REPUBLIC OF UGANDA

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LOCAL GOVERNMENT MANAGEMENT AND SERVICE DELIVERY PROGRAM

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RESETTLEMENT POLICY FRAMEWORK (RPF)

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FINAL REPORT

RP572

July 30, 2007

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TABLE OF CONTENTSLIST OF ACRONYMS

DEFINITION OF TERMS USED IN REPORT

EXECUTIVE SUMMARY

1. INTRODUCTION

1.1 Background1.2 Objectives and Components of the LGDSDP

2.0 Environmental and Social Considerations for the Program Activities2.1 Involuntary resettlement2.2 Basis and Format of the Resettlement Policy Framework

2.3 OBJECTIVES AND JUSTIFICATION OF THE RPF

2.3.1 Objectives of the RPF2.3.2 Justification for the RPF2.4 Legal Framework2.4.1 The Local Government Act 19972.4.2 Land tenure and ownership

3. LAND ADMINISTRATION AND CATEGORIES OF AFFECTED PERSONS

3.1 Jurisdiction of the Framework3.2 Land Ownership in Uganda3.3 Likely Number and Categories of Affected Persons

4. STEPS TO BE FOLLOWED IN LAND ACQUISITION AND RESETTLEMENT FOR THE LGDSDP ACTIVITIES

4.1 The Screening Process4.2 Steps leading to Preparation of the Resettlement Action Plan4.3 Public Consultation and Participation

5. GUIDING PRINCIPLES FOR THE VARIOUS TYPES OF LAND ACQUISITION MECHANISMS

5.1 Previous and Current land Acquisition Practice5.2 Proposed Land Acquisition Mechanism5.3 Voluntary Land Contribution with Compensation5.4 Involuntary Acquisition of Land

6. ELIGIBILITY CRITERIA AND CONDITIONS FOR DISPLACEMENT OF PROJECT AFFECTED PERSONS

6.1 World Bank Criteria for determining Eligibility for Compensation6.2 Procedures for Payment of Compensation6.3 Ugandan Legislation on Compensation

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6.4 Conditions to be followed in Displacement of People7. NOTIFICATION, VALUATION PROCEDURES AND ENTITLEMENTS

7.1 Notification Procedure7.2 Valuation for State Owned Land7.3 Valuation for Customary Land7.4 Calculations for Compensation Payments and Related Considerations7.5 Entitlements for Compensation

8. PROCEDURE FOR DELIVERY OF COMPENSATION

8.1 Consultation and Public Participation8.2 Notification of Land Resource Holders8.3 Documentation of Holdings and Assets8.4 Complaints and Grievances Mechanisms

9. RESETTLEMENT FUNDING

10. INSTITUTIONAL ARRANGEMENTS

11. IMPLEMENTATION PLANS

12. MONITORING PLAN

ANNEX

ANNEX 1: Indicative prices for compensationANNEX 2: Main Contents of the Resettlement Action PlanANNEX 3: Project ScreeningANNEX 4: Contents for Abbreviated Resettlement Action PlanANNEX 5: Terms of Reference

References

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LIST OF ACRONYMS

ARAP : Abbreviated Resettlement Action PlanCAO : Chief Administrative OfficerCBPs : Capacity Building PlansCDD : Community Driven DevelopmentCNA : Capacity Needs AssessmentDPs : Displaced PersonsESIA : Environmental and Social Impact AssessmentESMF : Environmental and Social Management FrameworkESRMFP : Environmental, Social and Resettlement Management Focal PointFINMAP : Financial Management and Accountability ProgrammeGOU : Government of UgandaIFMS : Integrated Finance Management SystemJARD : Joint Annual Review of DecentralisationLDG : Local Development GrantLG : Local GovernmentLGI : Local Government InstitutionLGDP : Local Government Development ProgrammeLGDSDP : Local Government Development and Service Delivery ProgrammeLGSIP : Local Government Sector Investment PlanLLGs : Lower Local GovernmentsMDALGs : Ministries, Departments, Agencies and Local GovernmentsMOFPED : Ministry of Finance Planning and Economic DevelopmentMoLG : Ministry of Local GovernmentNEMA : National Environmental Management AgencyNGO : Non Governmental OrganizationOP : Operational PolicyPAPs : Project Affected persons(s)PCU : Project Coordination UnitPEAP : Poverty Eradication Action PlanPFM : Public Finance ManagementPRSC : Poverty Reduction Sector CreditRAP : Resettlement Action PlanRPF : Resettlement Policy FrameworkWB : World BankTCs : Town ClerkTPC : Technical Planning CommitteeULC : Uganda Land Commission

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DEFINITION OF TERMS USED IN THE REPORT

Unless the context dictates otherwise, the following terms shall have the following meanings:

“Census” means a field survey carried out to identify and determine the number of Project Affected Persons (PAP) or Displaced Persons (DPs). The meaning of the word shall also embrace the criteria for eligibility for compensation, resettlement and other measures emanating from consultations with affected communities and the local government institutions (LGIs).

Project Affected Person(s) (PAPs) are persons affected by land use or acquisition needs of the LGDSDP These person(s) are affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they must move to another location.

“Compensation” means the payment in kind, cash or other assets given in exchange for the acquisition of land including fixed assets thereon as well as other impacts resulting from project activities.

“Cut-off date” is the date of commencement of the census of PAPs or DPs within the project area boundaries. This is the date on and beyond which any person whose land is occupied for project use, will not be eligible for compensation.

“Displaced Persons” mean persons who, for reasons due to involuntary acquisition or voluntary contribution of their land and other assets under the project, will suffer direct economic and or social adverse impacts, regardless of whether or not the said Displaced Persons are physically relocated. These people will have their: standard of living adversely affected, whether or not the Displaced Person must move to another location ; lose right, title, interest in any house, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood.

“Involuntary Displacement” means the involuntary acquisition of land resulting in direct or indirect economic and social impacts caused by: Loss of benefits from use of such land; relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether or not the Displaced Persons has moved to another location; or not. ”Involuntary Land Acquisition” is the repossession of land by government or other government agencies for compensation, for the purposes of a public project against the will of the landowner. The landowner may be left with the right to negotiate the amount of compensation proposed. This includes land or assets for which the owner enjoys uncontested customary rights.

“Land” refers to agricultural and/or non-agricultural land and any structures 5

thereon whether temporary or permanent and which may be required for the Project.

”Land acquisition” means the repossession of or alienation of land, buildings or other assets thereon for purposes of the Project.

Rehabilitation Assistance” means the provision of development assistance in addition to compensation such as land preparation, credit facilities, training, or job opportunities, needed to enable Project Affected Persons and Displaced Persons to improve their living standards, income earning capacity and production levels; or at least maintain them at pre-Project levels.

Resettlement and Compensation Plan”, also known as a “Resettlement Action Plan (RAP)” or “Resettlement Plan” - is a resettlement instrument (document) to be prepared when program locations are identified. In such cases, land acquisition 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 on the people and their livelihoods. RAPS contain specific and legal binding requirements to resettle and compensate the affected party before implementation of the project activities.

”Replacement cost” means replacement of assets with an amount sufficient to cover full cost of lost assets and related transaction costs. The cost is to be based on Market rate (commercial rate) according to Ugandan law for sale of land or property. In terms of land, this may be categorised as follows; (a) “Replacement cost for agricultural land” means the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the costs of: (b) preparing the land to levels similar to those of the affected land; and (c) any registration and transfer taxes; “Replacement cost for houses and other structures” means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures. Such costs shall include: (a) transporting building materials to the construction site; (b) any labor and contractors’ fees; and (c) any registration costs.

“Resettlement Assistance” means the measures to ensure that Project Affected Persons and Displaced Persons who may require to be physically relocated are provided with assistance during relocation, such as moving allowances, residential housing or rentals which ever is feasible and as required, for ease of resettlement.

“The Resettlement Policy Framework (RPF)’ has been prepared as an instrument to be used throughout the LGDSDP implementation. The RPF will be disclosed to set out the resettlement and compensation policy, organisational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the program. The Resettlement Action Plans (“RAPs”) for the LGDSDP will be prepared in conformity with the provisions of this RPF.

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Republic of Uganda

Local Government Development and Service Delivery Program (LGDSDP)

Resettlement Policy Framework

EXECUTIVE SUMMARY

The Government of Uganda requested the World Bank for support for the successor program to the Local Government Development Program II (LGDP II). It is proposed that the successor program will be named the Local Government Development and Service Delivery Program (LGDSDP). It is planned that LGDSDP will finance public services through the Local Development Grant (LDG) from Central Government to LGs. LDG will be used by LGs and communities to finance sub-projects for which they are mandated as provided for under the Second Schedule of the Local Governments Act. It is envisaged that these sub-projects will involve the construction of facilities such as water supply, sanitation, storm water drainage, primary education, primary health care, roads (mostly community access roads and feeder roads), solid waste management and agriculture extension as well as extension of rural electricity networks to communities.

Within the provisions of the LDG, LGs in northern Uganda that have been going through a period of insurgency over the last 20 years will be supported to provide services to the population that has experienced insurgency.

However, the sub-projects of the future program, apart from those for component 1, are demand driven and can only be known once the target group/beneficiaries have known their budget envelope and set their priorities. Hence, at the time of the preparation of the new program now in the offing, these sub-projects have not yet been identified.

Nevertheless, land acquisition, compensation and resettlement of people seem inevitable for certain categories of sub-projects. This is a social issue of critical concern to Government and the World Bank as its impact on poverty if left unmitigated, is negative, immediate and can be wide spread. In addition to putting in place safeguards against environment degradation, Government, LGs and other stakeholders will keep an eye on involuntary resettlement of the people. Hence efforts will be made in the design and screening of sub-projects to avoid impact on people, land and property including peoples’ access to natural and other economic resources. During the design of LGDP II, a Resettlement Policy Framework (RPF) was prepared by Government and approved by the Bank in compliance with the Bank’s safeguard policies, in this case, the Involuntary Resettlement Operational Policy 4.12. This framework sets the

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guidelines for the resettlement plans that would have to be prepared for any sub-project that triggers this policy. This policy is triggered when a sub-project causes the involuntary taking of land and other assets resulting in relocation or loss of shelter; loss of assets or access to assets; and loss of income sources or means of livelihood, whether or not the affected persons must move to another location. The RPF sets out the guidelines for the resettlement plans that would have to be prepared for any sub-project that triggers this policy. The resettlement plans will have to be submitted to the LGs Technical Planning Committee for approval but would also have to be approved by the Bank before the sub-projects are financed.

Hence, during the annual LGs planning process, sub-projects will be subjected to a review, appraisal and approval by the LG Technical Planning committee in respect to displacement and involuntary resettlement of people, loss of assets or access to assets and loss of income sources or means of livelihood.

The Government of Uganda has updated and revised the RPF that will prevail during the implementation of the LGDSDP. This document details the revised RPF.

LGDSDF Project Components

The proposed program has the following components.

Component 1: Public Financial Management Reform.

Objective: To support the achievement of the Government, PEAP/PRSC Economic Management and governance, including anti-corruption outcomes.

Component 2: Support to Local Government Sector Investment Plan (LGSIP)

This component has sub-components which are listed below:

a) Local Development Grant.

Objective: To support LGs with discretionary development grants to deliver quality and sustainable services. This component will devolve capital development funds to LGs to invest in public services as well as in activities which will render LGs attractive and competitive to make them attractive for private investments.

b) Community Driven Development

Objective: To develop and test a mechanism for supporting participatory community driven development through the local government service delivery system. The CDD window will provide a

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platform within the local government system through which support to communities can be channelled.

b) Capacity Building

Objective: To refine and deepen the human and institutional capacity of local governments for effective and sustainable delivery of local services. The design principles of this sub-components are:-

- Capacity building grants,

- Professionalisation of local government management,

- Mainstreaming local government curriculum in institutions of learning.

c) Support to Local Governments in the north

Objective: To strengthen the capacity of local governments in conflict-affected areas for improved service delivery. Specifically, the sub-component would seek to: support and strengthen state presence in conflict affected areas through more visible and effective local government structures; and strengthen the coordination of stakeholders, development partners and NGOs to empower communities to improve their incomes.

Component 3: Institutional and Policy support to MoLG and M&E

Objective: To put in place the requisite capacity and to address issues of an institutional and policy nature identified during the formulation of the LGSIP for implementation of this program.

This component will provide support to central and local governments to continue the deepening of decentralization. This component will also provide focused support to MoLG and the central and local government agencies to assist with the implementation of the activities in this proposed program. The eventual design of this activity will depend to a large degree on the final design of the above components and activities.

Institutional and Legal Framework

The RPF institutional framework for the implementation of resettlement and compensation of displaced people (DP) and Project Affected Persons (PAPs) is based on and will be guided by the existing LG system. The legal framework to guide resettlement and compensation of DP and PAPs will be based on and guided by the Constitution, the decentralisation policy and the laws of Uganda as well as the World Bank safeguard policy on involuntary resettlement (resettlement operational policy 4.12).

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It is important to note that the customary land tenure system that prevailed prior to the independence of Uganda is still valid.

The present laws recognise only:

the national domain; the state domain; the private domain.

There are also various acts and codes in place notably pertaining to:

forests, mining, water, the urban sector.

However the right of use of the land is recognised and presents no conflicts as far as implementation of the program is concerned.

The forest code appears, according to media reports to be posing major problems in reconciling land use, forest conservation measures and major investment programs under consideration by the government.

The mining code may, however pose problems in certain districts given the discovery of petroleum resources in certain parts of the country.

The LGDSDP and it’s sub-projects could be spared any conflicts by implementing the provisions of the ESMF and this RPF.The communities may have to be protected immediately from land speculators by setting cut-off date/s on land acquisition, particularly in high-value resource-endowed areas.

The various laws of Uganda and other provisions of the constitution recognise the right to compensation for loss of land and assets for all categories of persons as embodied in the World Bank OP 4.12. All the categories of persons including non-title deed holders, encroachers and illegal occupants/squatters.

Land tenure systems in Uganda

There are different types of land tenure systems in Uganda namely: Mailo; Customary; Freehold; Leasehold Mailo land tenure

The Mailo land tenure system under the Uganda Agreement of 1900,

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resulted in a total of 9,003 square miles of land in Buganda being shared out among the Protectorate Government, the Kabaka (traditional king), chiefs and notables. Mailo land title is issued in perpetuity.Customary land tenureCustomary land tenure is the oldest from of tenure and can supersede all other forms of land tenure, depending on the particular situation and above all, the length of residency of the occupant.Freehold Land TenureFreehold land tenure is limited to a number of churches and schools, which had established a presence by 1900. Under freehold tenure, the title runs in perpetuity. Normally, no conditions are attached to how much land can be granted to such institutions.

Leasehold land tenurePublic land in Kampala is allocated to the City by the Uganda Land Commission (ULC). The Kampala City Council (KCC) is in turn responsible for leasing land to suitable applicants for development on a leasehold basis. Formal land transfers are regulated and governed by the Urban Authorities Act (1965) and Land Reform Decree (1975). Mailo landowners may also grant leases to various types of developers. Public and private leases typically run for either 49 or 99 years.

Objectives and basic terms of preparation of the RPF

The framework document is designed to enable local government institutions, communities and the bank to address the needs of the populations that could be affected by the program by establishing policies, principles, institutional arrangements for management of issues related to dislocation of persons and livelihoods. indicative budgets. The legislation on resettlement of the government of Uganda and the normes of the World Bank in it’s OP 4.12 will be the instruments that will govern any resettlement arising out of the activities of the program.

Impact, land acquisition and resettlement

Any resettlement of populations will engender: Loss of land ; Loss of housing or commercial business , Loss of economic resources or employment, Marginalisation of the population concerned , A degration of health standards or increased morbidity, Loss of access to natural resources, Disarticulation or disturbance of way of life of affected population, Food shortages.

Acquisition of Land

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The local government authorities as well as local communities are vested with the authority to:

identify the scope of the program, screen the projects as to their potential environmental, social,

economic impacts as well as their potential to cause resettlement and it’s corollaries,

specify the zones of installation or siting of the projects.

The Uganda Government, in it’s various acts, notably those of 1990 and 1999 and the World Bank in OP 4.12 stipulate clearly that any land needed for a project can only be withdrawn from the existing user if equivalent land can be allocated to the category of persons concerned. The land must have the same productive capacity if not better than the original land. No other prejudice, whether economic or moral must be suffered by the displaced entity.

Resettlement

Chart No. 1: Resettlement Impact and Mitigation Creation of poverty Creation of a productive momentum

Without mitigating measures With mitigation and attenuation

Worsening of living conditions of the populations and increased morbidity

Loss of Revenue

Homelessness

Productive re-installation, advice and conversion to more lucrative occupations

Financial Compensation in accordance with the statutes for those with rights, traditional settlers

and precarious occupants

Sensitization Of the populations affected

The host communities

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Execution of the measures to ensure the efficiencyand sustainability of the micro-projects

Displacement of populations prior to project

Installation of Projects after consultations responding to the objectives of poverty alleviation

During the various discussions with government, LGIs, PCU as well as some local communities, the consultant noted the consensus amongst all the actors that the option of resettlement of populations will be avoided to the extent possible but that some loss of land may occur in some cases, notably in some urban and peri-urban areas.

Several mitigating measures should be implemented by the project and the communities in the event of physical population re-location as well as the losses that such relocation will generate, namely:

relocate the people affected to housing equivalent to those they left,

reallocate the people to land equivalent if not better than their land re-possessed,

intensification of the methods of production and diversification of their produce or revenue generating activities outside their lands,

use of the resources created by the project to improve productivity.

For those who may lose employment:

creation of cottage industries and revenue generating activities, promotion of husbandry of small ruminants, promotion of fish farming, weaving, dyeing and other intensive

income generators.

For those who may have assets impacted but not physically relocated. These are people who might loose their productive base, businesses, jobs or other income sources:

income restoration by allowing the PAPs to share in the immediate benefits created by the very project that has affected them,

RESETTLEMENT OF POPULATIONS

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business restoration, etc provide job opportunities and resettle people productively in jobs compensation for assets lost in form of funds or physical assets

(land, structures, etc) elsewhere with the same value or even better

The displaced persons must not suffer any prejudice with regard to access to natural resources and services such as education, water, sanitation, health and other facilities.

The displaced persons, whether individuals, families or communities with certain affinities must be assisted by the program and the communities to reconstruct their livelihoods without any form of alienation, in particular by the host communities.

Principles and objectives governing resettlement preparation and implementation

Displacement zero for the populations of any community is the guiding principle of the program.

Any displacement of persons or assets, loss of access to natural resources and services must be covered by compensation and attenuation of all impacts due to re-installation to an appropriate site.

Resettlement action plan preparation (RAP), review and approval

One of the Safeguard Policies is that of Involuntary Resettlement. Involuntary Resettlement policy applies whenever land is taken resulting in relocation, loss of shelter, loss of assets, or loss of livelihood. Where a need for resettlement has been identified, a Resettlement Action Plan (RAP) must be prepared, agreed and implemented. On the other hand, a Resettlement Action Framework (RAF) is used in cases where needs may be identified in the course of project implementation. The RAPs must reflect faithfully the prescriptions of the RPF in the program’s infrastructure programme where resettlement or loss of assets (land in particular) is expected to occur.

It has been the experience of the consultant, through participation in several seating of boards, that urban and peri-urban zones and land-stressed districts will present the most difficult elements for consideration in the formulation of the RAPs.

A thorough screening process must therefore be adopted in this regard incorporating environmental and social considerations as well as access to services (water and sanitation, health and transport etc).

LGIs at every level should be equipped to carry out the screening exercise, prepare a RAP, undertake the processes and mechanisms for land acquisition and relocation as embodied in the land act of 1998 and world

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bank policies before, as a final resort, invoking the use of the judicial process of litigation.

A matrix of the elements of the screening exercise is shown below.

In cases where no physical relocation of persons takes place, the matrix should bring this out clearly. Where only land is to be acquired, the RAP could take the form of a description of how the acquisition is to be carried out. In the case of loss of assets, the types of compensation, the values and the categories of persons affected will be specified in the RAP.

Estimated population displacement and categories of affected persons

The consultant could not at this stage do an estimation of the number of affected persons. The matrix in annex will bring this out for each sub-project and detailed in the RAP.

Methods of valuing affected assets

Valuation methods for affected land and assets would depend on the type of asset. The four land asset types identified under Uganda law in this policy framework are:

Assets held under Customary law provisionsAssets held under Freehold law provisionsAssets held under Mailo law provisionsAssets held under Leasehold provisions

The PMC’s (the corporate body causing resettlement impact) will compensate for assets and investments , including labor, crops, buildings, and other improvements, according to the provisions of the resettlement and compensation plan. Compensation rates will be market rates as of the date and time that the replacement is to be provided. Under customary law land belongs to chiefdoms, towns and villages. However, because the Bank policy on resettlement and compensation, OP4.12, makes no distinction between statutary and customary rights, not only assets and investments will be compensated for, but also land. Thus, a customary landowner or land user on state-owned land, will be compensated for land, assets, investments, loss of access etc. at market rates at the time of the loss. If payment is delayed by more than six months , an inflation premium, equal to 1% plus the official rate of inflation (using consumer price index, CPI), will be added to the agreed upon sum.

Eligibility criteria for various categories of affected people

To be eligible for compensation for all the categories cited in the paragraph above, one must have:

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property right over a defined area either through a title deed or by immatriculation,

right of use over a defined area and that the right is exercised accordingly and recognised as such,

possession of the area hitherto unused as for example, encroachers and illegal occupants/squatters.

As regards the latter, under Ugandan law, though not entitled to compensation, they should however be resettled in accordance with the prescriptions of this RPF

Any loss of water rights or access should be compensated as well by providing the access and services as shown in the matrices in annex. In order to avoid opportunistic invasion of any project location area, the best cut-off date for compensation should be the date on which an inventory of the site condition begins.

Methods of valuing affected assets

In Uganda, the method of valuing assets is based on the principle of the “market value” as this is a higher amount than replacement cost.

Expropriation or de-allocation of land will result in the payment of compensation calculated on the basis of this value and on the date the asset/land being declared as public utility. The indemnity or compensation can be fixed amicably or through legal procedures and will apply to:

title to the land or right to it’s use, title rights or other rights to structures constructed, non-corporal elements of commercial funds.

In all cases the value of the compensation is estimated at the current market value plus the added value or on the basis of the declared value to the fiscal authorities.

For non-corporal commercial losses, the level of compensation cannot be less than the real benefits over the last year declared to the fiscal authorities prior to the cut-off date for compensation.

These methods of valuing assets appear cumbersome compared to the World Bank normes which are based on the restoration of the assets without depreciation.

As to access to services, clients, suppliers, natural resources which are difficult to evaluate, the Bank tends towards the provision of equivalent sources of revenue that are also culturally acceptable.

Organisational elements and procedures for delivery of entitlements,

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including the responsibility of each sector

The first principle is that the compensation is prior to and total before commencement of any projects. As a prelude, the prejudice caused must be identified. This identification can be carried out by a local an ad-hoc committee composed of:

legitimate representatives of the affected people, population specialists (legal experts on displacements of people

and laws on land tenure, rural economists, sociologists), representatives from Ministries concerned as, including in this case

Local Government and Lands.

This committee should as a priority publicise the location of the project in question, indicating the potential impacts with reference to resettlement or re-installation or loss of assets or access.

The prejudices caused will then be verified in consultation with the affected persons, validated and the nature and scope of any compensation specified in the RAP.

Generic aspects of the implementation schedule, including how resettlement will be linked to the project

The implementation schedule for all the projects is part of the tasks of LGIs. They, in consultation with the committee on resettlement will incorporate all start-up dates for civil works into their schedule with the proviso that no works will commence until full compensation has been effected.

Grievances redress mechanisms

Grievances can usually be redressed depending on the level and the scope of the consultations carried out within the impacted communities before and during the identification of the projects as well as their siting. Once a consensus is obtained on these it generally easy to avoid grievances arising over the consequences of the project as alternatives and compensatory and attenuating measures related to re-installation of persons or assets would have been adequately debated. The use of the community structures and affinities provides therefore the first and best forum for the redress of grievances.

If this mechanism fails to function, the persons affected have in general resorted to arbitration at the level of higher LG authorities that can, in certain cases take administrative decisions.

The affected people can, under all circumstances resort to a legal process for the redress of their grievances. The process can be long and not easily accessible in particular to rural communities.

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Budget and funding arrangements

The Local Development Grant to be extended to LGs under LGDSDP will be discretionary. Hence the decision to invest in a facility will be made by LGs and the communities during the annual planning cycle of the LG system. Therefore, at the time of preparing the RPF the sub-projects were not known and hence no budget and funding arrangements were made for resettlement and compensation. The construction of the office of the Auditor General will take place on public land already housing the Ministry of Finance and hence there will not be any displacement of persons or loss of business and other losses of any kind to people.

Methods for consulting with and participation of affected people

The consultant found that the whole spectrum of sub-projects to be retained would be the subject of intense discussions with the local communities as beneficiaries and likely to be affected in one way or the other. The consensus to-date is that physical relocation of people is unlikely but possible as stated earlier. Loss of agricultural assets may not be avoidable.

The LG councils confirmed it and the communities encountered that the consultation process is permanent from the conception of projects to their localisation. It was evident that no project was retained against the will of the communities visited.

This RPF will be circulated to the communities through the offices of the different levels of LGs and will be the subject of discussions at community level in order to ensure that safeguard policies embodied in the RPF are respected.

Any re-installation of persons or assets shall be specified in the matrices contained in the RPF and which should be reflected in all RAPs required for each project. The RAPs themselves will be prepared after consultations with all stakeholders, particularly with beneficiaries and those persons likely to be affected.

Monitoring arrangements

Monitoring will be carried out by the LGIs in place.

The tables or matrices contained in this RPF should adequately assist in focusing the work of the resettlement committees and local monitors where appointed for this purpose.

In the event of the need for relocation of persons, loss of assets, loss of access to resources and services, the tables in the main report and in

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annex to this summary will be sufficient for the preparation of the RAPs where these are called for.

Tables 2 and 3 show the questions to be answered on the need for relocation and the basic mitigation or attenuation measures required for the displaced persons and their environment at the new re-installation site.

Table 4 should cover the categories of persons that could be affected, the nature of the prejudice caused and should be extended to show the level of compensation due as well as the measures expected to attenuate the hardships engendered by the displacement.

Conclusion

Although the brief of the consultant is to prepare an RPF, it is relevant to state that, at first examination of the spectrum of projects that will be retained by the program and the prevailing methods of consultations with the communities, there is little or no likelihood of any physical and involuntary displacement of people.

The most likely impact of the project is the loss of land for which the communities have adopted measures to avoid this loss to persons or to adequately compensate for such loss.

The communities and the program should agree that no project would commence prior to compensation of those entitled and without economic or moral prejudice to those affected.

Recommendations

a) The creation of ad-hoc committees responsible for problems of resettlement or losses of assets or access is recommended.

b) Prior sensitisation of the communities at the level of conception of the projects will enable them to understand and readily adhere to its execution with all it’s implications better understood. The technical committees should, on formation immediately commit themselves to this task.

c) The training of the elected community and village cadres should be re-enforced to enable them to better participate in screening of the projects as to their consequences.

d) The committees could initiate preliminary socio-economic analyses to assist all communities on matters relating to land tenure, resettlement or re-installation of assets. The LGs could provide the resources for all the training requirements.

e) Grievance redress mechanism at village and community level based on consensus should be the rule to be adopted.

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f) In the event that, in any district or other LG area of Uganda, any physical relocation of persons is deemed necessary, the sites for relocation must be provided with all the services required for their health, education, recreation, shelter and economically viable land for their well being. All mitigating and attenuating measures, including all compensation for losses must be affected prior to displacement.

g) Monitoring of the project implementation and auditing after execution should be systematic.

THE RESETTLEMEN POLICY FRAMEWORK

1. INTRODUCTION

1.1 BACKGROUND

The Government of Uganda’s Poverty Reduction Strategy Papers and Decentralisation Policies included detailed assessments of poverty in the country. It noted that despite being on the increase in urban areas, poverty remains predominantly a rural phenomenon. Income poverty and poor access to education and social services are pervasive, resulting in

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reduced opportunities for human and economic development. Rural communities are particularly hard hit by poverty, due to lack of access to appropriate development resources n apart from narrow agricultural-based livelihood systems. Among the critical interventions discussed in the PRSP and The Local Government Reform Plan is the need to enhance and diversify the level of development and service delivery throughout the country and to expand this to elements of the population, notably, the female gender and those who hitherto, had not had access to resources for self-development irrespective of age or origins.

The Government of the Republic of Uganda, with World Bank support, is preparing a successor program as a follow-up to the first and second projects (LGDP 1 and 11) and this for the period of 10 years with emphasis in some of it’s components on facilities in under-served communities including in the conflict-ridden north.

To ensure that these investments are carried out in an environmentally and socially sustainable manner, the project developed the present Resettlement Policy Framework (RPF). An Environmental and Social Management Framework (ESMF) has been prepared separately.

The objective of this RPF is to provide a legal framework and a screening process for future investment activities. As the exact scope of the investments could not be identified prior to appraisal, the Resettlement Policy Framework (RPF) has been prepared as an instrument to be used throughout the implementation of the investments. The RPF, on disclosure and approval will specify the legal instruments applicable to resettlement and compensation and organizational arrangements required for application of the policy framework.

1.2. OBJECTIVES AND COMPONENTS OF THE LGDSDP The project will evolve in the framework of the Ugandan land Law (Land acquisition and compensation Act, 1998, etc.), which establishes and regulates the Land tenure system in Uganda as well as the World Bank operational Policy OP 4.12 on Resettlement where this policy is triggered by any of the infrastructure investment programmed of the LGDSDP.

The LGDSDP comprises the following components:

The proposed program has the following components, which would be implemented in three phases over a ten-year period.

Component 1: Public Financial Management Reform (an element of FINMAP)

Objective: To support the achievement of the Government PEAP/PRSC Economic Management and Governance, including anti-curruption outcomes by:

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Completion and enhancement of the on going PFM System improvements particularly in relation to the roll out and utilization of the IFMS in Ministries, Departments, Agencies and Local Governments (MDALGs).

Institutional Capacity Building in key PFM functions (MFPED, MoLG, Auditor General’s Offices and MDALG Financial Management Unit) to assess outstanding gaps in structure, staffing and skills development.

The proposed project will support the implementation of portions of the government proposed Financial Management and Accountability Programme (FINMAP) by supporting the further rolling-out and deepening of the IFMS at central government level and by continuing the development and introduction of the Public Financial Management System (PFMS) for local government. The proposed project will enable the government to complete the installation of the IFMS at all central government offices as well as increase the functionality of the system. The proposed project will also continue to support MoLG with the design and implementation of a PFM system for local governments. This PFM will continue to roll-out the IFMS to those HLGs which have demonstrated capacity to utilize and maintain the system. The smaller HLGs, depending on their capacities will receive either a second tier computerized solution or a manual system.

Component 2: Support To Local Government Sector Investment Plan (LGSIP)

(a)Local Development Grant (LDG)

Objective: To increase the share of discretionary development grants to LGs/communities for improved services delivery and community empowerment.

The LDG will provide discretionary development funding to all level of LGs for improved service delivery. All the services to be provided by LGs, as specified under the second schedule of the LG Act, 1997, shall be eligible for funding from the proceeds of the LDG. The implementation of programs from the LDG will use existing LGs structures. The point of entry and coordination of all activities to be funded by the LDG (including those from sectors) will be the LGs three-year development plan and the annual budget. The Technical Planning Committee (TPC) and council will continue their roles in planning and budgeting in a multi-sectoral manner, as is currently the case. The program will strengthen the planning and budgeting process in LGs to be more responsive to community needs and demands through a Community Driven Development (CDD) window. LGs will be assisted to use the LDG for providing the enabling environment to make localities more attractive to private sector investments for the creation of employment opportunities and wealth. (b) Community Driven Development

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Objectives: To develop as test a mechanism for supporting participatory community-driven development through the local government service delivery system. The CDD widow will provide a platform within the local government system through which support to communities can be channeled.

The Government of Uganda has identified the need to increase the participation of communities in local development and empower them to meeting their own services delivery needs. The JARD 2005 recommended increased support to community mobilization and empowerment. The Ministry of Local Government has requested specific support for community driven activities within the successor project to stimulate productive investments at community level and empower communities to meet their service delivery needs, drawing on lessons learned under LGDP II, NUSAF, CHAI and NAAD on improving linkage between local government and communities.

(c) Capacity Building

Objectives: To refine and deepen the human and institutional capacity of local governments for effective and sustainable delivery of local government services.

The design principles of this sub-component are:

Capacity building grants (CBGs): as in LGDP II, CBGs will continue to be transferred to local government on an annual basis. Local governments will be encouraged to continue preparing their Capacity Needs Assessment (CBAs) and Capacity Building Plans CBPs) but with an increased emphasis on (i) Building capacity at the lower local government level(LLGs) such that their staff who are closest to local communities are better able to facilitate interaction between local communities and their local government; (ii) Insurgency affected districts which require special attention, and (iii) ensuring the incorporation of indicators and mechanisms with in the overall M &E system which provide information on future impacts and outcomes of capacity building initiatives.

Professionalisation Of Local Government Management: LGDP II relied on large scale “training” of local government staff to create a wide base of suitably informed as well as skilled local government staff. A natural progression therefore, is to now aim to design and establish a system through which local government staffs are able to seek higher-level sector-specific knowledge and skills through professional “certification”

Mainstreaming Local Government Curriculum In Institutions of Learning: in the long run, such mainstreaming will diminish the need of local government officials in the basics and free resources for the provision of specific higher-level skills as and when required. In addition, with

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enhanced progress of decentralisation, there is a need for the dissemination of research in this area.

(c) Support To The Local Government In The North

Objectives: To strengthen the capacity of local governments in conflict- affected areas for improved service delivery. Specifically, the sub-component would seek to: (i) support Local Governments in conflict affected areas to meet the National Assessment Criteria; (ii) strengthen state presence in conflict affected areas through more visible and effective local government structures; (iii) strengthen the coordination of stakeholders, development partners and non-governmental organisations in the conflict- affected areas; and (iv) support local governments to empower communities to improve their incomes.

Areas of intervention will be identified across the sub-regions in the North. However the package of interventions will need to be tailored based on:

o The intensity of the conflict and level of insecurity (risk profile),o Issues specific to the different sub-regions,o Existing and ongoing intervention ando The level of existing LG capacity and gaps relative to national

assessment criteria (LGDP-I and II).

It was agreed that further analysis and consultations will need to be carried out to identify detailed interventions and activities for this sub-component. However the broad areas of intervention may include: (i) support for the retention of staff in conflict- affected districts; (ii) activities to address capacity building needs in the North, (ii) support for institutional strengthening and (iv) support for urban planning

Component 3: Institutional and Policy Support to the Ministry of Local Government and M&E

Objectives: to put in place the requisite capacity and to address issues of an institutional and policy mature identified during the formulation of the LGSIP. The component will provide support to central and local governments to continue the deepening of decentralisation. This component will also provide focused support to MoLG and the other central and local government agencies to assist with the implementation of the activities in this proposed project. The eventual design of this activity will depend to a large degree on the final design of the above components and activities.

The final design of this component will also depend on the package of institutional and policy support to be provided to MoLG and the local government sector by the members of the DDPG.

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2.0 ENVIRONMENTAL AND SOCIAL CONSIDERATIONS FOR THE PROJECT ACTIVITIES

2.1 Involuntary Resettlement

Chart No. 1 Resettlement Impacts and Mitigation

Creation of poverty Creation of a productive momentum

Without mitigating measures With mitigation and attenuation

Worsening of living conditions of the populations and increased

morbidity

Loss of Revenue

Homelessness

Execution of the measures to ensure the efficiencyand sustainability of the micro-projects

Productive re-installation, advice and conversion to more lucrative occupations

Financial Compensation in accordance with the statutes for those with rights, traditional

settlers and precarious occupants

Sensitization Of the populations

affected The host communities

RESETTLEMENT OF POPULATIONS

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Displacement of populations prior to project

Installation of Projects after consultations responding to the objectives of poverty alleviation

Unmitigated involuntary resettlement arising from development projects often leads to severe economic, social and environmental impacts where:

production systems are dismantled, people face impoverishment if their productive assets or income

sources are lost, people are relocated to environments where their community

institutions and social networks are weakened, kin groups are dispersed, and cultural identity, traditional authority

and the potential for mutual help are diminished or lost.

More important for this RPF, new projects, whose location and technical specifications are not known at the moment, are planned for future implementation.

An environmental and social management framework has been prepared in order to pre-empt and mitigate adverse environmental and social impacts of the LGDSDP infrastructure and socio-economic investment program.

In discussions with project personnel and local government and lands authorities as well as some community leaders, it became evident that, insofar as land acquisition is concerned the prevailing atmosphere has been one of dialogue within and between communities, the local government authorities and previous programs.

The prevailing tendency has been the competition between communities has been to offer voluntarily land in order to attract the projects irrespective of any other considerations.

This dialogue and this voluntary acquisition of land is normally carried out firstly at the lower local government level (sub-counties, parishes and villages). Any compensation process is usually undertaken within the community through this dialogue.

This method of land acquisition will, it is certain continue in the future but, as a word of caution, the off-springs of the elders in the communities, in particular the expatriate elements are beginning to question the rights of their elders to voluntarily give up land in this manner whatever the utility of the land for their communities or the public at large.

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It is evident therefore, in order to avoid any future litigation and in the case of voluntary land acquisition, the consultation process with the communities takes in as broad a spectrum of the communities (including youths and women).

The Resettlement Policy Framework serves to provide safeguards against severe adverse impacts of proposed project activities and proposes mitigation against potential impoverishment risks by:

avoiding displacement of people in the first place or, minimizing the number of Displaced Persons or, adequately compensating the displaced persons for losses incurred

or. adequately addressing adverse impacts of the intended

interventions.

Categories of losses and their impacts on displaced persons

Loss Category Social ImpactsRelocation Impoverishment, disturbance of production systems,

loss of sources of income, loss or weakening of community systems and social networks, loss of access to social amenities such as hospitals and schools, water; dispersion of kin groups, loss of cultural identity and traditional authority, loss or reduction of potential for mutual help, emotional stress.

Loss of land but no relocation

Impoverishment, loss of sources of income and means of livelihood, loss of assets or access to assets, increased time to access resources

Alienation due to neighbors being relocated

Impoverishment, weakening of community systems and social networks, loss of mutual help and community support , loss of traditional authority, loss of identity and cultural survival, emotional stress

PAPs and host communities

Impoverishment, loss of sources of income, reduced time and access to resources such as hospitals and schools, water, increased time to access resources, disruption of social fabric, increased crime, increase in diseases such as HIV/AIDS, clash of cultural and religious beliefs and cultural norms.

2.2 BASIS AND FORMAT OF THE RESETTLEMENT POLICY FRAMEWORK Consultation during the study revealed that the Departments for Lands and Physical Planning have been involved at the national level in resettlement and compensation issues where evaluations have been done by multi-sector committees comprising representation from Housing, Health, Education, Local Government, Agriculture, Energy and Lands authorities. It was learnt that in their payment for compensation.A pricing

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index for a variety of assets, unavailable to the consultant, frequently revised or up-dated was and is still used in these evaluations.

This Resettlement Policy Framework (RPF), to be used for screening of projects in the program has been prepared following the results of the findings from the above and other field investigations. Interviews with local people and officials from various Departments of State, Local Government Offices, Private Sector; and information from some previous studies, reports and documents have been used in preparing this framework. The framework establishes parameters for the conduct of land acquisition and compensation including resettlement of displaced persons (DPs), who may be affected during implementation of the LGDSDP investment activities, particularly for infrastructure, socio-economic activities and conflict-prone activities such as opening land for cattle tracks, fire breaks and roads to cite only these.

The screening process developed in this framework is consistent with the Bank’s safeguard operational policy OP 4.12, for Involuntary Resettlement. This policy requires that all Bank-financed operations are screened for potential impacts, and that the required compensation work is carried out on the basis of the screening results. The framework therefore, while adopting and adapting some of the local experiences and the provisions of local legislation, is based on the World Bank’s Operational Policy (OP 4.12) on involuntary resettlement, which emphasizes the following principles:

Avoiding or minimizing involuntary land acquisition and resettlement, where feasible and exploring all viable alternatives before resorting to involuntary resettlement.

Where involuntary resettlement and land acquisition is unavoidable, assistance and sufficient resources should be provided to the displaced persons with the view to maintaining and/or improving their standards of living, earning capacities and production levels.

Encouraging community participation in planning and implementing land acquisition, compensation and/or resettlement, and provision of assistance to affected people regardless of the legality of their land rights or their title to land.

2.2.1 Format of the Resettlement Policy Framework (RPF)

The Resettlement Policy Framework is presented in the following manner: Chapter 1 provides a brief background of the project related to the

poverty in rural communities in Uganda. The chapter presents the intentions the Government and the World Bank to address the problems. The LGDSDP objectives and components are described and the environmental and social considerations (including the RPF and the ESIA) for the project activities are introduced.

Chapter 2 gives the objectives and justification for preparing the

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RPF, highlighting among other issues, the objectives to address the hardships that could arise from land acquisition and resettlement of people to accommodate the LGDSDP activities. The justification for preparing the RPF is provided in the legal provisions of Ugandan Land Law and other relevant national legislation as well as the World Bank’s OP4.12.

In Chapter 3 Land Administration including land ownership and land tenure systems in Uganda are given. The Chapter also gives the likely categories of affected persons that include ordinary households, individuals and disadvantaged persons.

Chapter 4 introduces the screening process and outlines the steps leading to the preparation of the Resettlement Action Plans, the RAPs

Chapter 5 deals with land acquisition mechanisms for the project activities. It further proposes mechanisms for acquisition of all types including voluntary and involuntary types of land acquisition. The Chapter gives details of information and records to be kept for land acquisition activities.

Chapter 6 deals with the eligibility and conditions for compensating project affected persons by first high-lighting the World Bank’s OP4.12 provisions for eligibility for compensation, resettlement and rehabilitation assistance. The chapter continues with procedures for payment of compensation and makes a comparison, where discerned between the World Bank and Ugandan law regarding compensation. Finally the Chapter gives conditions to be followed in displacement of people

Chapter 7 outlines procedures for notifying the public about intentions to acquire land earmarked for projects. The Chapter also gives procedures for the valuation of assets and calculation of compensation payments.

Chapter 8 provides procedures for delivery of compensation, emphasising the need for public consultation and public participation, notification of land resources holders and documentation of land holding and assets as important aspects. The Chapter provides a procedure for addressing complaints and grievances. Finally the chapter emphasises the importance of signing compensation agreements and the need for transparency and ensuring the presence and participation of all parties concerned when making compensation payments.

Chapter 9 gives the budgetary implications and the funding mechanisms,

Chapter 10 gives the institutional and implementation arrangements, highlighting the roles of each of the institutions in the overall implementation of the compensation and resettlement plan. The chapter further highlights the land acquisition and resettlement process that includes the preparation of resettlement plans, the importance of public consultation and participation in all the activities, the importance of observing key time-frames and the importance of linking resettlement implementation to the civil

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works. Chapter 11 provides for land acquisition and resettlement,

implementation and monitoring plans. The Chapter provides formats for resettlement management plan and monitoring plan.

2.3 OBJECTIVES AND JUSTIFICATION OF THE RPF

2.3.1 OBJECTIVES OF THE RPF

Involuntary resettlement arising from development projects often gives rise to severe economic, social and environmental hardships. The hardships stem from the following reasons among others:

disruption of production systems, affected persons skills being rendered inapplicable in new

environments, increased competition for resources, weakening of community and social networks, dispersion of kin groups loss of cultural identity and traditional authority and loss of mutual help

In most cases, resettlement of people to pave way for development projects is done because the project activities demand land acquisition. Little attention, if any, is given to the welfare of the people affected. The people may be affected because of loss of agricultural land, loss of buildings, loss of access or proximity to water, health and social amenities. Annex 2.1 gives details of categories of losses and their impacts on Displaced Persons.

The objective of this Resettlement Policy Framework (RPF) is to provide a screening process, for any future LGDSDP project activities, to ensure that where land acquisition for project activities is inevitable, resettlement and compensation processes for lost land and associated assets should be conceived and executed in a sustainable manner. This entails providing sufficient investment resources to meet the needs of the persons affected and/or displaced from their habitat and resources. It also requires adequate collaborative consultation and agreement with the project affected persons to ensure that they maintain or improve their livelihoods and standards of living in the new environment.

The Resettlement Policy Framework provides guidelines for development of appropriate mitigation and compensation measures, for the impacts caused by future project activities whose exact locations are not known prior to project appraisal. The RPF is intended for use as a practical tool to guide the preparation of Resettlement Action Plans (RAPs) for sub-project activities during implementation of the LGDSDP.

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2.3.2 JUSTIFICATION FOR THE RPF The LGDSDP’s expected investment activities are not likely to result in the

relocation of people except perhaps in the highly urbanised or land-stressed areas where loss of land and access to economic resources are distinct possibilities given the prevailing customary land tenure system and the land speculation activities now prevalent in these urban and peri-urban areas and likely to extend to the oil-rich regions of Uganda.

This framework therefore is necessary to provide guidelines for addressing concerns of affected persons where:

- land is contributed voluntarily for the development project activities in return for compensation,

- land is contributed voluntarily for development project activities without seeking compensation, and

- land is acquired involuntarily for the development of project activities.

The guiding principle for land acquisition shall be that where land is required for implementation of the investment programme of the education sector, appropriate safeguards shall be observed to avoid or reduce the negative impacts of land acquisition on the affected community members.

This framework shall be used on all LGDSDP project sites with the in-built mechanisms for resolving any forms of disputes on land acquisition. This RPF will apply to all projects implemented that are associated with this project. The RPF is presented in a much more comprehensive manner so as to guide and ensure that all conditions of population dislocation or loss of socio-economic benefits are taken into account during formulation of the RAPs.

2.4 THE LEGAL FRAMEWORK

2.4.1 The Local Government Act 1997

The local Government Act provides for the system of local governments. Administratively, Uganda is divided into five levels of Local Governments whereby each level has statutory functions with respect to participatory development planning.

The five levels are as follows

Local Government Unit Level

District Councils and 5Kampala City Council

County Councils and 4Municipal Councils

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Sub County Councils 3Town CouncilsMunicipal DivisionsCity Divisions

Parish Councils 2

Village Councils 1

There are 80 districts, and each district is subdivided into counties, which in turn are divided into sub-counties/towns followed by parishes and villages. There are 13 Municipal Councils which are subdivided into Municipal Divisions, followed by parishes and villages. There is one city council, Kampala City Council, which is sub-divided into 5 city divisions.

The District Councils, City Councils, Municipal Councils, Sub-county Councils, Municipal Division Councils and Town Councils are Local Governments. The County Councils, Parish Councils and Village Councils are administrative units.

Local Governments are corporate bodies and are charged with the responsibility of providing services, which are stipulated in Part II of the Second Schedule of the Local Governments Act 1997 with the following powers, functions and responsibilities devolved to them;

The powers to prepare, approve and implement their own development plans based

on locally determined priorities.The powers to prepare, approve and implement their own budgets.The powers to raise and utilize their own resources according to their own

prioritiesafter making legally mandated transfers.The powers to make ordinances and by laws as long as they do not

contradict the Constitution and other national laws.The powers to hire, manage and fire their own staff.The powers to manage their own payrolls and separate personnel system.

The two committees with responsibilities identified in this RPF are the Technical Planning Committees (TPCs) and the Project Management Committees (PMCs). The following are their respective compositions and roles:

a) TPC (this is statutory)

Composition – the administrative head of the Local Government and all Heads of

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Departments or sectors within the area of jurisdiction of the Local Government and

the Environmental and Social resource person.

Roles and Responsibilities – Coordinate and integrate all Sectoral Development Plans

and plans of lower local governments; Appraise and screen individual investment

sub-projects before presentation for approval to councils.

b) PMC (this is not statutory)

Composition – Parish and Village executive members, community representatives

from Project Catchment Area, Representatives of project affected persons and one

third of members must be women.Roles and Responsibilities – include providing project site security,

mobilizingcommunity contribution for project implementation, organizing meetings

for project implementation and organizing community operation, management and

maintenance of sub –projects.

2.4.2 Land Tenure and Ownership

Land tenure in Uganda is governed by statute such as the 1995 Constitution, the Land Act 1998 and the Land Acquisition Act 1965.

2.4.2.1 The Uganda Constitution of 1995

Article 237. (1) of the constitution vests all land in Uganda in the citizens of Uganda. However, under Article 237 (1) the government or a local government may acquire land in the public interest. Such acquisition is subject to the provisions of Article 26 of the same constitution, which gives every person in Uganda a right to own property. The constitution also prescribes that land in Uganda shall be owned in accordance with following land tenure systems;

CustomaryFreehold,MailoLeasehold.

It provides procedures to follow during the acquisition of land for public interest and provides for prompt payment of fair and adequate compensation prior to taking possession of land. The constitution is however silent on resettlement and compensation.

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2.4.2.2 The constitution and the land tenure systems

Customary TenureIs governed by rules generally accepted as binding and authoritative by the class of persons to which it applies. That is customary tenure is not governed by written law.Land is owned in perpetuityCustomary occupants are occupants of former public land and occupy the land by virtue of their customary rights; they have propriety interest in the land and are entitled to certificates of customary ownership.Certificates of customary ownership may be obtained, through application to the Parish Land Committee and eventual issuance by the District Land Board

Freehold TenureDerives its legality from the constitution and its incidents from the written law.Involves the holding of land in perpetuity or a term fixed by a condition Enables the holder to exercise, subject to the law, full powers of ownership

Mailo TenureHas roots in the allotment of land pursuant to the 1900 Uganda AgreementDerives its legality from the constitution and its incidents from written lawInvolves the holding of land in perpetuityPermits the separation of ownership of land from the ownership of developments on land made by a lawful or bona fide occupant.Enables the holder to exercise all powers of ownership, subject to the rights of those persons occupying the land at the time of the creation of the mailo title and their successors.

Leasehold TenureIs created either by contract or by operation of the law.Is a form under which the landlord of lessor grants the tenant or lessee exclusive possession of the land, usually for a period defined and in return for a rentThe tenant has security of tenure and a proprietary interest in the land.

2.4.3 The Land Act 1998

Key features of the recognized forms of land tenure in Uganda are:

Customary TenureIs governed by rules generally accepted as binding and authoritative by the class of persons to which it applies. That is customary tenure is not governed by written law.Land is owned in perpetuity customary occupants are occupants of former public land and occupy the land by virtue of their customary rights; they

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have propriety interest in the land and are entitled to certificates of customary ownership.Certificates of customary ownership may be obtained, through application to the Parish Land Committee and eventual issuance by the District Land Board

Freehold TenureDerives its legality from the constitution and its incidents from the written law.Involves the holding of land in perpetuity or a term fixed by a condition Enables the holder to exercise, subject to the law, full powers of ownership

Mailo TenureHas roots in the allotment of land pursuant to the 1900 Uganda AgreementDerives its legality from the constitution and its incidents from written lawInvolves the holding of land in perpetuityPermits the separation of ownership of land from the ownership of developments on land made by a lawful or bona fide occupant.Enables the holder to exercise all powers of ownership, subject to the rights of those persons occupying the land at the time of the creation of the mailo title and their successors.

Leasehold TenureIs created either by contract or by operation of the law.Is a form under which the landlord of lessor grants the tenant or lessee exclusive possession of the land, usually for a period defined and in return for a rentThe tenant has security of tenure and a proprietary interest in the land.

The 1998 Land Act addresses land holding, management control and dispute processing. The Act creates a series of land administration institutions, namely, Uganda Land Commission (ULC), District Land Boards (DLB), Parish Land Committees (PLC) and District Land Tribunals (DLT). Section 78 of the Act gives valuation principles for compensation, i.e. compensation rates to be yearly approved by DLBs. The basis for compensation is depreciated replacement costs for rural properties and market values for urban properties.

Article 75 of the Land Act 1998 and Article 243 of the 1995 Constitution creates District Land Tribunals with jurisdiction to determine disputes relating to the grant, lease, repossession, transfer or acquisition of land by individuals, the ULC or other authority with responsibility relating to land; and the determination of any disputes relating to the amount of compensation to be paid for land acquired. Article 77 (e) of the Land Act 1998 gives power to the DLTs to determine any other dispute relating to land under this act. Article 88 (1) of the act stipulates that an appeal shall lie from the decision of a DLT to the High Court.

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Article 89 of the Land Act 1998 also recognizes the right of traditional authorities to determine disputes over customary tenure or acting as a mediator between persons who are in dispute over any matters arising out of customary tenure.

2.4.4 The Acquisition Act (1965) This act makes provision for the procedures and method of compulsory acquisition of land for public purposes whether for temporary or permanent use. The Minister responsible for land may authorize any person to enter upon the land and survey the land to determine its suitability for a public purpose. The Government of Uganda is supposed to pay compensation to any person who suffers damage as a result of any action. Any dispute as to compensation payable is to be referred to the Attorney General or court for decision.

The Land Acquisition Act does not go beyond compensation. It is not required under the Act to provide alternative land for the affected people by the project. Once they are promptly and adequately compensated, then the obligations stop there. The GOU, through the Ministry of Lands, Water and Environment, will pay the compensation to the affected persons.

This act also sets out the legal process for payment of compensation.

There is no requirement or provision in the law that people need to be moved or that alternative land be made available. Each affected person entitled to be compensated, on receipt of his/her compensation is expected to move and has no further claim.

2.4.6 Land Tenure and Property Rights

Mailo landThe Mailo land tenure system under the Uganda Agreement of 1900, resulted in a total of 9,003 square miles of land in Buganda being shared out among the Protectorate Government, the Kabaka (traditional king), chiefs and notables. Mailo land title is issued in perpetuity.Customary land tenureCustomary land tenure is the oldest from of tenure and can supersede all other forms of land tenure, depending on the particular situation and above all, the length of residency of the occupant.Freehold Land TenureFreehold land tenure is limited to a number of churches and schools, which had established a presence by 1900. Under freehold tenure, the title runs in perpetuity. Normally, no conditions are attached to how much land can be granted to such institutions.

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Leasehold land tenurePublic land in Kampala is allocated to the City by the Uganda Land Commission (ULC). The Kampala City Council (KCC) is in turn responsible for leasing land to suitable applicants for development on a leasehold basis. Formal land transfers are regulated and governed by the Urban Authorities Act (1965) and Land Reform Decree (1975). Mailo landowners may also grant leases to various types of developers. Public and private leases typically run for either 49 or 99 years.

Property rights and the land tenure systems provide equal incentives to all Ugandan groups for improved land management. The State Lands Act of 1998 and the Land Acquisition and Compensation Act, 1999, which take care of land tenure and property rights has a cautious land acquisition plan.

The Resettlement Policy Framework draws its strength from local legal instruments that exist in Uganda. specifically the Land Acquisition and Compensation Policies recognises, among others:

- the acquisition of the right of land use and benefit by customary occupancy in good faith,

- the acquisition of the right of land use and benefit through the official channels or immatriculation,

- the rules governing protected zones, - the relationship between the public and the land authorities, and - the rights and obligations of title holders.

2.4.7 WORLD BANK POLICIES

The World Bank’s Safeguard Policy OP 4.12 applies to some components of the program and to all economically and /or physically project-displaced persons, regardless of the number of people affected, the severity of impacts and the legality of land holding. Particular attention should be given to the needs of vulnerable groups especially those below the poverty line, the landless, the elderly, women and children, indigenous groups, ethnic minorities and other disadvantaged persons.

The Bank’s Policy requires that the provision of compensation and other assistance to Project Affected Persons is carried out prior to the displacement of people. In particular, repossession of land for project activities may take place only after compensation has been paid. Resettlement sites, new homes and related infrastructure, public services and moving allowances must be provided to the affected persons in accordance with the provisions of the Bank’s policies and incorporated into all Resettlement Action Plans.

The policy encourages participation of the affected persons in the planning and preparation of Resettlement Action Plans. It also offers the

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impacted persons an opportunity to improve their living standards.

2.4.7.1 Comparison between Land Law in Uganda and Bank OP4.12

Whereas the law relating to land administration in Uganda is wide and varied, entitlements for payment of compensation are essentially based on the right of ownership. The Bank OP 4.12 is fundamentally different from this, and states that affected persons are entitled to some form of compensation whether or not they have legal title if they occupy the land by a specified cut-off date. The higher of the two standards will be followed in this policy framework, since that procedure also satisfies the requirements of the lesser standard.

Comparison of Ugandan Law and World Bank Op 4.12 Regarding Compensation

Category of PAPs and Typeof Lost Assets

Ugandan Law World Bank OP4.12

Mitigation measures

Land OwnersCash compensation based upon market value under statute. Land for Land

Recommends land-for-land compensation. Other compensation is at replacement cost.

Na

Land TenantsEntitled to compensation based on the amount of rights they hold upon land under relevant laws. Illegal tenants are not entitled to compensation

PAPS are entitled to some form of compensation whatever the legal/illegal recognition of their occupancy.

Design projects to avoid resettlement or minimize displacement of people e.g. siting and routing of Program activities will try to avoid land held by illegal tenants.

Dialogue with policy makers will be initiated to explore the possibility of giving

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compensation to illegal tenants

Land Users

-In some cases land users have some form of secured tenure extended to them under new laws. In other cases land users are not entitled to compensation for land. -Entitled to compensation for crops and any other economic assets. -Land for Land

Entitled to compensation for crops, may be entitled to replacement land and income must be restored to at least pre-project levels.

Design projects to avoid resettlement or minimize displacement of people e.g. siting and routing of Program activities will try to avoid land held by illegal tenants.

The program will have a strategy for enabling the PAPs restore their incomes to at least pre-project levels

Dialogue with policy makers will be initiated to explore the possibility of giving compensation to all illegal tenants

Owners of Temporary Buildings

Cash compensation based on market value or entitled to new housing on authorized land under government (state or local) housing programs.

Entitled to in-kind compensation or cash compensation at full replacement cost including labor and relocation expenses, prior to displacement.

Dialogue with policy makers will be initiated to explore the possibility of including labor and relocation expenses prior to displacement

Owners of Permanent buildings

Cash Compensation is based on market value.

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

Dialogue with policy makers will be initiated to explore the possibility of including labor

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labor and relocation expenses, prior to displacement.

and relocation expenses prior to displacement

Perennial Crops

Cash compensation based upon rates calculated as an average net agricultural income.

As per specifications of this RPF, once approved by the Bank and disclosed at the Bank info shop,

Na

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3. LAND ADMINISTRATION AND CATEGORIES OF AFFECTED PERSONS

3.1 JURISDICTION OF THE FRAMEWORK

In implementing this framework, the following will apply: all land acquisition, including voluntary land contribution will be

compensated, compensation shall be limited to valuations made after the cut-off

date. compensation for existing infrastructure shall be limited to new land

acquired for extensions and rehabilitation of these infrastructures and related services,

all land conflicts shall be resolved in a transparent manner and in a manner that is not coercive. Attempts shall be made to resolve conflicts at the village, traditional authority or district level. Where this is not possible, recourse can be had at State legal institutions on land ownership in Uganda.

3.2 General Land Acquisition, Title, Transfer and Term of Ownership

Land acquisition in Uganda may be achieved through:- occupancy by individual persons and by local communities, in

accordance with customary norms and practices, which do not contradict the Constitution,

- uninterupted occupancy by individual nationals who have been using the land in good faith for at least twelve years before 1995 and,

- authorization on the basis of an application submitted by an individual or corporate person in the manner established by the Land Law on immatriculation.

The Land Law stipulates that a land title shall be issued by the Lands Department. However, the absence of title shall not prejudice the right of land use and benefit acquired through occupancy. The application for land title shall include a statement by the local administrative authorities, preceded by consultation with the respective communities, for the purpose of confirming that the area is free and has no occupants. Title to local community land shall be issued in a name decided upon by the community and individual men and women who are members of the local community may request individual titles after partitioning community land.

The right of land use and benefit can be proved by presentation of the respective title; testimonial proof presented by members, men and women of local communities and by expert evidence and other means permitted by law.

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Among other modes of land transfer, the Land Law permits the transfer of land by inheritance, without distinction by gender. The right of land use is not subject to time limit for the following cases: (i) Where the right was acquired by local communities through occupancy; (ii) Where it is intended for personal residential purposes and; (iii) Where individual nationals intend it for family use.

3.3 Likely Number and Categories of Affected Persons

At the time of doing this study, details and extent of the projects’ activities that will take place were not known. Hence the likely numbers of persons who may be affected and displaced during implementation of the LGDSDP project activities could not be accurately estimated. However, the Project Affected Persons (PAP’s) or the persons likely to be displaced economically or physically can generally be categorised into the following main groups.

a) Affected HouseholdsA household will be affected if one or more of its members are affected by the Education Project activities. This will be either in the form of loss of property, land or access to services or socio-economic resources.

Affected household members will include:- any member of the household whether men, women, children,

dependent relatives, friends and tenants,- vulnerable individuals who may be too old or ill to farm or perform

any duties with the others,- members of the household who are not residents because of cultural

rules, but depend on one another for their livelihood,- members of the household who may not eat together but provide

house keeping or reproductive services, critical to the family’s maintenance,

- other vulnerable people who cannot participate, for physical or cultural reasons; in production, consumption, or co-residence.

- disabled people who may be attached to a particular service center.

In general, the local families live in farm families that co-reside sharing production, consumption and domestic farming services on a regular and continuous basis. However, compensation should not be limited to people living together to the exclusion of those who may not be in residence with the rest of the family, for reasons such as polygamy.

The affected households– A household is affected if one or more of its members is

affected by sub-project activities, either by loss of property, land, loss of access, or

otherwise affected in any way by project activities. This provides for:

- any members in the households, men, women, children,

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dependent relatives and friends, tenants, vulnerable individuals who may be too old or ill to farm along with the others; - Opposite sex-relatives who cannot reside together because of

cultural rules, but who depend on one another for their daily existence.

- Opposite-sex relatives who may not eat together but provide housekeeping, or reproductive services critical to the family’s maintenance, and

- Other vulnerable people who cannot participate for physical or cultural reasons in production, consumption, or co-residence.

In the local cultures, members of production, consumption, and co-resident groups form overlapping, often incongruent sets of people who may exchange domestic or farming services on a regular basis even though living separately.

Compensation 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, among polygamous groups, each wife has her own home.

b) Vulnerable Households One of the objectives in the decentralization policy of Uganda targets

empowering women by removing restrictive practices on women's participation in

decision-making processes that affect them. Additionally because of the sporadic

activities of the rebel group, the LRA, there may be some internally displaced people,

from northern Uganda. Therefore, particular attention will be paid to impacts on vulnerable members of these communities such as women, children and

internally displaced people;

c) Internally displaced Persons These are people who had to flee their homes as a result of rebel atrocities committed against their communities and are now virtually refugees in their own country and have not returned. They may be dependent on the NGO community and others for support. Particular efforts are to be made not to negatively impact these people where possible, but when unavoidable, efforts will be concentrated on post-compensatory measures such as opportunities to participate in project activities.

d) Internally Displaced Orphaned Children Despite the Laws of Uganda and those of the International Labor Organization (ILO) and other organizations, children, especially orphaned children or children separated from their parents, remain particularly

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vulnerable to forced employment and associated health and safety hazards. They participate in income generating activities such as fetching of water, artisanal mining, etc.. If they are impacted by this project in a way that means they have to be physically relocated, their compensation cannot be in cash. Instead, efforts will be geared towards enrolling them in a UNICEF-funded program or registration with other children’s charities that are operating in Uganda today, for rehabilitation. Their compensation could take the form of paying for their rehabilitation and training to acquire useful vocational skills.

e)Women Women may depend on husbands, sons, brothers or others for support. In many cases too, women are the main breadwinners in their households, yet in some communities in Uganda, women cannot own land. Also, as mothers and wives, they need access to health service facilities. Women are central to the stability of the household. They will not be resettled in a way that separates them from their households as the very survival of their households depend on them. Furthermore, the decentralization policy of Uganda recognizes the plight of women and seeks to encourage employment and the involvement of women in decision-making. Their compensation must take into account all these factors.

The needs and problems of the women are likely to be different both in character and magnitude than those of men, particularly in terms of social support, services, employment and means of survival. On of the roles of women in Uganda is to provide food and other services like water and firewood. They are the major tillers of land and many especially the urban dwellers earn their living from selling of produce and other food stuffs in markets. Hence the women will face more difficulties than the relocated men in finding and opening up land for cultivation as well as in re-establishing markets and other trade. Women in subsistence communities often depend on forest resources for basic needs such as food, fuel and animal forage. These would need replacement. Female heads of households are eligible for the same benefits as their male counterparts but they would need special attention if they lack resources, educational qualifications, skills, or work experience compared to men t

Elderly The elderly people farm or engage in other productive activities as long as they are physically able to. Their economic viability does not depend on how much land they farm or how much they produce because, by producing even small amounts of food to “exchange” with others, they can subsist on cooked food and generous return gifts of cereal from people such as their kith and kin and neighbors. Losing land will not necessarily affect their economic viability. They will have cash or in-kind replacements to exchange. For future production they need access to only a small parcel of land. What would damage their economic viability is resettlement that separates them from the person or household on whom

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they depend for their support. The definition of household by including dependents avoids this.

Voluntary Land Contributors1 Under LGDP I and II there were instances when individual members gave land voluntarily. Particular attention will be paid to ascertain that these contributions were indeed voluntary and free from all pressures from society and free from fear of prosecution, marginalization or stigmatization. All persons or groups affected by this must be monitored even where contributions are voluntary to ascertain whether they have not been or likely to be affected such that they are left poorer or livelihoods affected without course for compensation. Sometimes land is given “voluntarily” because people do not want to be seen as or accused of, holding back community development.

These household types are not mutually exclusive, so that the elderly may be internally displaced persons, and women be affected individuals.

LAND CUSTOMARY LAND USERS WITHOUT A FORMAL TITLEThese are the indigenous groups and are usually peasant farmers or pastoralists who may have customary rights to the land and other resources taken from the project. These people usually have ancestral customary rights to regulate collective common property and have open access to common grazing land, fishing areas, forest and grassland resources for subsistence and cash incomes. The LGs should take into consideration the affected people in this category and work out a compensation and resettlement package for them.

The Land owner (s)These will loose agriculture land, living quarters plot, structures, valuable crops and income generating activities.

1 Land contributions can be voluntary only when alternatives are possible, i.e., a school, or clinic, or road that could be sited in any of a number of places. By contrast, infrastructure that requires specific, unalterable conditions (i.e., a fish pond in a depression, a small reservoir for water supply) cannot be re-sited; therefore, the land acquisition is considered involuntary. Voluntary land contributionsare expected to meet the following criteria, which will be attached as a completed format to the sub-project proposal:The infrastructure is not site-specific.The impacts are minor, that is, involve no more than 10 percent of the area of any holding and do not require any

physical relocation.The land required to meet technical project criteria is identified by the affected community, not by line agencies or

project authorities. (Nonetheless technical authorities can help ensure that the land is appropriate for project purposes, and that the project will not produce health or environmental safety hazards).

The land in question must be free of squatters, encroachers or other claims or encumbrances.Verification (e.g., notarized or witnessed statements) of the voluntary nature of land donations must be obtained

from each person donating land.If any loss of income or physical displacement is envisaged, verification of voluntary acceptance of community-

devised mitigatory measures must be obtained from those to be adversely affected.If community services are to be provided under the project, land title is vested in the community, or appropriate

guarantees of public access to services must be given by the private titleholder.Grievance mechanisms are available.

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The affected with business enterprisesAnother category of people is that of owners of commercial plots, structures used in commercial and industrial activity. It also include business persons and artisans occupying or renting the commercial premises.

Squatters and EncroachersThere are may be some cases of squatters (on unused urban or rural land) and encroachers on forest and farmland. The program will allocate some resources to rehabilitate the squatters and the encroachers.

The very PoorThe poorest people in a community e.g. those with very small land holdings may loose their viability after land acquisition and require full income restoration. The challenge for the very poor may be to identify sustainable living and income-generating options that are acceptable and workable for them. A social preparation phase can help to build the capacity of the very poor over a period of time to help them to identify problems, constraints and possible solutions.

The host populationThere could be adverse impact on the host population due to development of resettlement sites

IndividualsThese fall under the above mentioned categories but affected individually. Others are the tenants who will loose contract on farming or leasing and share of crops. There will also be those who will loose homes occupied with the permission of the owner or those who are illegal.

The categories given above may not cover all types of affected persons. In addition, the categories are not mutually exclusive. It is important therefore that the LGDSDP project activities should have well prepared and comprehensive resettlement action plans that would be specific and comprehensive enough to benefit all the categories of affected persons, through the following and other actions as may be appropriate:

- quick decisions and rapid action on the RAPs’ to assist the affected persons in a timely manner,

- individual and collective consultations should be expedited at the conception of the project locations,

- the affected persons should be given the opportunity to participate or to work in the project activities,

- alternative subsistence farming plots should be identified, surveyed and developed and made available to those losing land,

- compensation for loss of crops and trees should be determined prior to re-location or construction and paid accordingly,

- rehabilitation support, where appropriate, should be given to those moved from their land during relocation and re-establishment,

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- resettlement should be aimed at improving their livelihoods,- monitoring of the RAP’s to ensure that resettlement and compensation

has improved the quality of life of all the affected persons , in comparison with their pre-resettlement conditions and,

Technical and financial assistance should be made available to them should they wish to use the grievance mechanism stipulated below.

4. STEPS TO BE FOLLOWED IN LAND ACQUISITION AND RESETTLEMENT FOR THE LGDSDP INVESTMENT ACTIVITIES

Implementation of the program investment activities, particularly the infrastructure and related services may include construction of new schools,health centres,roads, water and sanitation facilities and the expansion/protection /rehabilitation of these existing structures. These activities may require land acquisition, leading to people’s denial or restriction of access to land resources, services and social amenities. In this case, resettlement action plans, consistent with OP 4.12 and the resettlement policy framework, must be prepared.

4.1 The screening process

Once the list of LGDSDP’s activities is known, the process for land acquisition and resettlement must start with the screening process (identification and analysis) of possible and alternative sites for project implementation.

During screening and indeed during all the other planning and preparatory activities, there must be adequate consultation and involvement of the local communities and the affected persons. Specifically, the affected persons must be informed about the intentions to use the earmarked sites for the projects. The affected persons must be made aware of:

a. their options and rights pertaining to resettlement.b. specific technically and economically feasible options and

alternatives for resettlement sites.c. proposed dates for displacement or land repossession.d. effective compensation rates at full replacement costs for loss of

assets and servicese. proposed measures and costs to maintain or improve their living

standards. f. Grievance procedure

4.2 STEPS LEADING TO PREPARATION OF THE RESETTLEMENT ACTION PLAN

The screening process is a very important component of several activities that contribute to the preparation of the Resettlement Action Plans (RAPs). Preparation and submission of the Resettlement Action Plan to the relevant local government authorities and World Bank comprises the following steps:

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- Step 1: The project investment activities to be undertaken and the locations of the investments will undergo preliminary evaluation on the basis of the objectives of the project.

- Step 2: The LG will approach the communities impacted through the local government authorities with the view to arriving at a consensus on possible sites for the type of facility to be adopted.

- Step 3: The Local Communities authorities (village councils, parish/sub-county,county and district development committees) will undertake their inter-communal consultations in order to arrive at a possible siting of the facility.

- Step 4: The environmental and social screening process in conformity with the provisions of the ESMF and the RPF screening process as contained in table nos. 1and 2 in this framework document.

The process will determine: whether any resettlement will be required at the chosen

site and if so whether alternative sites are available, whether any loss of land, assets or access to economic

resources will occur or whether any of the world bank operational policies will be

triggered.

- Step 5: On the basis of analysis of the matrix emanating from the two screening processes a final selection of the optimum site presenting the least negative environmental and social impacts including resettlement /loss of assets can be made.

- Step 6: Where resettlement or loss of assets cannot be avoided, the provisions of the World Bank’s OP 4.12 will be applied and RAP prepared.

From this point, the provisions of this RPF will be utilised up to payment of the compensation package including resettlement support where appropriate.

The costs associated with this resettlement or relocation will be included in the RAPs for all the investments.

4.3 Public Consultation and Participation

Projects involving the community owe their success to community participation and involvement from planning to implementation. Hence public consultations through participatory rural appraisal shall be mandatory for all projects requiring land acquisition, compensation and resettlement for the LGDSDP Investment activities.

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The aim of public consultations at this stage would be to:

disseminate concepts for proposed projects with a view to provoke project interest amongst communities.

determine communities’ willingness to contribute in kind towards the implementation of the project.

5. GUIDING PRINCIPLES FOR THE VARIOUS TYPES OF LAND ACQUISITION MECHANISMS

5.1 PREVIOUS AND CURRENT LAND ACQUISITION PRACTICE

While the land acquisition practice may have had its merits, some landowners were disadvantaged and made poorer. Also, the vulnerable people were disadvantaged because they did not have a say in the land acquisition process. The situation was aggravated by lack of capacity on the part of landowner(s) or vulnerable groups to forward their grievances to those responsible, including the courts of law to address their grievances.

Currently in Uganda, there is growing awareness of the obligations on the part of project funding agencies, project implementers as well as the public and the government , particularly on the need for fair practices in land acquisition, payment of compensation and resettlement.

5.2 PROPOSED LAND ACQUISITION MECHANISM

This Resettlement Policy Framework, for the proposed LGDSDP activities advocates all measures to eliminate or minimize the impacts of physical and economic displacement of people. Therefore when the acquisition of land is required, the project shall: initially endeavor to utilise available freehold or public land, seek voluntarily donated land, sufficient for the purposes of the project, negotiate acquisition of land suitable for implementation of the project

activities using agreed compensation plans and only as a last resort, acquire land through involuntary means following the provisions

outlined in this RPF.

The local government authorities, the communities concerned and the PAPs shall be consulted, clearly explaining the purpose of the acquisition, the area of land required and the owner’s right to resettlement and compensation without any economic or moral prejudice.

In the case of customary land, apart from implicating the local government authorities, the community leaders such as chiefs and a broad spectrum of the community, including youths and women should be party to any consensus to the acquisition of land and the modalities envisaged.

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Whatever the consensus arrived at the provisions of this RPF and the World Bank operational policy OP 4.12 shall be applied.

The institutional framework for application of this consensus or any litigation thereof is discussed further in this document.

In this regard the institution charged with piloting the land acquisition shall consign in a record:

o the land to be acquired,o names of the owners and occupiers of that land as far as they

can be ascertained; or in the case of customary land the name of the land owner who is the holder of the right over the land as ascertained by the community,

o identify local community leaders/representatives to assist in the process of land acquisition,

o assess magnitude of impacts relative to the need for resettlement and/or compensation and valuation of assets to be compensated for,

o establish financial records showing the costs of relocation and compensation, the beneficiaries and indicating how these costs were arrived at.

o information on households or individuals eligible for relocation to their socio-economic standing (incomes, production material assets, debts etc) ,

o details of the relocation site(s) in response to the exigencies contained in table 2,

o details of resettlement after-care and assistance, where appropriate,

o available employment opportunities for the PAPs in the project activities.

These records shall be retained as annexes to the RAPs with copies detained by the local government authorities.

5.3 VOLUNTARY LAND CONTRIBUTION WITH COMPENSATIONVoluntary Land Contribution with Compensation refers to cases where individuals or community land owners agree to provide land for project-related activities, in return for negotiated compensation.

Note: Voluntary Land Contribution without Compensation is not recommended, because the experience has shown that opening up this venue either leads (i) to elitism or to (ii) forced contribution from the most vulnerable groups or persons. To avoid this elitism, abuses of vulnerable groups, and delays in projects, it is preferable to compensate all land acquisition for project activities.

5.4 INVOLUNTARY ACQUISITION OF LANDInvoluntary acquisition of land and assets thereon including resettlement

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of people, unless absolutely necessary, shall be avoided.

In particular, acquisition of sites of spiritual or cultural/historical significance should not be tolerated.

Where involuntary land acquisition is unavoidable then it shall be minimised to the greatest extent possible.

The Displaced Persons shall participate throughout the various stages of the planning and implementation of the land acquisition, compensation and resettlement plans and processes. Prior to the preparation of the Resettlement Action Plans, the persons to be displaced shall be informed of the provisions of this Framework and their entitlements at public meetings.

The Lands Law Legislation sets out in detail, the procedures for the acquisition of customary land and freehold land by Government.

6. ELIGIBILITY CRITERIA AND CONDITIONS FOR DISPLACEMENT OF PROJECT AFFECTED PERSONS

6.1 WORLD BANK CRITERIA FOR DETERMINING ELIGIBILITY FOR COMPENSATION

According to OP 4.12 of the World Bank, the criteria for determining eligibility for compensation, resettlement and rehabilitation assistance measures for persons to be displaced, shall be based on the following:

a. Persons that have formal legal rights to land, including customary and traditional; and religious rights recognized under the laws of Uganda. This class of people includes those holding leasehold land, freehold land and land held within the family or passed on through generations.

b. Persons who do not have formal legal rights to land or assets at the time the census begins; but have a recognized claim of use to

such land or ownership of assets through the national and traditional laws of Uganda. This class of people includes those that come from outside the country and have been given land by the local dignitaries to settle, and/or to occupy.

c. Persons who have no recognisable legal right or claim to the land they are occupying, using or getting their livelihood from. This class of people includes encroachers and illegal occupants/squatters.

Affected persons classified under paragraph (a) and (b) shall be provided compensation, resettlement and rehabilitation assistance for the land, building or fixed assets on the land and buildings taken by the project. The compensation shall be in accordance with the provisions of this

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framework and if affected persons occupied the project area prior to the cut-off date (date of commencement of the Census).

Persons covered under sub-section (c) above are to be provided with resettlement assistance in lieu of compensation In addition, they have to be given the necessary relocation assistance in conformity with the provisions oft this policy framework provided the land was occupied prior to the established cut-off date.

All persons in the three sub-sections above are to be provided with compensation for loss of assets other than land. Consequently, this policy advocates for some kind of assistance to all affected persons, including illegal occupants/squatters and encroachers, that is, irrespective of whether they have formal titles, legal rights or not.

Communities including districts counties, sub-counties, parishes towns, wards and villages permanently losing land, resources and/or access to assets shall be eligible for compensation. Compensation to communities will include, but not limited to, that for public toilets, market places, car parks and health posts. Compensation measures shall ensure that pre-resettlement socio-economic status of the communities are restored and maintained.

6.2 PROCEDURES FOR PAYMENT OF COMPENSATION

Compensation payment shall be made in the following ways:

(a) By agreement between the Project and the PAPs or entities (individuals /households /communities:

The Project shall offer such sums deemed adequate as compensation to the entity who may accept that amount as compensation payable to him or her.

Such sums will be disbursed directly to the beneficiary entity with the relevant records of payments including the information stipulated in chapter 5 (land acquisition mechanism) consigned to the RAPs and the records of the appropriate local government authority.

(b) By court order on the amount of compensation where this has been the subject of litigation between the Project and the Project Affected Entity.

6.3 UGANDAN LEGISLATION ON COMPENSATION

Section 1 and Section 2 above provide the general basis for determining eligibility for compensation in accordance with the Land Law of Uganda (Land Acquisition and Compensation Act, 1990; States Lands, 1990) and the current practice used by some of the government institutions. In

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general, cash compensations are paid based upon market value of the crops. The affected persons are, in some cases, entitled to new housing on authorized land under government housing programmes. Under the customary law, land is given in compensation for land.

Shortfalls in the Legislation on resettlement and compensation in several countries throughout the world have been the reason for internationally funded projects to prefer such universally acceptable policies as those of the World Bank.

6.4 CONDITIONS TO BE FOLLOWED IN DISPLACEMENT OF PEOPLE

Where displacement of people is unavoidable, the following conditions shall be followed:(a) The entitlement cut-off date shall be determined and agreed

upon in consultation with the lower and higher local governments and all the stakeholders particularly the affected persons.

(b) An assessment of the time likely to be needed to restore their living standards, income earning capacity and production levels shall be made.

(c) The assessment shall ensure that the condition of the displaced persons shall be improved or at least maintained at least the levels prior to project implementation.

(d) The displaced persons shall be provided with development assistance, in addition to compensation measures described above. These shall include assistance for land preparation, credit facilities, training for job opportunities, residential housing, or as required, agricultural sites for which a combination of productive potential, location advantages and other factors shall be at least equivalent to those of the old site.

7. NOTIFICATION, VALUATION PROCEDURES AND ENTITLEMENTS

7.1 NOTIFICATION PROCEDURE

The LGIs shall, by public notices in the daily newspapers and radio and television services, notify the public of its intention to acquire land earmarked for projects. A copy of such notice shall be served to each owner, occupier and person or agent having an interest in the land thereof. The names and addresses of the owners, occupiers and agents shall be readily ascertainable. The notice shall state: (i) The Project’s proposal to acquire the land; (ii) The public purpose for which the land is wanted; (iii) That the proposal or plan may be inspected at the relevant Project Headquarters or the appropriate LG Administrative Offices; (iv) That any person affected may, by written notice, object to the transaction giving reasons for doing so, to the entities cited above within a period to

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be specified at the time of publication of the Notice; (v) List the cut off date detailing that in-migration after this date will not receive compensation .

7.2 VALUATION FOR STATE OWNED LAND

The land asset types identified under Gambian Law are: State Lands, Lands under traditional or customary rights.

State owned land may be allocated free or sold on a commercial basis to individuals or communities by the Minister responsible for land administration. For cases where the state-owned land is being used by the public (for instance as settlements, for farming, for grazing or any other productive activity,) the individual or the community would be expected to pay compensation. Privately owned property, would have to be compensated for at the market value. The general guiding principle is that whoever was using the land to be acquired would be provided alternative land of equal size and quality.

7.3 VALUATION FOR CUSTOMARY LAND

The LGDSDP sub-projects will often require the use land under customary tenure for its project activities. In this case, valuation methods for the affected land and assets should conform to customary laws and land assets would be valued and compensated for according to the following guidelines:

the Communities would be compensated for assets and investments (including labor, crops, buildings, and other improvements) according to the provisions of the resettlement plan,

compensation rates would be replacement costs as of the date that the replacement is to be provided.

the market prices for cash crops would have to be determined and used,

calculations for compensation would not be made after the cut-off date, in compliance with this policy,

For community land held under customary law, the permanent loss of any such land will be covered by compensation in kind to the community.

7.4 CALCULATIONS FOR COMPENSATION PAYMENTS AND RELATED CONSIDERATIONS

General Considerations

Computation of Compensation

Where any land has been acquired under this Act, compensation shall only be payable in addition to the value of any improvement or works constructed on such lands:

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- for the loss of usufructuary rights over such lands in the case of land under customary tenure, and

- for the market value of such lands in the case of freehold land.

In estimating the compensation to be given for any land or any estate therein or the potential profits thereof, the following shall be taken into account:

a) The value of such lands, estates or interests or profits at the time of the emission of the notice to acquire, and shall not take into account any improvements or works made or constructed thereafter on the lands,

b) That part only of the lands belonging to any entity /person acquired under this Act without consideration for the enhancement of the value of the residue of the lands by reason of the proximity of any improvements or works to be made or constructed by the Project, and

c) The value of the lands acquired for public purposes but also to

the damage, if any, to be sustained by the owner by reason of the injurious effects of severance of such lands from other lands belonging to such owner or occupier.

For cash payments, compensation will be calculated in Ugandan currency adjusted for inflation. For compensation in kind, items such as land, houses, other buildings, building materials, seedlings, agricultural inputs and financial credits for equipment may be included. Assistance may include moving allowance, transportation and labor.

Compensation for LandCompensation for land is aimed at providing for loss of crops and the labour used to cultivate the crop. Compensation relating to land will cover the market price of the land, the cost of the labour invested, as well as the replacement cost of the crop lost.

Determination of Crop Compensation RatesPrevailing prices for cash crops would have to be determined. Each type of crop is to be compensated for, using the same rate. This rate should incorporate the value for the crop and the value for the labor to be invested in preparing new land.

Compensation Rates for LabourThe value of labor invested in preparing agricultural land will be compensated for at the average wage in the community for the same period of time. The labor cost for preparing replacement land is calculated on what it would cost a farmer to create a replacement farmland.

Compensation for Buildings and StructuresCompensation for buildings and other structures will be paid by

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replacement costs for labor and construction materials of these structures including fences, water and sanitation facilities, etc, will be used to calculate the values. Where part of the compensation is to be paid in cash the applicable replacement costs for construction materials will be used to calculate the values. Alternatively, compensation will be paid in-kind for the replacement cost without depreciation of the structure. The project will survey and update construction material prices on an on-going basis.

Compensation for Vegetable Gardens Vegetables are planted and harvested for daily use. Until a replacement garden can be harvested, the family displaced (economically or physically) as a result of the project will thereafter have to be compensated at the purchase prices of these items on the market.

Compensation for Horticultural, Floricultural and Fruit treesGiven their significance to the local subsistence economy, fruit trees will be compensated on a combined replacement value. Fruit trees commonly used for commercial purposes in Uganda will be compensated at replacement value based on historical production statistics.

7.5 ENTITLEMENTS FOR COMPENSATION

Entitlements for compensation shall be based on the eligibility criteria and the various categories of losses identified in the desk studies and field consultations. Unless otherwise indicated, payment of compensation and other entitlements and the extension of assistance will be made to PAP households and individuals as the case may be.

In dealing with compensation, preference shall be given to land based resettlement strategies for Project Affected Persons whose livelihoods are land-based. Where sufficient land is not available at a reasonable price, non-land based options centered around opportunities for employment or self re-employment should be provided in addition to cash compensation for land and other assets lost. However this lack of land shall be documented and justified.

In addition to these entitlements, households who are found in difficult situations and are at greater risk of impoverishment (i.e. widowed household heads, households without employment, single parent households etc) as identified by the census will be provided with appropriate assistance by the project. Assistance may be in form of food, temporary accommodation, medical subsidy, employment referrals or priority employment in project activities. The assistance is meant to help them cope with the displacement caused by the project.

8. PROCEDURE FOR DELIVERY OF COMPENSATION

Compensation and resettlement activities will be funded like any other project activity eligible under the LGDSDP. Funding would be processed

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and effected by the LGIs preferably directly to beneficiaries in conformity with the RAPs:

8.1 CONSULTATION AND PUBLIC PARTICIPATION

Consultation and public participation with the PAPs will initiate the compensation process. This consultation and public participation will be part of an on-going process that would have started at the planning stage, and would have continued through the conception, technical designs, land selection and screening stages. This trend will ensure that all affected individuals and households are well informed and adequately involved in the entire process.

8.2 NOTIFICATION OF LAND RESOURCE HOLDERS

Those who hold title to the land resources would be informed through the process in 7.1 above. Where there are clearly no identified owners or users, the respective local government administrations, lands offices and traditional leaders will be solicited to help identify owners or users and sensitise them on the project and it’s implications especially the cut-off dates. It is hoped, however that the media publications would be sufficient to avoid such eventuality.

8.3 DOCUMENTATION OF HOLDINGS AND ASSETS

The local government structures, namely the LGs and the lower councils will be charged with all documentation of data and information related to the acquisition of land, the compensation and payment processes up to the level of the Project Coordination Unit. That is, the Community workers of the Sub-counties/Town Councils in collaboration with the Executive Committee of the village councils, the Parish Development Committees and the Project Management Committees will compile and record data/information in village data books. The Community Worker in collaboration with the parish chief and the Executive of the Parish Council will compile parish data and submit to the Sub-county Chief/Town Clerk for on ward submission to the District Chief Administrative Officer/Municipal Town Clerk (CAO/TC). Likewise, the CAO/TC will compile data/information and submit to the Permanent Secretary of the Ministry of Local Government. These will serve as data for resettlement monitoring and evaluation.

8.4 COMPLAINTS AND GRIEVANCES MECHANISMS

ObjectionsPrior to approval of any resettlement plans for the different investment projects, individuals and households already associated with the conception, design and location of the projects would have been in a position to express their dissatisfactions or grievances to the appropriate LG structures and attempt to resolve these in an amicable manner using

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traditional and customary avenues of conflict resolution. In pursuit of this same approach grievances could be addressed through the various tiers of local government authority.

At the time that the individual resettlement and compensation plans are approved and individual compensation contracts are signed, affected individuals would have been informed of the process for expressing dissatisfaction and to seek redress.

The grievance procedure will be simple, administered as far as possible at the local level to facilitate access, flexible and open to various proofs taking into cognizance the fact most people are illiterate and poor requiring a speedy, just and fair resolution of their grievances. The PMC (whose members can be found on page 20) being a party to the contract would not be the best office to receive, handle and rule on disputes. Therefore, taking these concerns into account, all grievances concerning non-fulfillment of contracts, levels of compensation, or seizure of assets without compensation will be addressed to the existing local courts system of administration of justice in the Districts. Local NGO’s will be engaged by the TPC’s to mediate disputes.

All attempts would be made to settle grievances. Those seeking redress and wishing to state grievances would so by notifying their village chief and the District Chairperson (DC). The DC will consult with the district local governments, parish and village chiefs and elders and other records to determine a claims validity. If valid, the village chief and PMC will notify the complainant and s/he will be settled.

If the complainants claim is rejected, then the matter will be brought before the District Land Tribunals and/or the local courts for settlement. If the matter cannot be settled by the local courts and/or the District Land Tribunals, the matter will go the High Court for resolution. The High Court of Uganda will be the highest appellate “judge” in this system. The decision of the High Court would be final and all such decisions must be reached within a full growing season after the complaint is lodged.

If a complaint pattern emerges, the DC with the local governments, PMCs, parish and village leaders will discuss possible remediation. The local leaders will be required to give advice concerning the need for revisions to procedures. Once the DC, local governments, parish and village leaders agree on necessary and appropriate changes, then a written description of the changed process will be made. The DC, local governments, parish and village leaders will be responsible for communicating any changes to the population.

In the local cultures it takes people time to decide that they are aggrieved and want to complain . Therefore, the grievance procedures will give people up to the end of the next full agricultural season after surrendering their assets to set forth their case.

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Where all these avenues for redress of grievances have been exhausted without arriving at an amicable solution or consensual decision, recourse can be had with the judicial institutions in place, namely the law courts. In this regard, the Project is obliged to provide, in particular to vulnerable and disadvantaged groups the requisite assistance enabling them to present their case to such decision-making organs of government.

9. RESETTLEMENT FUNDING

Dispositions or Funding Funds for implementing inventory assessments as well as land acquisition and resettlement action plans will be provided by the Project. In general, the cost burden of compensation will be borne by the executing agencies such as government departments of state or the Project.

The estimate of the overall cost of resettlement and compensation would be determined during the socio-economic study. Disbursements based on budgetary requirements, established by the RAPs in consultation with PAPs/DPs and local chiefs, will made by the PCU.

Estimated costsAt this stage, it is not possible to estimate the likely number of people who may be affected. This is because the technical designs and details have not yet been developed and the land needs have not yet been identified. When this information is available and after the conclusion of the site specific socio-economic study, information on specific impacts, individual and household incomes and numbers of affected people and other demographic data would be available. Such information will facilitate the preparation of a detailed and accurate budget for resettlement and compensation. The Project will prepare the resettlement budget and will finance this budget through the administrative and financial management rules and manuals of the PCU.

10. INSTITUTIONAL ARRANGEMENTS

The LGDSDP shall adopt a project siting strategy that will ensure the least damage to the environment in conformity with ESMF whilst at the same avoiding relocation of persons and their assets.

In this regard, the consultant is proposing that the siting of projects should be carried out by a structure that can address the issues of the environment and resettlement concomitantly.

The technical committees (TCs) should make every effort to ensure that no relocation of persons and their assets takes place.

It is proposed therefore that in all project sitings, the TCs shall co-opt:

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a population specialist ( legal expert on displacement of peoples and laws on land tenure)

a rural economist, a sociologist.

It will work in close collaboration with the local population and organisations to ensure that the resettlement and compensation agreements signed by PAPs are executed in a timely manner and that the interests of the PAPs are protected.

NGOs may, where appropriate and necessary, be periodically engaged for the independent monitoring of the resettlement and compensation plans and shall report any deviations from the planned activities to the LGDSDP. The NGO’s shall be responsible for funding their activities except for cases where a special contract agreement has been entered into with the project.

Public Consultation and Participation

Public consultation and participation are essential because they afford potential PAPs the opportunity to contribute to both the design and implementation of the program activities. This reduces the likelihood for conflicts between and among PAPs and with the management of the Project.

In recognition of this, particular attention should be paid to public consultation with affected individuals, households and homesteads (including host communities) when resettlement and compensation concerns are involved.As a matter of strategy, public consultation should be an on-going activity taking place throughout the entire project cycle. Hence, public consultation should take place during the:

project conception and planning, screening process, socio-economic study, preparation of the development plans, resettlement and compensation planning, drafting and reading/signing of the compensation agreements, payment of compensations, resettlement activities and implementation of post-project community support activities.

Public participation and consultation should take place through meetings with key community leaders, radio programs, request for written proposals/comments, completion of questionnaires, public readings and explanations of the project ideas and requirements.

11. IMPLEMENTATION PLANS

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Resettlement Action Plans

The LGs shall make sure that, following the census of PAPs, a comprehensive Resettlement Action Plan is prepared for each project activity that triggers resettlement. In this undertaking, LGs may, if need be contract the services of a valuation expert to carry out the evaluations of the assets of PAPs to be embodied in the RAPs. In case of involuntary resettlement, approval of the new land areas designated to be used for resettlement shall be sought from the Government in consultation with local communities.

The process of preparing the resettlement action plans, in line with the requirements of Section 5 above, will involve the following: -

a census shall be carried out to identify PAPs the census will generate information about the Displaced Persons,

their entitlements regarding compensation, resettlement and rehabilitation assistance as required,

disturbances, especially those affecting income-earning activities and impact on assets should be properly recorded with the view to compensation or replacement in case of resettlement,

based on the census and inventory of losses, and in consultation with the Displaced Persons, a time-phased action plan with a budget for provision of compensation, resettlement, and other assistance as required, shall be prepared.

To ensure transparency of procedures, PAPs and Displaced Persons shall be informed of the method of valuation employed to assess their assets. All payments of Compensation, Resettlement Assistance and Rehabilitation Assistance, as the case may be, shall be made by LGs in the presence of the PAP(s) in question and a witness, the local dignitaries for example.

LGs will be responsible for implementing the resettlement process, carrying out a census of PAPs and the affected properties, RAP preparation and compensation. The MoLG will monitor this process and give advisory services as required.

12. MONITORING PLAN

In order to assess whether the goals of the resettlement and compensation plan are met, a monitoring plan will be required. This monitoring plan will indicate parameters to be monitored, institute monitoring guidelines and provide resources including responsible persons or institutions, necessary to carry out the monitoring activities.

The arrangements for monitoring the resettlement and compensation activities would fit the overall monitoring programme of the entire Project which would fall under the overall responsibility of LGs. The LGs will

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institute an administrative reporting system that:

a) alerts project authorities to the necessity for land acquisition in the project activities design and technical specifications;

b) provides timely information about the assets valuation and negotiation process;

c) reports any grievances that require resolution, andd) documents timely completion of project resettlement obligations

(i.e. payment of the agreed-upon);e) updates the database with respect to changes that occur on the

ground as resettlement and compensations activities are being implemented.

Annual evaluations will be made in order to determine whether the PAPs have been paid in full and before implementation of the individual sub project activities; and whether the PAPs enjoy the same or higher standards of living than before.

A number of objectively verifiable indicators shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively measuring the physical and socio-economic status of the PAPs and DPs, to determine and guide improvement in their social well-being. Therefore, monitoring indicators to be used for different RAPs or ARAPs will have to be developed to respond to specific site conditions.

Independent monitoring as for example by NGOs can be arranged from time to time to validate the programme implementation.

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Table No. 1: Matrix for Evaluation of the Impact of the Project

Village PROJECT

A. Element Yes No resultMitigation and attenuation

The Project does it entail;

a) the re-installation of populations,the loss of land,b) the loss of

structures for housing, for

commercial use,

othersc) the loss of access

to: natural

resources, health facilities, water and

sanitation energy others

d) loss of revenue,e) any

marginalisationf) increased

morbidityg) disruption family

an community values,

h) disruption of socio-cultural or cult values

Assess options to reduce or avoid resettlement.

Design projects to avoid resettlement or minimize displacement of people e.g. siting and routing of Program activities on unoccupied or low value land

Avoid land held by illegal tenants as this make compensation more expensive and takes longer.

The program will have a strategy for enabling the PAPs restore their incomes, businesses and jobs to at least pre-project levels

Involve the affected population in planning for their resettlement.

Communicate information on the project, resettlement and compensation.

Carry out social preparation where it is needed and sensitise the PAPs on resettlement and compensation.

Plan for the resettlement needs of the vulnerable and disadvantaged groups e.g. the women, elderly, the people with disability, etc, and involve them in resettlement activities.

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Table No. 2: Potential Impact at New Re-Installation Site

Village ProjectItem. yes No Irrelevant Mitigation/attenuation 1.Re-housing necessary ?

Involve the affected population in planning for their resettlement.

Communicate information on the project, resettlement and compensation.

Sensitise the PAPs on resettlement and compensation.

Plan for the resettlement needs of the vulnerable and disadvantaged groups e.g. the women, elderly, the people with disability, etc, and involve them in resettlement activities.

2.What persons are affected ?

Identify the categories of the PAPs and their losses and plan for their resettlement and compensation needs separately e.g. the women, the disabled, the land owners, the tenants, etc.

Involve the PAPs in resettlement and compensation planning and implementation activities.

3. Are there any loss of agricultural land, parks, loss of trees.

Assess the available options to reduce or avoid resettlement.

Minimise the loss by re-routing or re-siting of projects.

Plant trees elsewhere to compensate for the loss.

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4. Is the new site difficult to access or subject to inundation?

Provide social services, infrastructures, job opportunities and businesses to pre-displacement level or higher level.

5. Does the new site improve mobility of the populations?

Provide roads to the new site.

6. Is solid waste generated?Is there an appropriate disposal site?

Provide a solid waste management system and facilities.

7. Is liquid waste generated?Is there an appropriate disposal system?

Provide a liquid waste management system and facilities.

8. Is there an adequate sanitation system in place?

Provide sanitation facilities.

9. Is any soil erosion likely to occur?Are the drainage systems adequate?

Implement soil erosion mitigation measures.

Provide adequate drainage systems.

10. Are groundwater resources likely to be polluted?

Carry out environment screening or Environment Impact Assessment if required. Identify adverse environment impact and mitigation measures and implement mitigation measures.

Adopt options of service provisions which will not pollute ground water such as the emptable and lined pit latrines.

11. Is their likelihood of negative impacts on the health of the displaced persons?

Carry out environment screening or Environment Impact Assessment if required. Identify adverse environment impact and mitigation measures and implement mitigation measures.

12. Is there a plan for the maintenance of the site?

Ensure full participation of the PAPs in planning for operation and maintenance of the site.

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Table No. 3 Specimen Entitlement Matrix

CATEGORY OF PAP

TYPE OF LOSS ENTITLEMENTS

Compensation for Loss of Structures

Compensation for Loss of Assets

Compensation for Loss of Income

Moving Allowance

Other Assistance

PropertyOwners

Loss of land –

Land replacement at new site, plus land clearing by project

Crops at market cost in scarce season

None

Food Aid during construction of new site

Loss of structure Residential for business

Compensation at full replacement value not depreciated

Fences (wire or wood) at $ 3/meter Hand-dug wells at $200

For lost rental income Lump sum cash payment of 6 months rent per tenant

Moving to be done free by project

DisturbanceAllowance

ResidentialTenant

BusinessTenant

Loss of rental accommodation

No loss of structure, no entitlement to housing at new site

Replacement cost for non-movables if installation was agreed with owner

No loss of income

Free relocation if notification before cut-off date

6 months rent equivalent for disturbance

Loss of premises

No loss of structure, no entitlement to housing at new site

Replacement cost for facilities that cannot be moved

For loss of business income, payment of half of turnover for 6 months

Free relocation if notification before cut- off date

Encroachers(using land)

Loss of land –

Relocation to resettlement site of choice, with payment of rental fee for land. For crops, fences and wells, as above for owners

– –

Food Aid during construction of new site

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Squatters (living on site)

Loss of shelter Compensation at full replacement value for structure, relocation to resettlement site, with payment of site rent

None

Payments in lieu of wages while rebuilding

Disturbance Allowance

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ANNEXES

ANNEX 1:

The following are examples of indicative prices to be used for compensation. The values will be updated to reflect the current year’s value at the time of compensation.

TABLE 1: INDICATIVE PRICES TO BE USED TO COMPENSATE FOR LOSS OF TREES

Type of plant or tree

New/Small Medium Large(0-1 years old) (1-5 years old) (above 5 years old)US$ US$ US$

Mango Tree 16 32 32Papaya Tree 1 7 7Orange Tree 21 37 37Lemon Tree 16 32 32Banana Tree 2 11 11Coconut Palm 16 32 53Eucalyptus 11 21 53Guava Tree 5 21 21Cashew Tree 11 42 42

TABLE 2: INDICATIVE PRICES TO BE USED TO COMPENSATE FOR LOSS OF LAND AND STRUCTURES

No. Item Costs (in US$)* Assumptions1 Compensation for

loss of Land$1,309/hectare For land acquisition purposes,

based on cost realized in projects involving similar issues in Uganda.

2 Compensation for loss of Crops

$3,313/hectare of farm lost

Includes costs of labor invested and average of highest price of staple food crops as per methods described in Section G of this RPF

3 Compensation for loss of access to local quarries to mine stones for concreting and road construction.

N/a Those affected would be provided with a license to re-start mining activities in new approved quarries.

4 Compensation for loss of access to fishing resources.

Estimated $2,120/fishmonger, fishermen and others

Data provided from revised socio-economic study will determine market values of catch, fish products etc. that is produced.

5 Compensation for Buildings and Structures

$159,000 for all structures

This compensation would be in-kind. These new buildings would be built and then given to those

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affected. Cost based on basic housing needs for a family of ten, including house with four bedrooms, ventilated pit latrines, outside kitchen and storage.

6 Compensation for Trees

$265/year/tree Based on methods described on page 27 of this RPF for compensation for trees.

7 Cost of Relocation Assistance/Expenses

$4,399/household

This cost is to facilitate transportation, etc.

8 Cost of Restoration of Individual Income

Est. $2,650/per person

Assumed to be higher than the GDP/capita.

9 Cost of Restoration of Household Income

Est. $7,950/ per household

For household of ten.

10 Cost of Training Farmers

$106,000 total cost

This is a mitigation measure which seeks to involve those affected in the project activities. This figure represents a costs of around $25/person

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ANNEX 2: MAIN CONTENTS OF THE RESETTLEMENT ACTION PLAN- Description of the project- Potential impacts- Objectives- Socio-economic studies- Legal framework- Institutional framework- Eligibility- Valuation and compensation for losses- Resettlement measures- Site selection, site preparation and relocation- Housing infrastructure and social services- Environmental protection and management- Community participation- Integration with host population- Grievance procedures- Organizational responsibilities- Implementation schedule- Cost and budget- Monitoring and evaluation

ANNEX 3: PROJECT SREENING

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Sub-projects might have a social impact on the community. Potential socio-economic impact that will require mitigation measures, resettlement and compensation will have to be identified. Sub-project will be screened and the following are the issues to be examined.

i) Will involuntary resettlement, land acquisition, or loss, denial or restriction of access to land and other economic resources be caused by the implementation of the sub-project.

ii) Will the sub-project result in the permanent or temporary loss of crops, fruits and household infrastructures such as granaries, outside toilets, kitchens, and other structures, etc.

ANNEX 4: CONTENTS FOR ABBREVIATED RESETTLEMENT ACTION PLAN- Census of displaced persons and valuation of assets.- Description of compensation and other resettlement assistance

to be provided.- Consultations with displaced people about acceptable

alternatives- Institutional responsibility for implementation and procedures for

grievance redress. - Arrangements for monitoring and implementation and, - A timetable and budget

ANNEX 5: TERMS OF REFERENCE

Resettlement Policy Framework(combined with TOR for ESMF)

REFERENCES

World Bank O.P. 4.12 on Resettlement.

Land Acquisition and Compensation Act 1991.

Appa, G & G Patel (1996) ‘Unrecognized, Unecessary and Unjust displacement – Case Studies from Gujarat, India’, in McDowell, pp. 139-50. Barth, F. & T.R. Williams (1994).Initial Resettlement Planning and Activity (1992-1994) in a large-scale Hyropower Process: The Ertan Dam.

Armelle Faure: Preparation de l’evaluation de l’impact social 7 Mars 2003.

Cernea, M.M. (1997a) ‘The Risks and Reconstruction Model for Resettling Displaced Populations’, Word Development, 25(10).Cernea, M.M. (1997b) ‘African Involuntary Population Resettlement in a Global Context’.ESSD Social Assessment Series No. 045. Washington D.C.: World Bank

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Cernea, M.M. (1996b) ‘Public Policy Responses to Development-induced Population Displacements’, Economic & Political Weekly.31(24) : 1515-23.

Cernea, M.M. (1993) ‘ Antropological Research and Policy Development for Population Resettlement’, in Cernea & Guggenheim (eds), pp. 13-38.

Cernea, M.M. & C. McDowell (eds) Reconstructing Livelihoods: New Approaches to Resettlement. London : Berghahn Books (forthcoming).

Cernea, M.M. & S.E. Guggenheim (eds) (1993) Anthropological Approaches to Involuntary Resettlement : Policy and Theory. Boulder CO : Westview Press.

Cook, C. (eds) (1994) ‘Involuntary Resettlement in Africa’. World Bank Technical Paper No. 227. Washington DC : World Bank.

Fernandes, W. & E. Ganguly Thukral (eds) (1989) Development, Displacement and Rehabilitation : Issues for a National Debate. New Delhi : Indian Social Institute.

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