Updated Resettlement Policy Framework
RP1430
Updated Resettlement Policy Framework
(RPF)
FOR
FADAMA-III PROJECT AND ADDITIONAL FINANCING (AF).
BY
FEDERAL MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT
PROJECT COORDINATING UNIT
WUSE II, ABUJA.
MARCH 29, 2013.
Table of Contents
ContentPage
Title Page1
Table of Contents2
List of Tables6
List of Figures6
List of Maps6
List of Plates6
List of Boxes6
List of Annex6
List of Acronyms7
Definition of Key Terms9
Executive Summary12
CHAPTER 1 GENERAL INTRODUCTION20
1.1Background 20
1.2Objectives of AF FADAMA20
1.3Involuntary Resettlement Requirements 21
1.4The Need for AF FADAMA RPF 22
1.5Justification for the RFP22
1.6Scope of Work for the Resettlement Policy Framework 22
1.7Main Tasks and Methodology for the RPF22
CHAPTER 2 PROJECT DESCRIPTIONS23
2.0Introduction23
2.1Project Overview and components23
2.1.1 Component 123
2.1.2 Component 2 23
2.1.4 Component 4
Transfer Program23
2.2 Project Location24
2.3Socio-Economic Setting of the Participating States25
2.4Youth Employment Schemes in the States 25
2.5ATA- A Catalyst for Growth and Agricultural Development 25
2.6Lessons Learned and Reflected in the Project Design25
2.7Sustainability25
CHAPTER 3 LEGAL/INSTITUTIONAL GUIDELINES, REQUIREMENTS AND SAFEGUARD POLICIES 26
3.0Introduction26
3.1Land Ownership in Nigeria26
3.2World Bank Policy on Involuntary Resettlement (OP.4.12) 26
3.3Nigerian Law and World Bank OP 4.12 on Compensation– A Comparison26
CHAPTER 4 PRINCIPLES AND OBJECTIVES GOVERNING RESETTLEMENT PREPARATION AND IMPLEMENTATION 28
4.0Introduction28
4.1Involuntary Resettlement28
4.2AF FADAMA and the Principle of Involuntary Resettlement 28
4.3AF FADAMA Sub-Project Implementation Principle29
CHAPTER 5 POTENTIAL IMPACTS OF THE PROJECT30
5.0Introduction30
5.1Project Impact30
5.2Identification and Categorization of Loss and Impact30
5.3Project Affected Persons (PAPs) 30
5.4Project Affected Persons Categories 30
5.5Number of PAPs and Potential Relocation Areas31
5.6Risks to the Success of the AF FADAMA Project31
CHAPTER 6 PREPARING AND APPROVING RESETTLEMENT AND
COMPENSATION PLANS32
6.0Introduction32
6.1The Screening Process32
6.2Preparation of Resettlement Action Plans (RAPs)32
6.3Review and Submission of the RAP 33
6.4Disclosure of Social Safeguards Instruments34
CHAPTER 7 ELIGIBILITY CRITERIA FOR VARIOUS
CATEGORIES OF AFFECTEDPERSONS35
7.0Introduction35
7.1Eligibility Criteria for Various Categories of Project Affected Persons35
7.2Eligibility35
7.3Cut-Off Date35
7.4Proof of Eligibility36
7.5Eligibility for Community Compensation36
7.6Defining Entitlements and Preparing an Entitlement Matrix 36
CHAPTER 8 METHODS FOR VALUING ASSETS39
8.0Introduction39
8.1Organization Procedures for Valuation of Acquired Land39
8.2Method of Valuation39
8.3Methods of Compensation39
8.4Entitlement for Compensation40
8.4.1Arrangements for Compensation 40
8.4.2Community Compensation Payments41
8.4.3Procedures for Delivery of Compensation41
8.5Mechanism for Voluntary Donation of Land: Procedure and Records 41
CHAPTER 9 GRIEVANCE MECHANISMS44
9.0Introduction44
9.1Potential Sources of Grievances for AF FADAMA44
9.2Grievance Redress Mechanism44
9.3Grievance redress process44
9.4Expectation When Grievances Arise44
9.6Monitoring Complaints44
CHAPTER 10 IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT
IMPLEMENTATION TO CIVIL WORKS AND RPF IMPLEMENTATION
BUDGET 49
10.0Introduction49
10.1Important principles in Project Implementation49
10.2Coordinating RAPs and Civil works 50
10.3Implementation process51
10.4RPF and RAP Implementation Budget 51
10.5Sources of Funding51
CHAPTER 11 CONSULTATIONS AND STAKEHOLDER PARTICIPATION53
11.1Introduction53
11.2Objective of the Public participation53
11.3 Identifying Stakeholders53
11.4Mechanism for Consultation and Participation of Displaced Persons 54
11.5Public Consultation for RPF Preparation and Outcomes 55
11.6States Commonalties & Differences 56
11.7Opportunities for Reform 57
11.8Public consultation and the Project Cycle57
11.9Level of Stakeholder Engagement57
CHAPTER 12INSTITUTIONAL FRAMEWORKS58
12.0Introduction58
12.1Institutional Arrangement 58
12.2.Coordination and Implementation of this RPF and
other Resettlement Issues58
12.3Roles and Responsibilities of Relevant Institutions58
12.4Resettlement Activities and Implementation58
12.5Measures for Strengthening Organizational Capability -
Capacity Building and Training61
CHAPTER 13 INCOME RESTORATION STRATEGY 62
13.0Introduction62
13.1Rehabilitation Measures62
13.2Local Labour Recruitment62
13.3Special Assistance62
13.4Gender Issues in Resettlement Plans62
CHAPTER 14MONITORING AND EVALUATION64
14.0Introduction64
14.1Purpose of Monitoring and Evaluation (M & E)64
14.2Indicators64
14.3Arrangements for monitoring by Implementing Agency64
14.4Internal and External Monitoring66
14.4.1Internal Monitoring66
14.4.2External Monitoring66
14.5Monitoring and Evaluation Indicators66
14.6Storage of PAPs details67
14.7Completion Audit 67
14.8Annual audit68
14.9Socio-Economic Monitoring68
List of Tables
Table Page
1Comparison of Nigerian Law and World Bank OP4.12 regarding compensation32
2Indicative Information to be Disclosed, Frequency and Media39
3Relevant Stakeholders and PAPs Identification Matrix54
4Summary of Outcomes of Public Consultation for RPF Preparation 56
List of Figures
FigPage
1AF FADAMA Flow Chart20
2A Process Flow Indicative of Approximate Timing of Some Resettlement Activities51
List of Maps
Map Page
1Nigeria Indicating AF FADAMA Catchment areas28
List of Boxes
Box Page
1Steps in Social Screening Process36
2Typical Processes from RPF Leading to RAP Implementation37
3Basic Elements of RAP including other Relevant 38
Instruments for managing Resources
4Forms of Compensation43
5Compensation Process Steps 43
6Suggested Consultation Process Steps 58
7Roles and Responsibilities of Safeguard Officer 61
List of Forms
Form Page
1A Typical Public Grievance Form49
List of Acronyms
S/No / Acronym / Meaning1 / ARAP / Abbreviated Resettlement Action Plan
2 / BP / Bank Policy
3 / CBO / Community Based Organization
4 / CDD / Community Driven Development
4 / CiS / Corrugated Iron Steel
5 / CSO / Community Support Organizations
6 / EA / Environmental Assessment
7 / EIA / Environmental Impact Assessment
8 / ESMP / Environmental and Social Management Plan
9 / EPA / Environmental Protection Agency
10 / ESIA / Environmental and Social Impact Assessment
11 / ESMF / Environmental and Social Management Framework
12 / FGN / Federal Government of Nigeria
13 / FMENV / Federal Ministry of Environment
14 / IDA / International Development Association
15 / LB / Land Bureau
16 / LGA / Local Government Area
17 / LVO / Land Valuation Office
18 / MDAs / Ministries, Departments & Agencies
19 / MDG / Millennium Development Goals
20 / MIGA / Multilateral Guarantee Agency
21 / MOE / State Ministry of Environment
22 / MoH / State Ministry of Housing
23 / NGO / Non Governmental Organization
24 / NEGIP / Nigeria Electricity and Gas Improvement Project
25 / OD / Operational Directives (of the World Bank)
26 / OM / Operational Manual
27 / OP / Operational Policies (of the World Bank)
28 / OSH / Occupational Safety and Health
29 / PAP / Project Affected Peoples
30 / PID / Project Information Document
31 / PIU / Project Implementation Unit
32 / PMU / Project Management Unit
33 / PPUD / Physical Planning and Urban Development
34 / PWD / Public Works Department
35 / RAP / Resettlement Action Plan
36 / RP / Resettlement Plans
37 / RPF / Resettlement Policy Framework
38 / SA / State Agency
39 / STDs / Sexually Transmitted Diseases
40 / TOR / Terms of Reference
41 / URTI / Upper Respiratory Tract Infection
42 / WB / The World Bank
43 / WHO / World Health Organization
44 / CO2 / Carbon dioxide
45 / GIS / Geographic Information System
UNITS OF MEASURE
1 / ha / Hectare
2 / m / Meter
3 / m2 / Square meter
4 / mm / Millimeter
5 / km / Kilometer
6 / km2 / Square kilometer
7 / t / Ton
8 / yr / Year
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;
(i)Standard of living adversely affected;
(ii) Right, title or interest in all or any part of a house, land (including residential, commercial, agricultural, plantations, forest and grazing land) or any other moveable or fixed assets acquired or possessed, in full or in part, permanently or temporarily adversely affected; or
(iii)Business, occupation, place of work, residence, habitat or access to forest or community resources adversely affected, with or without displacement.
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 dependants. 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:
(i)lawful expropriation or restrictions on land use based on eminent domain: and
(ii)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 for 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.
EXECUTIVE SUMMARY
Introduction
In line with vision 20:2020 and the transformation agenda of the present Administration to reduce Poverty and Unemployment in the country for both skilled and semi-skilled youths; the Federal Government through has sought Word Bank funding to support the Agricultural Transformation Agenda through Federal Ministry of Agriculture and Rural Development, the Commercial Agriculture Development Project and the Third
The overall objective of project isto diversify the Nigerian economy away from the oil sector with its attendant ‘boom and burst’ oil revenue scenarios which often result in unstable government revenues and expenditures. Though the agricultural sector has been the key driver of recent growth in Nigeria through expansion in arable land cultivation, this is unsustainable especially in the light of the likely impact of climate change and growing land degradation and overwhelming widespread poverty and malnutrition. Concerned with this trend, and the low input and productivity that currently characterizes the agricultural sector, the FGN through the ATA is poised at transforming the sector into a high productivity sector capable of reducing poverty, creating jobs, and ensuring national food security. It is in this respect, that the FGN has requested the Bank to support her renewed efforts at revamping the agricultural sector, and changing the perspective of stakeholders about the sector through the staple crops processing zones concept (SCPZs).
The Project will not be national in scope but will be implemented in prioritized SCPZs across the 6 geo- political zones. It is expected to be financed through a Specific Investment Loan (SIL) in an amount of US$200 million over a period of three years.
Project Description
The proposed additional credit will fund part of Federal Government of Nigeria (FGN)’s Agricultural Transformation Agenda (ATA) of transforming the economy through the agricultural sector into an industrialized, high-growth, diversified economy, creating jobs, and wealth and food security. The additional credit will also finance cost associated with scaling up and modified activities of Component IV in order to broaden the development impact of the project, as described in the Project Appraisal Document.
The Additional Financing for the Fadama- III project aims to scale up impacts on the ground and development effectiveness of a well performing Fadama- III project by aligning the project more closely with the new Agricultural Transformation Agenda (ATA) which was adopted by the Government of Nigeria (GoN) in 2011. The additional Financing (AF) will comprise of support for investments in: (i) sustainable common user facilities such as small scale water harvesting structures; (ii) investments and technical assistance to facilitate out grower schemes ; seed multiplication and access to appropriate agricultural machinery; (iii) a competitive grant scheme for demand-driven adaptive and applied agricultural research, extension services and ancillary services; (iv) project management and monitoring and evaluation.
Specifically, the activities to be funded under the ATA will include the Growth Enhancement Support Scheme (GES) meant for the administration of input subsidy on fertilizer and seed to farmers (this fits in well into the Component III of the project & the 50:50 matching grant concept), Farmer’s Field School (FFS) for demand driven extension service delivery, and research and technology development needs for select value chain commodities. Similarly, component IV activities to be scaled up comprise ongoing collaborations with research institutes on technology demonstration and dissemination in response to groups priority needs identified earlier in the course of project implementation, further strengthening of ADP to perform the role of certification of advisory service as well as regulation of quality of inputs. The scaling up of Component IV is essentially to support the expansion of these activities to other participating states and locations not currently benefiting.
Need for RPF
In World Bank-assisted projects, borrowers are expected to take all necessary measures to mitigate adverse social impacts, including those associated with land acquisition. World Bank Operational Policy 4.12, Involuntary Resettlement, provides essential guidance on objectives and principles that are applicable in projects generating land acquisition and resettlement-related impacts. Every reasonable effort is to be made to avoid or minimize the need for land acquisition, and to minimize all resettlement-related adverse impacts. If land acquisition and associated adverse impacts cannot be avoided altogether, the principle /objective of the RPF is to ensure that all persons subjected to adverse impacts (“displaced persons” as defined below) are compensated at replacement cost (as defined below) for lost assets and otherwise provided with any rehabilitation measures or other forms of assistance necessary to provide them with sufficient opportunity to improve, or at least restore, their incomes and living standards.
At this time of project preparation, the sub-projects are not yet identified. Consequently, specific information on the number of sub-projects, site location, local communities, geo-physical land features, nature, etc. are not available. Therefore, a Resettlement Policy Framework (RPF) is required to set out a framework and process for the preparation ofa Resettlement Action Plan (RAP) that will be satisfactory to the World Bank when and if the need arises. This is especially true where land is acquired or persons are displaced from their homes, lands or businesses, or their access to income sources or livelihood is lost.
The main objective of the RPF is to describe and clarify the policies, principles and procedures to be followed in minimizing and mitigating adverse social and economic impacts that will be caused by AF Fadama- III project in the course of implementation especially in implementing the sustainable common users facility component. The RPF serves as a practical tool (e.g. screening checklist) to guide the preparation of Resettlement Action Plans (RAPs) for sub-projects the implementation based on need throughout the lifespan of the project. It is vital to note that for each subproject supported under the Project that involves land acquisition or relocation of people, or a loss of access to income sources or livelihood a separate Resettlement Action Plan (RAP) satisfactory to the Bankis required prior to signing a work order.