment Program (NWSSIP) in 2004 and a Poverty and Social Impact Assessment (PSIA) of water reforms in 2007 (for the rural water supply and sanitation, groundwater management, and irrigation sub-sectors). The NWSSIP, which is the key policy document of the GOY for the water sector, is currently updated in July 2008.

NWSSIP has provided valuable inputs into Yemen’s Development Plan for Poverty Reduction (DPPR) 2006-2010. This DPPR has also incorporated the objectives of the Agricultural Long-term Plan (AGSIP) 2006-2015, which has significant bearing on issues of rural livelihoods and sustainable water use.

To further strengthen and accelerate the water sector reform strategy of the GOY, the World Bank is preparing a Water Sector Support Program (WSSP) under a sector-wide approach (SWAp) framework, in collaboration with KfW, DFID and the Netherlands. The WSSP will cover four sub-sectors with pro poor focus and will have the following components:

Component 1:Urban Water and Sanitation

This component will address the issues of sustainable water supply and sanitation services in cities and towns with increased coverage.

Component 2:Rural Water Supply and Sanitation

The support program under this component will ensure rapid expansion of water supply and sanitation services in rural communities.

Component 3:Irrigation Improvements

The goal is to achieve increased agricultural production per unit of water used (Water Productivity Improvements), both in terms of quantity and quality. This will be achieved by adopting modern on-farm irrigation technologies throughout Yemen, and will include on-farm agronomic and water saving practices. Improvements in the functioning of irrigation user associations at the canal level and irrigation councils at wadi / basin levels will also be a part of this component.

Component 4:Water Resources Management

The objective of this component is to improve planning, conservation and sustainable allocation of water, keeping in view water related environmental issues and climate change impacts of water resources policy decisions. It will provide support to the Ministry of Water and Environment in its planning and manpower functions and to NWRA in basin planning activities in critical basins.

Component 5:CapacityBuilding

Capacity building has been identified to play a crucial role in all the four components mentioned above. This will address the need for improved institutional capacity of central institutions to develop policies, plans, budgets and regulate the water sector. The component will provide financing from the four components mentioned above for short and medium term training programs primarily for Ministry of Water and Environment (MWE) and Ministry of Agriculture and Irrigation (MAI) and for the central authorities of General Directorate of Irrigation (GDI) , National Water Resource Authority (NWRA), General Authority for Rural Water Supply and Sanitation Authority (GARWSP) and local corporations and will be designed to link with continuing civil services reforms.