Ministry of Agriculture and Livestock
Zambia Agriculture Research Institute
Private Bag 7 Chilanga, Zambia
RP1373 v1
Agricultural Productivity Program
for Southern Africa
Resettlement Policy Framework
Consultant:
Lewis Tumbama Trading as
Greenfield Consult
DRAFT
December 2012
Table of Contents
CHAPTER ONE: INTRODUCTION AND BACKGROUND 1
1.0 Introduction 1
1.2 Project Background 2
1.2.1 National Context 2
1.2.2 The Agriculture Sector 2
1.2.2 APPSA and Centre of Leadership for Food Legumes (CoLFL) 3
1.2.2.1 Overview 3
1.2.2.2 Project Development Objectives 3
1.2.2.3 Project Components 4
1.2.2.3.1 Component 1: Technology Generation and Dissemination. 4
1.2.2.3.2 Component 2: Center of Leadership Strengthening. 5
1.2.2.3.3 Component 3: Coordination and Facilitation. 5
1.2.3 Description of the Area of Influence 5
1.2.4 Rationale for the Resettlement Policy Framework 6
1.2.5 Objective of the RPF 7
1.2.6 Potential Users of the RPF 7
1.3 Methodology 7
1.3.1 Inception Meeting 7
1.3.2 Desk Review 7
1.3.3 Consultations 7
1.3.4 Transect walk 8
1.4 Methodological Constraints and limitation 8
1.5 Organization of the Report 8
CHAPTER TWO: AGRICULTURE AND THE SOCIO ECONOMIC ENVIRONMENT 10
CHAPTER Three: RELEVANT LEGISLATION AND THE WORLD BANK POLICY 14
3.1 The Zambian Legal Framework 14
3.1.1 Constitution of Zambia 14
3.1.2. The Land Act, Chapter 184 14
3.1.3 Land Tenure System in Zambia 14
3.1.4 Land Delivery System in Zambia 16
3.1.5 Lands Acquisition Act Chapter 189 of the Laws of Zambia. 17
3.1.6 The Local Government Act Chapter 281 17
3.1.7 The Town & Country Planning Act Chapter 283 17
3.1.8 The Public Roads Act (2002) 18
3.1.9 The Agricultural Lands Act 18
3.1.10 Arbitration Act No. 19 of 2000 19
3.1.11 Environmental Impact Assessment Regulations of 1997 19
3.1.12 The Zambia Wildlife Act No. 12 of 1998 20
3.1.13 Land Survey Act 20
3.1.14 Land Conversion of Title Act 20
3.1.15 The Forest Act of 1973 20
3.1.16 The Valuation Surveyors Act Cap 207 20
3.1.17 Lands Tribunal 20
3.2 World Bank Safeguard Policy 20
3.3 Overlaps and Gaps between the Zambian Legislation and World Bank PO 4.12 21
3.3.1 Overlaps 21
3.3.2 Gaps 22
3.3.3 Measures to close the Gaps 22
CHAPTER four: POTENTIAL social impacts OF APPSA 24
4.1 Positive Impacts 24
4.2 Negative Impacts 25
4.3 Identification and Categorization of Loss and Impact 25
4.4 Project Affected Persons (PAPs) 25
4.5 Project Affected Persons Categories 26
4.6 Number of PAPs and Potential Relocation Areas 26
4.7 Risks to Involuntary resettlement and mitigation measures 26
CHAPTER FIVE: PREPARING AND APPROVING RESETTLEMENT AND COMPENSATION PLANS 27
5.1 Introduction 27
5.1 The Screening Process 27
5.2 Preparation of Resettlement Action Plans (RAPs) 27
5.3 Review and Submission of the RAP 28
5.4 Disclosure of Social Safeguards Instruments 28
CHAPTER SIX: ELIGIBILITY CRITERIA FOR PAPS, AND COMPENSATION ARRANGEMENTS 29
6.1 Introduction 29
6.2 Eligibility Criteria for Various Categories of Project Affected Persons 29
6.3 Cut-Off Date 30
6.4 Proof of Eligibility 30
6.5 Defining Entitlements and Preparing an Entitlement Matrix 30
6.6 Procedures for Valuation of Acquired Land 32
6.7 Methods of Compensation 33
6.8 Entitlement for Compensation 33
6.9 Arrangements for Compensation 34
6.10 Community Compensation Payments 34
6.11 Procedures for Delivery of Compensation 34
CHAPTER SEVEN: RPF IMPLEMENTATION – INSTITUTIONAL ARRANGMENTS, AND BUDGET 36
7.1 Institutional Arrangements 36
7.1.1 Ministry of Lands 36
7.1.2 Ministry of Local Government and Housing 36
7.1.3 The Ministry of Community Development, Mother and Child Health 36
7.2 Existing Capacities to coordinate and implement RPF 37
7.3 Budget 37
7.3.1 Administrative Costs 37
7.3.2 Compensation Costs 37
7.3.3 RAPs, Planning and Implementation Costs 37
7.2.4 RAPs Monitoring and Evaluation Costs 37
CHAPTER EIGHT: STAKEHOLDER CONSULTATIONS, GRIEVANCE REDRESS AND MONITORING 39
8.1 Stakeholder Consultation 39
8.1.1 Screening and Preliminary Assessments 39
8.1.2 Social and Economic Baseline Census 39
8.1.3 Preparation and Implementation of Resettlement Action Plans 39
8.2 Grievance Redress Methods 40
8.3 Monitoring 41
8.3.1 Arrangements for Monitoring 41
8.3.2 Scope of monitoring 41
8.3.3 Performance monitoring 41
8.3.4 Impact monitoring 42
8.3.5 External Monitoring/ Completion Audit 42
REFERENCES 43
Annex 1: Screening Form 44
Annex 2: Template for the Design of RAPs 46
Annex 3: Outline of a Resettlement Action Plan 50
Annex 4. Categories of likely losses and impacts 52
Annex 5. Sample of possible sub project that would trigger the involuntary resettlement policy with probable social impact 53
Annex 6. Eligibility Criteria for Compensation 54
Annex 7: Entitlement Matrix 55
Annex 8. Method of Valuation 57
Annex 9. Arrangements for compensation 59
Annex 10. Resettlement Schedule 60
Annex 11. Summary of Consultation Process 61
xi
ACRONYMS
APPSA / Agricultural Productivity Program for Southern AfricaESMF / Environmental and Social Management Framework
CCARDESA / Centre for Coordination of Agricultural Research and Development for Southern Africa
CoLFL / Centre of Leadership for food legumes
CSO / Central Statistics Office
DACO / District Agricultural Coordinator
GART / Golden Valley Research Trust
GDP / Gross Domestic Product
MAL / Ministry of Agriculture and Livestock
MoL / Ministry of Lands
MCDMCH / Ministry of Community Development, Mother and Child Health
MFNP / Ministry of Finance and National Planning
MLGH / Ministry of Local Government and Housing
NARS / National Agricultural Research System
NGOs / Non-Governmental Organisations
OP / Operational Policies
PAP / Project Affected Persons
PMP / Pest Management Plan
RCoL / Regional Centre of Leadership
RAP / Resettlement Action Plans
RPF / Resettlement Policy Framework
SADC / Southern Africa Development Community
ZARI / Zambia Agricultural Research Institute
xi
Definitions of Key Terms
S/No / Word/Term / Definition1 / Compensation / Payment in cash or kind for an asset to be acquired or affected by a project at replacement cost.
2 / Cut-off-date / The date after which PAPs will NOT be considered eligible for compensation, i.e. they are not included in the list of PAPs as defined by the socio-economic survey.
3 / Displaced Persons / All the people affected by a project through land acquisition, relocation, or loss of incomes and includes any person, household, firms, or public or private institutions who as a result of a project would have their standard of living adversely affected
4 / Economically-Displaced Persons / Those affected persons who are affected in way
that they lose incomes from crops, land, businesses etc.
5 / Encroachers / Those people who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project.
6 / Entitlement / The range of measures comprising cash or kind compensation, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and relocation which are due to /business restoration which are due to PAPs, depending on the type and degree nature of their losses, to restore their social and economic base.
7 / Full Cost of Resettlement / Compensation based on the present value of replacement of the lost asset, resource or income without taking into account depreciation.
8 / Household / Is the unit which includes all members living under the authority of a household head, they are both family members and other dependents. Under the Land Act, a household would be members of the family whose consent would be required in case of alienation or undertaking any transaction on the family residential land. These members should ordinarily reside on the land. These members typically include the household head, one or several spouses, children and other members of the larger family, tenants, and employee.
9 / Income Restoration / The measures required to ensure that PAPs have the resources to at least restore, if not improve, their livelihoods.
10 / Indigenous peoples / The people indigenous to an area and include ethnic minorities as defined by World Bank Operational Policy on Indigenous Peoples (OP 4.10).
11 / Involuntary Resettlement / Refers both to physical displacement (relocation or loss of shelter) and to economic displacement (loss of assets or access to assets that leads to loss of income sources or means of livelihood) as a result of project-related land acquisition. Resettlement is considered involuntary when affected individuals or communities do not have the right to refuse land acquisition that result in displacement.
· This occurs in cases of: lawful expropriation or restrictions on land use based on eminent domain: and
· Negotiated settlements in which the buyer can resort to expropriation or impose legal restrictions on land use if negotiations with the seller fail.
12 / Land acquisition / The process whereby a person or household is involuntarily alienated from all or part of the land s/he owns or possesses, to the ownership and possession of a project for public purposes, in return for fair compensation.
13 / Land-Owner / An individual/household/institution recognized as owning land either by customary tenure, freehold tenure, or leasehold including customary occupants of former public land.
14 / Market Value / The process of determining market value has sought to establish appropriate compensation figures so that the affected population is able to restore their standards of living to levels “at least as good as or better than” than they were prior to the project.
15 / Physically Displaced Persons / Those affected persons who have to physically relocate because they reside within the land to be acquired for the ROW or encumbered as a result of the Power Project.
16 / Project-Affected Area / Is the area where the Project may cause direct or indirect impacts to the environment and the residents.
17 / Project-Affected Person / Persons who lose assets as a result of the Project,
whatever the extent of the loss; lost assets include land rights, structures, crops, business, access or a combination of those losses; not all Project Affected Persons (PAPs) have to physically relocate as a result of the Project
19 / Project Affected Household / The family or collection of PAPs that will Experience effects from and acquisition regardless of whether they are physically displaced or relocated or not.
20 / Relocation / The physical moving of PAPs from their pre-project place or residence, place of work or business premises.
21 / Replacement Cost / WB policies require that all affected assets (land and structures) are compensated for at their replacement cost. Replacement cost of an affected asset is equivalent to the amount required to replace the asset in its existing condition. The replacement cost of land is its market value. The replacement cost of structures is equal to the cost of constructing/purchasing a similar new structure, without making any deductions for depreciation, and inclusive of the labor cost.
22 / Resettlement Action Plan / The time-bound action plan with budget setting out resettlement strategy, objectives, entitlements, actions, responsibilities, monitoring and evaluation.
23 / Resettlement Impacts / The direct physical and socio-economic impacts of resettlement activities in the project and host areas.
Refers not just to the physical displacement of people, but also covers taking land that results in the relocation or loss of shelter, loss of assets or access to assets, and/or Loss of sources of income or means of livelihood (OP 4.12, paragraph 3)...
24 / Resettlement Policy Framework / A resettlement policy framework is required for projects with subprojects or multiple components that cannot be identified before project approval. This instrument may also be appropriate where there are valid reasons for delaying the implementation of the resettlement, provided that the implementing party provides an appropriate and concrete commitment for its future
Implementation. The policy framework should be consistent with the principles and objectives of OP 4.12 of the World Bank.
25 / Socio-economic survey / The census of PAHs/ PAPs of potentially affected people, which is prepared through a detailed survey based on actual data collected.
26 / Sharecropper / An individual/household occupying land under a private agreement with the owner for purpose of agricultural use.
27 / Tenant / An individual/household/institution occupying land or space in a home under a private agreement with the owner whereby the right of occupancy is paid for in cash to the owner.
28 / Vulnerable / Any people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement i.e.; female-headed households with dependents; disabled household heads; poor households; landless elderly households with no means of support; households without security of tenure; and Ethnic minorities.
xi
EXECUTIVE SUMMARY
This Resettlement Policy Framework (RPF) is for the Zambian Agricultural Productivity Program for Southern Africa (APPSA) which the World Bank intends to finance.
The Agency responsible for the implementation of this RPF is the Ministry of Agriculture and Livestock (MAL). This RPF has been prepared simultaneously with the Environmental and Social Management Framework (ESMF). This RPF is meant for use by the MAL to ensure that the World Bank’s Safeguard OP 4.12 for involuntary resettlement and Zambia’s needs for land acquisition and resettlement are addressed adequately. The ESMF on the other hand stipulates the APPSA mechanisms for screening sub-projects for environmental and social impacts and prescribes measures for mitigating and managing the identified impacts.
Project objective and brief description
The development objective of APPSA is to improve technology generation, dissemination and adoption within and beyond Zambia through enhancing research and development collaboration in food legumes cropping systems through collaboration with other institutions. The Centre of Leadership for food legumes(CoLFL) in Zambia intends to use innovative approaches towards delivering technologies and information to farmers growing food legumes through improving and scaling up, among other things, access by farmers to relevant information and technologies for sustainable food legumes production in Zambia and the entire Southern African region. The APPSA has 3 components namely:
· Component 1: Technology Generation and Dissemination which would support technology generation and dissemination activities associated with Regional Centers of Leadership. This would include research activities targeting the technology priorities defined through regional dialogue and consistent with a regional priority setting study. The component would also support regional dissemination programs or technology transfer sub-projects to link Centers of Leadership to institutions in other countries and enable scaling up of innovations.