World Bank
SOUTHERN AFRICA POWER MARKET (SAPM) APL2 PROJECT
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|MOZAMBIQUE-MALAWI INTERCONNECTOR |
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|RESETTLEMENT POLICY FRAMEWORK |
Mozambique – Malawi Interconnector : ESCOM Resettlement Policy Framework
TABLE OF CONTENTS
EXECUTIVE SUMMARY 3
A. PROJECT DESCRIPTION 5
B. GUIDING PRINCIPLES FOR RESETTLEMENT 7
C. PROCESS FOR DEVELOPING THE SUBSEQUENT RAP 10
D. ESTIMATED POPULATION DISPLACEMENT AND LIKELY CATEGORIES OF DISPLACEMENT 12
E. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF DISPLACED
PERSON 14
F. LEGAL FRAMEWORK 15
G. VALUATION METHODS 19
H. ENTITLEMENT DELIVERY 22
I. IMPLEMENTATION PROCESS AND LINKAGE TO CIVIL WORKS 23
J. FUNDING ARRANGEMENTS 25
K. CONSULTATION AND PARTICPATION 26
L. MONITORING OF RESETTLEMENT 31
M. BUDGET 32
LIST OF FIGURES
Figure 1: Resettlement programme.
Figure 2: Organisational responsibility for delivery. Figure 3: Grievance Redress Procedure.
LIST OF TABLES
Table 1: Category of Impact Table 2: Process of Valuation Table 3: Budget for Resettlement
LIST OF APPENDICES
APPENDIX A: Photographs of affected homestead on preferred line. APPENDIX B: TOR for a RAP
APPENDIX C: Monitoring variables
ESCOM Malawi
Mozambique – Malawi Interconnector: Resettlement Policy Framework
EXECUTIVE SUMMARY
Introduction
The construction of the Malawi Interconnector triggers The World Bank safeguard policy on resettlement (OP 4.12). As such a Resettlement Policy Framework (RPF), that sets the scene for a subsequent Resettlement Action Plan (RAP), has been prepared. Malawi law dictates that ESCOM must ensure that affected people are satisfactorily compensated for the loss of property and the access to lands.
The RPF has been prepared in accordance with ESCOM resettlement principles, which mirror those of the World Bank, and are:
1. Involuntary resettlement should be avoided, or minimised where unavoidable.
2. Where resettlement is unavoidable, resettlement plans and activities should be seen and executed as development programs.
3. Resettled persons should be provided with sufficient investment resources and opportunities to share in project benefits.
4. Displaced persons should be meaningfully consulted, and participate in planning and implementation of resettlement programs.
5. Displaced persons should be compensated for their losses at full replacement cost, prior to the move.
6. Resettled persons should be assisted with the move and provided with support during the transition period.
7. Resettled persons should be assisted with their efforts to improve, or at least restore, their former living standards, income earning capacity and production levels – whichever is higher.
Project Description
An intergovernmental memorandum of understanding was signed by the Governments of Mozambique and Malawi to interconnect their transmission systems through an approximately 220km 220kV line from Matambo substation in Mozambique to Phombeya substation in Malawi. The preferred route almost exclusively traverses rural lands, most of which are given over to subsistence agriculture and communal resource utilisation. With the preferred line it appears as if only one homestead would be directly affected in terms of requiring resettlement. With the alternative route, as the line approaches Blantyre there are many settlements that would require resettlement.
Guiding Principles for Resettlement
ESCOM will bind itself to principles that will guide the resettlement process. These are
Principle 1: Resettlement must be avoided or minimised.
Principle 2: Genuine consultation and participation must take place.
Principle 3: A pre-settlement data baseline will be established.
Principle 4: Assistance in relocation must be made available.
Principle 5: A fair and equitable set of compensation options must be negotiated.
• Principle 6: Resettlement must take place as a development that ensures that directly affected communities benefit.
• Principle 7: Vulnerable social groups must be specifically catered for.
• Principle 8: Resettlement must be seen as an upfront project cost.
• Principle 9: An independent monitoring and grievance procedure must be in place.
• Principle 10: The developer will accept responsibility for resettlement and ensure that “Best practice” is adopted.
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Mozambique – Malawi Interconnector: ESCOM Resettlement Policy Framework
Estimated population displacement and likely categories of displacement
Although there is potentially only a single homestead in the preferred route that would require resettlement, there are a number of other households on both the preferred and alternative routes that would be indirectly affected through potential loss of resources.
Valuation methods
The valuation procedures will include three steps:
1. Establishment of a Resettlement Working Group as part of the compensation and valuation committee,
2. Assessment of replacement values of identified assets;
3. Establishment of compensation rates for all assets to be expropriated. For instance, compensation for trees will take into account the distinction between various types of trees and their economic values; fruit trees versus non -fruit trees etc. Fruit trees will be compensated for the value of lost production until the replanted tree is at the same stage of productivity.
Consultation and participation
Relocating or compensating people involves communication or dialogue with the stakeholders. Extensive consultation with the potentially affected community has already taken place. This has been in the form of visits by the ESCOM project management team to the various relevant local government members and some meetings with individuals affected. This process will be ongoing during the compilation of the RAPs and into the construction phase of the project.
ESCOM will monitor the process to ensure that resettlement is properly implemented, and is in line with the RPF and specific RAPs, that grievances are being attended to, and that any necessary changes to the overall process are being timeously and sensibly made.
ESCOM Malawi
A. PROJECT DESCRIPTION
An intergovernmental memorandum of understanding was signed (February 1998) by the Governments of Mozambique and Malawi in which Electricidade de Mozambique (EDM) and the Electricity Supply Corporation of Malawi (ESCOM), the respective power utilities of those countries, were instructed to interconnect their transmission systems through an approximately 220km 220kV line from Matambo substation in Mozambique to Phombeya substation in Malawi.
The proposed power line will be of double circuit construction on self-supporting steel lattice towers but initially with only one circuit strung. The second circuit will be strung at a later date as the load grows and import requirements increase. The servitude of the proposed power line will be 50m wide (i.e. 25m on either side of the centre line). The total length of the line, for the Malawi section as surveyed, is approximately 80km. The two proposed alternatives considered for the purposes of this report are the following.
· Preferred route: The preferred power line routing enters Malawi near Kanjunchi Hill in the Mwanza District, and passes near the Thambani Forest. The line passes close to a number of villages and runs more or less parallel to the M6 (Mwanza – Blantyre) Road. The power line enters the Neno District (formerly part of the Mwanza District) after crossing the Wamkulumadzi River. After crossing the Lisungwi River the line crosses over the M6 Road and continues parallel to the M1 (Blantyre – Lilongwe) Road. The power line crosses the Kam’mwanba – Kasamba Road entering into the Balaka District, and terminates approximately 11km later at the proposed Phombeya substation, near the Mpandasoni Village.
· Alternative route (Blantyre West option): This option initially follows the same route as the Mwanza – Phombeya route but just before the S137 Road (Mpatamanga Road) this option deviates away from the preferred route and heads in a south-easterly direction and more or less follows the S137 Road to Blantyre.
The preferred route almost exclusively traverses rural lands, most of which are given over to subsistence agriculture and communal resource utilisation. The dominant crop in the area is maize. Other crops include cassava, groundnuts, beans, tomatoes, sugar cane and coffee. Fruit trees grown in the area include mango, banana and citrus (oranges, tangerines and lemons). A few demarcated estates (close to Mwanza) are marginally affected. With the preferred line it appears as if only one homestead would be directly affected in terms of requiring resettlement.
With the alternative route, as the line approaches Blantyre there are many settlements that would require resettlement. For example, in the Kubaluti Township approximately 92 houses and 3 churches would have had to be relocated.
The objective of this report is to prepare a Resettlement Policy Framework (RPF) for the power line in accordance with ESCOM resettlement principles. These are:
1. Involuntary resettlement should be avoided, or minimised where unavoidable.
2. Where resettlement is unavoidable, resettlement plans and activities should be seen and executed as development programs.
3. Resettled persons should be provided with sufficient investment resources and opportunities to share in project benefits.
4. Displaced persons should be meaningfully consulted, and participate in planning and implementation of resettlement programs.
5. Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
5. Displaced persons should be compensated for their losses at full replacement cost, prior to the move.
6. Resettled persons should be assisted with the move and provided with support during the transition period.
7. Resettled persons should be assisted with their efforts to improve, or at least restore, their former living standards, income earning capacity and production levels – whichever is higher.
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Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
B. GUIDING PRINCIPLES FOR RESETTLEMENT
ESCOM will bind itself to the following guiding principles for the resettlement process.
PRINCIPLE 1: RESETTLEMENT MUST BE AVOIDIED OR MINIMISED
Action: To comply with this principle ESCOM will demonstrate that the proposed resettlement is both necessary and viable, and that its scope and extent cannot be lessened. Along the preferred route this has been complied with, as the numbers of homesteads requiring involuntary resettlement would be limited to only one. This was achieved through choosing a line that minimized resettlement impacts, and refining it to avoid as many homesteads as possible. The alternative route connects with a sub-station in Blantyre and must of necessity cross heavily populated areas.
PRINCIPLE 2: GENUINE CONSULTATION AND PARTICIPATION MUST TAKE
PLACE
Action: Given its focus on resettlement, the primary concern of this RPF is to take seriously the rights and interests of the displaced and to-be-resettled people. For this to happen their voice needs to be made clear, via the formation of local level consultative fora. For the purposes of the subsequent phases of resettlement planning i.e. the Resettlement Action Plans (RAP’s), the affected people must decide how those bodies are to be constituted. ESCOM will give these fora official recognition within their institutional framework.
Relocation destinations and housing designs, as well as timing will emerge from a genuine consultation/negotiation/planning process. Housing, garden sites, and where applicable, agricultural sites, will be negotiated before people move; and money, staff and vehicles will be allocated to ensure that people are able to move all their goods on the arranged dates.
PRINCIPLE 3: A PRE-RESETTLEMENT DATA BASELINE WILL BE ESTABLISHED
Action: To support the successful re-establishment of affected homesteads, ESCOM will undertake the following activities prior to displacement or property acquisition:
i. an inventory of landholdings and immovable/non-retrievable improvements (buildings
and structures) to determine fair and reasonable levels of compensation or mitigation.
ii. a census detailing household composition and demography, and other relevant socio-
economic characteristics.
The asset inventories will be used to determine and negotiate entitlements, while the census information is required to monitor homestead re-establishment. The information obtained from the inventories and census will be entered into a computerised database to facilitate resettlement planning, implementation and monitoring.
PRINCIPLE 4: ASSISTANCE IN RELOCATION MUST BE MADE AVAILABLE Action: ESCOM will guarantee the provision of any necessary food rations or subsistence allowances for people whose fields will be disturbed to make way for the power line, road, substation or pylons, or any other disturbances of productive land associated with the project. Such allowances or rations shall be in proportion to the loss experienced by the affected household. This requires that sufficient money and staff time be specifically allocated for this purpose, in such a manner as to ensure that these resources cannot be absorbed by other ESCOM requirements.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
PRINCIPLE 5: A FAIR AND EQUITABLE SET OF COMPENSATION OPTIONS MUST BE NEGOTIATED
Action: Compensation will be paid for crops that are disturbed according to set rates. Some debate exists as to how market related these rates are. Prior to the compensation being paid ESCOM will review the rates, and if necessary adjust them so that fair sums are paid to affected individuals.
In order to obviate unnecessary conflict between ESCOM and those who may need to be resettled, ESCOM proposes that they re-build housing for the affected homesteads. This is discussed in Section 8 in more detail.
PRINCIPLE 6: RESETTLEMENT MUST TAKE PLACE AS A DEVELOPMENT THAT ENSURES THAT DIRECTLY AFFECTED COMMUNITIES BENEFIT
Action: The scope for people to directly benefit from the power line appears to be limited. However, there may be some take up of available electricity from the “drop down” lines being investigated. Should these prove to be viable, it appears that only a limited number of households will have the available cash incomes to afford the electricity. ESCOM undertakes to provide electricity to these households if this is technically feasible.
PRINCIPLE 7: VULNERABLE SOCIAL GROUPS MUST BE SPECIFICALLY CATERED FOR
Action: Members of vulnerable groups are often not able to make their voice heard effectively, and ESCOM will take account of this in the consultation and planning processes, as well as when establishing grievance procedures. They are often physically weaker, and may need special help in the relocation/disturbance phase. In particular female-headed households may lose out to more powerful households when land is reallocated to make way for the road, substation or pylons, or any other disturbances of productive land associated with the power line. ESCOM will ensure that the pre-resettlement database specifically identifies vulnerable social groups and makes provision for them to be included in consultative fora. Furthermore ESCOM will make sure that vulnerable social groups are paid particular attention in the monitoring process (see Principle 9).
PRINCIPLE 8: RESETTLEMENT MUST BE SEEN AS AN UPFRONT PROJECT COST
Action: Experience across the world shows that unless resettlement is built in as an upfront project cost, it tends to be under budgeted, that money gets whittled away from the resettlement budget to ‘more pressing’ project needs, and that it tends to be seen as peripheral to the overall project. ESCOM will ensure that resettlement costs, built into the overall project budget are an up-front cost, and that the resettlement budget is not reallocated.
PRINCIPLE 9: AN INDEPENDENT MONITORING AND GRIEVANCE PROCEDURE MUST BE IN PLACE
Action: ESCOM shall appoint an independent team to undertake monitoring of the resettlement component of the project. Grievance procedures will be organised in such a way that they are accessible to all affected parties, with particular concern for vulnerable groupings. Monitoring will specifically take place via measurement against the pre-resettlement database.
PRINCIPLE 10: THE DEVELOPER WILL ACCEPT RESPONSIBILITY FOR RESETTLEMENT AND ENSURE THAT “BEST PRACTICE” IS ADOPTED
Action: ESCOM acknowledges that ultimate responsibility for protecting those displaced by the power line rest with them. As at least a partial organ of state, ESCOM has the added
ESCOM Resettlement Policy Framework 8
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
responsibility of ensuring that those displaced by the acquisition of land have been adequately cared for, and that plans to compensate households and individuals are drawn up and implemented.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
C. PROCESS FOR DEVELOPI NG THE SUBSEQUENT RAP
The World Bank safeguard policy on resettlement (OP 4.12) paragraph 4, states:
Where large-scale population displacement is unavoidable, a detailed resettlement plan, timetable, and budget are required. Resettlement plans should be built around a development strategy and package aimed at improving or at least restoring the economic base for those relocated. Experience indicates that cash compensation alone is normally inadequate. Voluntary settlement may form part of a resettlement plan, provided measures to address the special circumstances of involuntary resettlers are included. Preference should be given to land-based resettlement strategies for people dislocated from agricultural settings. If suitable land is unavailable, non land-based strategies built around opportunities for employment or self-employment may be used.
ESCOM acknowledges that this is the case for the powerline project. As such this Resettlement Policy Framework sets the scene for a subsequent Resettlement Action Plan (RAP). Appendix B gives an outline of a TOR for the proposed RAP. Such a process requires that the following mechanisms should be operational as part of the RAP and should function actively during its planning and implementation.
n Consultative Mechanisms, including a Resettlement Working Group will be established.
n Grievance Redress needs to be set up.
n Monitoring Mechanisms need to be designed.
ESCOM undertake to set up these three mechanisms in good time, and as such work on these aspects will begin as a matter of urgency. Furthermore ESCOM will undertake to ensure that there is ongoing communication between them.
In addition the RAP will consist of at least the following aspects:
n Detailed inventory of all assets to be lost by all homesteads and individuals affected by having to move their place of residence or business to allow for the development of the powerline or any other associated infrastructure. This must be made up of a baseline survey against which the future well-being of the household can be measured. An action plan is required for the resettlement of the homesteads. This must take place at the same time as the survey of the transmission line is being undertaken. ESCOM will review its capacity to undertake the RAP survey and if required will contract an outside party to undertake the work on its behalf.
n Inventory of people who will lose land over which they have established ownership or rights of usufruct (either in a permanent or temporary fashion) to allow for the construction of the powerline or any other associated infrastructure. This must be made up of a baseline survey against which the future well-being of the homesteads can be measured. An action plan is required for the replacement of the homesteads’ lost resource base. This will detail how compensation for crops will be paid, where replacement land will be found (if necessary), and which steps will be followed to ensure that the homesteads productive base is re-established. ESCOM will review its capacity to undertake this work, and if required will contract an outside party to undertake the work on its behalf.
n An action plan is required to ensure that the communally held resource base is replaced/re-established to ensure that no one is worse off after project implementation.
n Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
Within the framework of a process of public consultation and disclosure, the RAP will be subject to scrutiny by relevant stakeholders. As such ESCOM will ensure that the document is made available to the following parties, for comment, in good time:
Financiers.
• Relevant Government Department as well as local government and the relevant district assemblies.
• Project Affected People (PAPs) and their representatives.
In terms of ensuring that the PAP are sufficiently empowered so as to be able to make meaningful input it is essential that the consultative mechanisms referred to above are in place. Given the relatively low levels of literacy it is envisaged that the document will be presented to the PAPs and their representatives in the form of verbal presentations.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
D. ESTIMATED POPULATION DISPLACEMENT AND LIKELY CATEGORIES OF DISPLACEMENT
Although there is potentially only a single homestead in the preferred route that would require resettlement, there are a number of other households that would be indirectly affected by the power line. These households would be affected through potential loss of resources, as land would be required for the sub-station, pylons and servitude, where land would be cleared beneath the power line. At this stage ESCOM also envisages constructing a maintenance road within the servitude directly below the conductors. This road will also be used for the construction of the power line. All people affected in this manner belong to those defined as potentially displaced.
In the case of the substation and pylons, as well as the land required for the road there would be a permanent loss of the associated resources to the affected communities. The proposed substation at Pombeya will be approximately 15ha (500m x 300m) in extent. In the case of the power line servitude located outside of the road there would be some restrictions on the types of vegetation or crops that would be permitted. Although the precise numbers of households that will be affected is not known, a conservative summary of the numbers of households, lands and other infrastructure estimated to be affected by the two alternatives is as follows:
Table 1: Categories of Impact and Estimated Costs
|Category of Impact |Estimate Number of PAPs |Estimated Average |Tot. Cost |
| | |Value | |
|Homestead/ Residence |1 family, (preferred |USD1,500.00/ |USD 1,500.00 |
|(includes all structures |alignment) |household |USD138,000.00 |
|and improvements, e.g., |92+ (alternative alignment) |(land to be replaced | |
|fences, latrines, animal | |in kind) | |
|pens) | | | |
|Religious Structure |0 (preferred alignment) |USD5.000.00/ |USD 0 |
| |3 (alternative alignment) |structure |USD 15.000.00 |
| | |(land to be replaced | |
| | |in kind) | |
|Permanent Land |(# pylons = # PAPs x % area |Land to be |As this information |
|Loss, Agricultural |cultivated) |purchased or land to |is restricted |
|fields (annual, rainfed | |be replaced in kind |ESCOM will have |
|production) | |(negotiated |to fill in1 |
| | |approach) | |
|Permanent Land |For both routes it is |Land to be |USD 4500.00 |
|Loss, Agricultural |estimated that the service |purchased or land to | |
|fields (annual, rainfed |road will require an |be replaced in kind. | |
|production) |estimated 45 ha, affecting |Development of | |
| |about 80 households |replacement land | |
| | |estimated at USD | |
| | |100/ha | |
|Permanent Land |Phombeya Substation |Negotiation as to |USD 4 500 |
|Loss, Agricultural | |land purchase with | |
|fields (annual, rainfed | |relevant party has | |
|production) | |begun | |
1 At the time of preparartion of the RPF, this information ws not available. It will be completed during the final design phase of the project. This comment refers to all sections in the table in italics.
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Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
|Category of Impact |Estimate Number of PAPs |Estimated Average |Tot. Cost |
| | |Value | |
| | | | |
|Temporary Land |Estimated 450 ha (300ha |Disturbed crops to |USD159,000.00. |
|Loss, Agricultural |cultivated) affected with a |be compensated. |This figure is likely |
|fields |maximum of 800 households |Estimate is for |to be an upper limit |
|(annual, rainfed |using this land on both |maize at USD 106/t |and is used for |
|production) |preferred and alternative |@ 5t per ha |budgetary purposes |
| |route | | |
|Trees: |For indicative budgetary |Value of trees |USD 22,500.00 |
| |purposes it is assumed that |estimated at 250 | |
| |some 90km of intermittently |USD per km | |
| |spaced trees will be affected. | | |
|Temporary loss of |??? | |Unknown but given |
|Land: Private Estate | | |the magnitude of |
| | | |disturbance likely |
| | | |to be relatively |
| | | |insignificant. |
It should be noted that neither the preferred alignment nor the alternative affects business premises or cemeteries.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
E. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF DISPLACED PERSON
This section of the RPF spells out the categories of people who qualify for resettlement assistance, and the associated eligibility criteria. They are the following:
• Loss of residence: People who will be displaced by having to move their place of residence to allow for the construction of the power line, pylons, substation, construction camps, access roads, or any other associated infrastructure.
• Loss of business: People who will be displaced by having to move their place of business to allow for the construction of the power line, pylons, substation, construction camps, access roads, or any other associated infrastructure
• Loss of land: People who will lose land over which they have established ownership or rights of usufruct (either in a permanent or temporary fashion) to allow for the construction of the power line, pylons, substation, construction camps, access roads, or any other associated infrastructure.
• Communal resources: Members of communities who will lose access to their communal resource base.
• Places of worship: Church goers who may be affected through their place of worship having to be relocated.
• Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
F. L E G A L F R A M E W O R K
The Government of Malawi has no legislation that relates directly to resettlement, but has an ad hoc resettlement policy for helping in emergencies. The closest this comes to a framework for resettlement is in terms of the Land Policy under which the Government will seek support to develop and sustain a land transfer and resettlement scheme as a strategy for managing current land pressure and a long-term solution for preventing the emergence of a land crisis. Such a scheme will advocate the establishment of a social development fund. This fund will be used to alleviate unemployment and poverty in the districts most severely affected by past conversions to freehold and leasehold estates.
However, in terms of the Malawian legal framework, a number of pieces of legislation have a bearing upon the resettlement process. These are set out below.
CONSTITUTION
The 1994 Constitution is the supreme law of Malawi. Particularly relevant to the issue of resettlement is Section 28 (2) of the Section on Human Rights that deals with property rights and provides that:
"No person shall be arbitrarily deprived of property”
TENURE RELATED LEGISLATION AND POLICY
Land and associated issues of tenure are currently governed by three Acts. These are the 1965 Land Act (Cap 57), the Registered Land Act (Cap 58), and the Customary Land Development Act (Cap 59).
Malawi had been under British rule for 73 years (1891-1964). Europeans intent on setting up commercial and agricultural enterprise established estates through grant of concessions. The colonial land policy was to appropriate all land in Malawi to the British sovereign, place the administration of such land in the sovereign’s local representative, facilitate access by the settler community on the basis of private title, preserve native rights strictly as occupation rights, and ensure availability of cheap labour for settler agriculture.
The effects of these concessions and colonial policies were that indigenous communities lost ownership and control of land. Land was categorised as public land, private land and customary land. This was the position indigenous communities found themselves in at independence in 1964.
Soon after independence the government embarked on an aggressive process of expansion of large-scale, or estate agriculture through alienation of land under customary land tenure. This saw customary land being lost to private land.
The land laws therefore make provision for government to acquire land under customary title through a prescribed process (Sections 25 –30 of Cap 57). In effect the process stipulates that the President governs the land for the people. Certain powers of transfer of right of usufruct are invested in the Traditional Authorities but that power of eminent domain is firmly vested in the state. Through a process of gazetting the State can acquire parcels of customary land for purposes defined as “in the national interest”. Legally this is the only form of notification strictly required. Although not explicitly stated the State would usually compensate those
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with usufruct rights to the land through payment for improvements made to the land, but not for the value of the land per se.
On 18 March 1996, the appointment of a commission of inquiry into land policy reform was gazetted. The objective of the commission was to recommend a national land policy that would promote equitable access to land, security of title to land, and improved land administration. Thus the government recognised the need for a guided future in land administration, distribution and management. The commission eventually resulted in the publication of the Malawi National Land Policy in 2002.
The emphasis on land policy reforms is part of the structural adjustment in Malawi under the guidance of the World Bank. A fundamental principle of the policy is to codify the tenets of customary land law and to elevate the customary estate (customary law) to full ownership status i.e. privately held land. Thus with the coming in force of this new land policy, the categories of land recognised in Malawi will be defined as follows:
• Government land - that will comprise land acquired and privately owned by the Government and dedicated to a specified national use, or made available for private uses at the discretion of the Government. This will include land reserved for government buildings, schools, hospitals, etc, or government owned land leased for exclusive use by individuals, companies and institutions for which ground rent is paid.
• Public land - that will be land held in trust and managed by the Government or Traditional Authorities and openly used or accessible to the public at large. This category of land includes land gazetted for use as national parks, recreation areas, forest reserves, conservation areas, historic and cultural sites. The public land designated applies also to all land vested in the Government as a result of uncertain ownership, abandonment and land that is unusable for one reason or another. Within a Traditional Authority, the community’s public land will include all land within the boundaries of the Traditional Authority which has not been allocated exclusively to any group, individual or family. This designation applies in particular to dambos (wet lands), dry seasons communal grazing areas, etc. Such common access or unallocated customary land reserved for the community are regarded as public only to members of that community and will be protected. It is not the intention of the law to see this land as vested exclusively in the Traditional Authority.
• Private land - In terms of section 24 of the Registered Land Act, registration of persons as the proprietor of any land makes that person or group of persons the registered owners of private land. Thus private land is all land that is exclusively owned, held or occupied under- (a) freehold tenure; and (b) customary land allocated exclusively to a clearly defined community, corporation, institution, clan, family or individual. Such exclusive allocations of customary land will henceforth be known as a customary estate.
The policy suggests comprehensive registering and titling of customary land interests. Thus customary land will be categorised as private land.
Taking the distinctions between Government, Public and Private lands into consideration, it is critical for the power line project that the Government ensures that:-
• All land deemed necessary for national development purposes in Malawi shall be acquired and vested in the State as government land to be managed on behalf of the nation by the Minister responsible for lands, or by other designated agents of the Government.
• Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
· Any private land (including customary estates) acquired to be used for the benefit of the general public or for national development purposes will be valued and compensation based on the open market value paid to the owner for both the land and improvements.
At present the land policy has not yet been enacted into law and the 1960’s acts still apply. However it is ESCOM policy to attempt to compensate people, where land is permanently acquired, under the new legislation. This is so in order to pre-empt the coming into being of legislation and also as ESCOM believes that it is a more equitable mechanism by which it can ensure that people are properly compensated.
In addition ESCOM will as far as possible (and where appropriate) follow a process of notification in terms of acquisition of land that follows a more equitable approach. Notification of the desire to acquire land for the power line will follow the following steps:
1. The District Assembly and all relevant local government officials will be informed of which parcels of land are required and for what purposes.
2. Traditional Authorities will similarly be informed. The Traditional Authorities will be utilised as the conduit through whom ESCOM enters into negotiation with landholders.
3. Individual holders of land will be identified (this will take place during the survey and base-line study phase and with the assistance of the traditional authorities) and ESCOM will negotiate access to the land.
4. For some parcels of land, e.g. the Phombeya sub-station, access to land will be negotiated through a process of “willing buyer - willing seller”. This will take place after due notification of the intention to acquire the land has been made to the landholder concerned.
5. Land will be replaced “in kind” where it is available and where it can be demonstrated that it is in the interests of the landholder to pursue this course of compensation. Where it is not deemed desirable to purchase land ESCOM will, after following a similar process of notification as set out above, attempt to replace land acquired by the powerline with land in the vicinity. Land will be developed to resemble that lost and costs of development shall be borne by ESCOM.
LOCAL GOVERNMENT ACT 1998
Although not explicitly concerned with resettlement issues the Local Government Act of 1998 aspires to devolve certain powers to local level government, and to make government more transparent and accessible. As such local government would have a central role to play in the planning for resettlement within their area of jurisdiction, as well as making the capacity available to effect implementation of resettlement planning.
The Act makes provision for the constitution and election of a District Assembly, constituted by elected members of each Ward of the District. The Chairperson is selected from these councillors. The District Assembly also includes ex-officios (Chiefs of the different Traditional Authority Areas in the District). A Chief Executive Officer (CEO) heads the Assembly Secretariat supported by professional heads of government departments.
The District Assembly is mandated to pass by-laws to govern its operations, as well as to raise funds for carrying out its development work. The functions of the Assembly are as follows:
• Making policies and decisions on local government and development;
• Consolidating and promoting local democratic institutions and participation;
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• Promoting infrastructure and economic development through the formulation, approval and execution of a District Development Plan;
• Mobilising resources for Development;
• Maintaining peace and security in conjunction with the Police;
• And passing by-laws for good governance.
The District Assembly is assisted by a District Executive Committee, which is a technical advisory committee made up of all heads of the Government Department and NGO partners. With regards to compensation for loss of land and resources, representatives of the Department of Forestry, Environmental Affairs, Agriculture and Lands and Valuations would be consulted through this committee. The planning for resettlement and implementation of the resettlement plan would fall within the powers of the District Assembly.
In theory the Chiefs, who are acknowledged as leaders of their respective communities and custodians of customary lands and traditional values, head Area Development Committees, which are representative of all of the Group Village Development Committees or individual Village Development Committees in their areas. The Area Development Committees are charged with the mobilisation of community resources and the determination of development interventions in the area. Chiefs, in their capacity as leaders of the Area Development Committees, would be consulted in the resettlement process. In practice some of these Committees operate well but in other areas seem to exist in name only.
GAP ANALYSIS
This project is likely to be implemented over a period under which Malawi’s land law is in a state of flux. Although this introduces an element of uncertainty ESCOM see this as an opportunity to ensure that they act in the best interests of the PAP’s. The existing law only makes provision for ESCOM to compensate people who give up land for the improvements that have been made. There are no further requirements for a developer to compensate people for disturbance. ESCOM has however followed a more liberal policy in looking after the interests of the PAP’s and compensating for a broader suite of losses.
The new law allows for people to be compensated for the land itself. In a situation where people will be compensated under existing legislation the ESCOM policy will be to replace the land lost “in kind” and bear the costs of developing the new parcels of land. This policy will provide for a greater degree of protection than the existing law provides, and as such is regarded as the better standard to apply. Where land is purchased (as the new law will allow) people will be paid under a “willing buyer - willing seller” basis and they will enjoy the protection of the “market”.
It is however ESCOM’s intention to review such cases of purchase on an individual basis. This is necessary, as there may be a body of people who wish to sell their land to generate cash for short-term consumption needs but in doing so this may impoverish them through becoming “landless”. Given the linear nature of the power line there are unlikely to be many cases in which people have to give up very substantial portions of their land holdings. In all cases, because of the absence of an official legislation strictly dealing with resettlement processes, and whenever there is a gap or conflicting directives, ESCOM will use World Bank’s OP/BP 4.12 and will apply its procedures to implement the RAP(s).
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
G. VALUATION METHODS
It should be noted that valuation procedures will include three steps:
4. Establishment of a Resettlement Working Group (RWG - see Section K below) as part of the compensation and valuation committee,
5. Assessment of replacement values of identified assets;
6. Establishment of compensation rates for all assets to be expropriated. For instance, compensation for trees will take into account the distinction between various types of trees and their economic values; fruit trees versus non -fruit trees etc. Fruit trees will be compensated for the value of lost production until the replanted tree is at the same stage of productivity.
The process for the valuation of assets is outlined in Table 2 below. Table 2: Process of Valuation
|Asset |Process |
|Homesteads |The following steps will be followed: |
| |i. A detailed inventory of all persons, possessions, assets and stock requiring |
| |resettlement will be made. |
| |ii. Accurate and real valuation of homestead/dwelling will be undertaken. In |
| |determining the replacement cost, depreciation of the asset and the value |
| |of salvage materials are not taken into account, nor is the value of benefits |
| |to be derived from the project deducted from the valuation of an affected |
| |asset. Such valuation will exclude land costs |
| |iii. Determine compensation packages according to valuations. |
| |iv. Rebuild house in designated position prior to relocation. |
| |v. Allow a reasonable time period prior to moving for salvage of building |
| |materials. PAP’s may salvage any material without this being deducted |
| |from compensation entitlements. |
| |vi. Provide temporary housing/shelter if necessary. |
| |vii. The provision of transport (including packers and loaders) to physically |
| |move people and possessions to new location. |
| |ESCOM, using contractors (or teams of contractors) will rebuild housing. All |
| |actively utilised dwelling units must be replaced irrespective of the condition of |
| |the house. The fact that housing will be new, and usually built from materials that |
| |are better than those that are lost, means that households are generally better off in |
| |terms of the quality of their housing. |
| |The following more specific recommendations are made: |
| |i. ESCOM will be responsible for the construction of the new housing and |
| |will provide transport for the occupants and their belongings when |
| |construction is complete. |
| |ii. The owner will be entitled to remove any materials he or she wishes to |
| |salvage within one month of vacating the old dwelling. ESCOM will |
| |provide transport for these materials, other than masonry, to the new |
| |residential site. |
| |iii. Where the old homestead was fenced ESCOM will erect a fence of at least |
| |equivalent standard. |
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|Asset |Process |
|Land |Although the preferred route will only result in the potential resettlement of a |
| |single homestead, the power line and its associated infrastructure could impact on |
| |many more homesteads. In particular the proposed access road will almost |
| |certainly require the acquisition of land currently used for subsistence agriculture. |
| |The loss of this land, although spread across the length of the power line and |
| |therefore unlikely to impact significantly on any one homestead or community, |
| |could have a significant impact on marginal homesteads. Given the shortage of |
| |land in Malawi and the fact that land allocation is currently in the hands of |
| |groupings who may be considered to be the community elite, it is incumbent upon |
| |ESCOM to ensure that no homestead is unnecessarily prejudiced through loss of |
| |land to the power line. In order to ensure that this does not take place ESCOM |
| |will undertake the following: |
| |• Inventory: As part of the RAP phase ESCOM will acquire names and contact |
| |details of all persons with usufruct use of land affected by the power line. |
| |• Compensation: The RAP data sheet will spell out how each household is |
| |affected and will indicate how much compensation will be paid for crops and |
| |trees lost. |
| |• Alternative land: Where land will be permanently acquired, as with the |
| |proposed access roads, the pylon footings and the proposed sub-station, the |
| |RAP must spell out where affected land will be acquired and the mechanisms |
| |by which the land will be prepared for and given over to the affected |
| |landowners. |
| |• Transfer of land: ESCOM must take responsibility for ensuring that land is |
| |transferred to the affected households, and must bear all costs associated with |
| |preparing the parcels of land to the same state as those that were acquired. |
| |• Monitoring: The monitoring teams must ensure that appropriate replacement |
| |land has been made available to the directly affected populace and ensure that |
| |the land has been prepared in such a way as that there is no loss of homestead |
| |incomes |
| |It is anticipated, as set out in Section F above, that much of the land that will be |
| |acquired will be replaced in kind and developed to a situation where it can be |
| |utilised for the purposes of cultivation. Costs of development, including survey |
| |and bush clearance will be for ESCOM’s account, as will start up cost e.g. seed. |
| |For agricultural land, the following will be taken into account: |
| |• 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 cost of land preparation to levels similar to those of the affected land, |
| |• plus the cost of any registration and transfer taxes; |
| |For land in urban areas, it is the |
| |• pre displacement market value of land of equal size and use, with similar or |
| |improved public infrastructure facilities and services and located in the |
| |vicinity of the affected land, |
| |• plus the cost of any registration and transfer taxes; |
| |It should be noted that although it is customary for the RPF to describe potential |
| |impacts on the host community this is not relevant in this instance. Impacts would |
| |be localised and restricted to those living along a narrow strip affected by the |
| |power line. No one will be expected to resettle more than a few metres away form |
| |where they currently reside. People whose land would be permanently acquired |
| |would almost certainly be able to replace at least part of this in relatively close |
| |proximity to current holdings. |
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|Asset |Process |
|Lost business |Where business profits may be affected compensation will be paid according to |
|profits and |audited results of the enterprises monthly income. Similarly lost wages will be |
|employee |determined through enterprise audit. |
|earnings | |
|Crops on the |Where people have been allocated land for their own cultivation purposes the |
|fields |following process will be followed: |
|cultivated by |Tree/perennial crops |
|those affected. |Tree/perennial crops will be compensated on the basis of loss of production (and |
| |consequently loss of income) accumulated over the period required for the tree to |
| |start producing. Calculations will be made per species and in accordance with the |
| |prescribed rates. Compensation for fruit trees is the value of production during the |
| |period while replacement trees come into full production. Value for trees used for |
| |timber is the value of the timber. It should be noted that these rates were |
| |calculated in 1994. As such they will be reviewed and if necessary revised so that |
| |rates paid are reasonable. Rates will be discussed with the RWG to ensure that |
| |there is general agreement that they represent a fair price. |
| |Annual crops |
| |Annual, or field crops will be compensated according to the loss of a season’s |
| |production (and resulting income). Value is assessed mid-way between harvests. |
In terms of housing, cash will be paid ONLY in the following instances:
• Incomplete dwelling units, or units which have collapsed and are no longer functioning as dwelling space, will be evaluated and the owner paid out cash for them. An official of the Department of Agriculture must undertake the valuation.
• Cash will be paid for cattle and goat pens and for any other miscellaneous improvements on the site. Alternatively the household should be asked to reconstruct these pens at the new site and be paid compensation when this is completed.
Although Malawian legislation does not make allowance for a disturbance allowance, a range of re-establishment measures and special provisions may be required and the need for these will be assessed during the RAP phase. These include displacement allowances and measures to promote the viable re-establishment of homesteads whose livelihoods are considered to be at particular risk because of displacement and relocation.
In addition, PAPs will be entitled to transitional assistance, which includes moving expenses an temporary residence (if necessary).
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
H. ENTITLEMENT DELIVERY
Once the compensation amounts have been negotiated with the PAPs, ESCOM will transfer the compensation sums to the District Commissioner's office, which then dispenses the amounts to the affected parties, frequently through the offices of the Traditional Authorities. Payment will be effected at a public meeting, attended by the Project-Affected Persons, Project officers, the District Commissioner's Office, the Traditional Authority's office, and a disinterested third-party, such as an NGO. The officials and the neutral supervision will verify that the amount to be paid is the amount agreed to by the PAP in negotiation with the Project Authority. The responsible government officer will then deliver the payment to the PAP, who will sign a receipt acknowledging payment in full as agreed upon during negotiations.
ESCOM will monitor the delivery of such funds so as to ensure that all amounts reach all intended beneficiaries. This will be an explicit part of the TOR for the monitoring team.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
I. I M P L E M E N T A T I O N PROCESS AND LINKAGE TOCI VIL WORKS
The Gantt Chart set out below shows the recommended process that the implementation of resettlement will follow (Figure 1). This is a process designed to show the steps that need to be followed. The actual start date would be allied to the project funding cycle. The task entitled “ongoing support for displaced households” is only shown as extending over five months. In reality it will extended over an entire agricultural season to ensure that those whose crops and land were disturbed have been able to replace their system of production.
[pic]
Figure 1: Implementation programme
The fundamental responsibility for delivery and implementation of the resettlement actions as set out in this RPF rests with ESCOM. Current protocol is for ESCOM to work closely with the District Officials and the Traditional Authorities in identifying who is affected and in ensuring that communication between ESCOM as developer and the PAP’s is adequate. Other bodies that could provide support include:
• District Level Department of Agriculture, which is able to provide expertise in terms of valuation for assets and recommendations for compensation.
• Resettlement Working Group, which provides a consultative forum, as well as problem-solving and oversight functions
• Other agents appointed by ESCOM to deliver services required to effectively implement the resettlement process.
The organisational chart for the implementation of resettlement is outlined in Figure 2 below:
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ESCOM Malawi
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
Figure 2: Implementation Organogram
It should be noted that local NGO’s can also play a significant role in the resettlement process. NGO’s could be contracted in as part of the monitoring team, or they could play a role on the Resettlement Working Group.
It should also be noted that civil works will not commence until land acquisition has been completed.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
J. FUNDING ARRANGEMENTS
As noted the fundamental responsibility for delivery and implementation of the resettlement actions as set out in this RPF rests with ESCOM. Current protocol is for ESCOM to work closely with the District officials to calculate compensation and then for ESCOM to use the District Officials and the Traditional Authorities as the channels whereby they pay the monies over.
Although this model appears to be workable it is somewhat cumbersome and does give some rise to the potential for it to be abused. As such ESCOM will retain control over the channels of disbursements of funds for compensation as well as for overseeing the process of resettlement. They, in the spirit of co-operative governance, may wish to engage agents. In particular the Local Government, as represented by the District Commissioner and or nominated agents of the District Assembly, might be included to provide assistance. Assistance will however be strictly monitored by ESCOM.
ESCOM will provide both the financial input into the resettlement and compensation process as well as significant additional managerial and technical expertise. The following is anticipated to be the role to be played by ESCOM. It will:
• Maintain overall responsibility for the implementation of the resettlement process, including the RAPs.
• Ensure that the Guiding Principles in Section B are adhered to.
• Ensure maximum participation of the affected people in the planning of their own resettlement and post resettlement circumstances.
• Obtain/access funding to finance the implementation of resettlement, in accordance with the funding requirements specified in the relevant RAPs.
• Accept financial responsibility for payment of compensation and other resettlement related costs.
• Ensure monitoring and evaluation of the RAPs and the undertaking of appropriate remedial action so as to deal with grievances and to ensure that income restoration is satisfactorily implemented.
• Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
K. C ONSULTATION AND PARTI CI P A T I O N
Relocating or compensating people implies communication or dialogue with the stakeholders. Extensive consultation with the potentially affected community has already taken place. This has been in the form of visits by the ESCOM project management team to the various relevant local government members and some meetings with individuals affected.
For the purposes of generating the RPF a site visit was undertaken from 7th to the 15th of April 2003. During this time the proposed preferred line as well as the alternative was viewed. Interviews were undertaken along the line with inter alia;
A number of traditional authorities as well as sub-chiefs and headmen.
• A limited number of people directly affected by the proposed power line. This included the only homestead on the preferred route that appears to be directly affected through being required to resettle.
At District level and Traditional Authority Level, the interviews were aimed at accessing and discussing socio-economic profiles and development priorities of the District, and at eliciting officials’ perceptions, issues and suggestions with regards to the Power line Project, as well as to obtain permission to conduct interviews at village level. The following officials of the three affected Districts were interviewed:
Mwanza District
• District Commissioner.
• Head of Planning and Development.
• Environmental Officer.
• Head of Administration.
Neno District
• District Commissioner.
• Traditional Authorities (Chiefs) of Symon and Mlaula.
Balaka District
• District Commissioner.
At village level, interviews focused on gaining an understanding of the socio-economic conditions in the villages, livelihood strategies, development priorities, and people’s perception, issues and suggestions with regard to the project. The following villages were included:
Mwanza District:
• Kasapa: An interview with the village headman and a focus group with six villagers (all women).
• Gonamwake: An interview with the village headman.
• Chiwembu: An interview with a councillor of the area and his wife.
• Msakambewa: An interview with village headman and a focus group with six villagers (all women).
• Raundi: A focus group with a group of six villagers, including the village headman.
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• Mlongolola: An interview with the village headman and a focus group with four villagers
Neno District:
• Chasesa: Interviews with the village headwoman and with one villager
• Mbemba: A focus group with three villagers (who lived near the proposed line, far from the village centre)
• Mkwinda: Interview with the village headman and with a group of three villagers.
Balaka District:
• Kamwamba: An interview with the headwoman
• Mpandasoni: An interview with the village headwoman and her son.
In addition to the process that has already taken place, further consultative mechanisms will be structured at three levels. Firstly PAPs will be consulted individually and in groups, depending on the context, secondly local level consultative fora, elected, convened and run by the affected parties themselves will be set up, and thirdly a Resettlement Working Group will be established.
The PAP linked consultation and participation process will include five phases. These will be:
• Phase1 - Data collection. In this phase the PAPs will be individually interviewed and asset registers compiled. During this phase PAPs will be encouraged to register issues, claims and concerns. These will be registered as part of the formal survey and logged. All PAP will be interviewed during the course of the data collection phase.
• Phase 2 - Valuation of assets and design of compensation packages. The process of valuation of compensation will ideally run in parallel with the data collection and as part of the RAP. In this phase estimates of values that will accrue to the PAP’s will be undertaken and discussed with the individuals concerned. Where housing is to be replaced the mechanisms by which this will be achieved as well as design of possible replacement housing will be discussed with the relevant PAP’s.
• Phase 3 - Compensation payout. The process of compensation payout will be transparent and will be held in public as described in Section H.
• Phase 4 - Grievance procedures. PAPs will have right of access to the formally established grievance process and will be entitled to make their concerns and/or complaints known. They will also be entitled to attend Resettlement Working Group (RWG) meetings to ensure that their concerns are being addressed.
• Phase 5 - Monitoring and Evaluation. The Monitoring team will have the right to visit and interview PAPs. PAPs through the grievance procedure process will be able to contact the monitoring and evaluation team to ensure that their concerns are heard.
Secondly, local level consultative fora, elected, convened and run by the affected parties themselves, but recognised by ESCOM and any other relevant implementing agents must be established. These will be established for the purposes of liaison and communication, as well as for the election of representatives to the Resettlement Working Group (RWG - see below). It is recommended that one consultative forum per Traditional Authority be established. If appropriate the consultative fora could mirror the development committees already in place in the Traditional Authorities and villages.
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Thirdly the RWG will be constituted and run in such a way that the affected constituencies must be adequately represented and fairly heard. This is so as to ensure that their concerns and suggestions be taken seriously. To this end, they must be entitled to take grievances to the appropriate channels, and the independent Monitoring team must monitor the activities and minutes of the RWG.
These three levels of consultation will be supported and complemented by a screening process, using a tool called Land Acquisition Assessment (LAA) to accurately assess the project’s needs in land, identify and delineate the land. The World Bank will help designing the LAA before the project implementation starts.
RESETTLEMENT WORKING GROUP (RWG)
Functions
The RWG will act as the primary advisory body to ESCOM in all matters relating to resettlement. It will be constituted in such a manner as to be regarded as the primary representative voice of those affected by resettlement, and it will be recognised by ESCOM as such. The RWG need not bear a direct relationship to the Area Development Committees/Group Village Development Committees and/or individual Village Development Committees that have already been established. Given that these Committees represent their constituency as a whole and not people affected by a linear development passing through the area, the committees may not necessarily have project specific interest at heart. However the elected community members of the RWG will make it a priority to report back to the appropriate development committees to keep them abreast of developments relating to the powerline.
Under the overall authority of its reporting officer, the RWG will have the following functions:
i. To act as the primary channel of communication between the various interest groups/organisations involved in the resettlement process. In particular, it will serve to facilitate communication between ESCOM and the affected populace.
ii. To serve as the court of first appeal to solve any problems relating to the resettlement process. If it is unable to resolve any such problems, it is to channel them through the appropriate grievance procedures (see below).
iii. To assume primary responsibility for assisting ESCOM in overseeing the resettlement processes in all its phases.
The RWG is not a statutory body and has powers only to recommend. However, given its pivotal position in the resettlement process these recommendations will be treated with considered respect.
Composition
The composition of the RWG will be as follows:
A representative of the affected communities/villages. This will be made up of two
members from each of the Traditional Authorities areas defined as affected. At least one
of the two members will be a woman. Their constituents will elect these members.
A Representative of the Traditional Authorities in each of the areas affected.
A Representative of ESCOM.
• One representative from each of the three Districts. These will be the DC or nominated agent.
Each member will have a vote. There will be 19 voting members. At least 12 members will be present at a meeting for a quorum to be in place.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
Meetings
The RWG could meet at least once every two months, following a standard and accepted practise of notification, and make relevant documentation available to ESCOM and the independent Monitoring Team. Meetings must be advertised beforehand and must be open to members of the public, on a non-participatory, non-voting basis. Given the RWG role in grievance redress and the need to speedily resolve these, it is anticipated that a sub-committee of the RWG will be established to examine grievances. The sub-committee will meet as and when required but must respond to a lodged grievance within 2 weeks of it being made known.
GRIEVANCE REDRESS PROCEDURES
Grievance redress mechanisms are essential tools for allowing affected people to voice concerns about the resettlement and compensation process as they arise and, if necessary, for corrective action to be taken timeously. Such mechanisms are fundamental to achieving transparency in the resettlement process. The suggested dispute or grievance mechanisms are as follows:
Disputes
Disputes will be referred to the RWG, and the RWG asked to provide a recommendation as to how it is to be addressed. If deemed necessary by the RWG the case will be re-investigated and referred to an independent NGO, appointed on an ad hoc basis, for investigation and ruling. Alternatively this role could be served by the Monitoring Team. If still not resolved the disputes would be sent to ESCOM for hearing and if still not resolved ultimately to the courts of law.
Information about all dispute and grievance procedures is to be widely disseminated, through consultative fora, the RWG, and the media.
The ESCOM nominated agent will keep a written record of all disputes/grievances raised and dealt with during the resettlement and compensation process. These records will be monitored regularly by the RWG and by the independent Monitoring Team. This will be undertaken as part of the on-going monitoring and evaluation process. Grievances will be resolved.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
Figure 3: Grievance Redress Procedure
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
L. MONITORING OF RESETTL EM E N T
ESCOM is responsible for the implementation of resettlement. ESCOM will be responsible for providing the funding for monitoring to ensure that resettlement is properly implemented, and is in line with the RPF and specific RAPs, that grievances are being attended to, and that any necessary changes to the overall process are being timeously and sensibly made. Monitoring will take place at two levels:
Internal Monitoring will be conducted by a suitably qualified person within ESCOM itself. Likewise, the concerned local administration will also conduct their own monitoring or in collaboration with ESCOM.
External Monitoring will be conducted through World Bank supervision missions in conjunction with an international resettlement expert (a social scientist with a minimum of 15 years experience, and at least 5 years specific experience in resettlement), and a suitable representative of a local NGO. The external Monitoring Team should visit the project area at least twice per year. The monitoring team will pay particular attention to the following aspects:
• Ensure that replacement housing for those who have had to move is of an adequate replacement standard.
• Ensure that monies paid to households who have lost crops and other forms of livelihood production have received fair compensation.
• Ensure that where land has been permanently acquired for the power line that households affected have been afforded suitable replacement land.
The Monitoring Team must write its reports before the end of each visit and submit then to the ESCOM Project Manager and RWG. The Monitoring Team should structure its reporting in conjunction with the variables as set out in Appendix C.
Both levels of monitoring will be complemented and supported at the end of the process by an independent Audit to assess whether the displacement process has been done in conformity with the RAP and whether the RAP itself was prepared in conformity with the RPF’s directives.
The Monitoring Team’s costs and that of the independent Audit will be funded out of the Resettlement budget.
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
M. BUDGET
The provisional budget for the resettlement programme is as in Table 3 here below. This budget is conservative and at this stage indicative of the kinds of costs that the developer may encounter.
Table 3: Budget
|Item |Unit |Unit |Quantity |Total USD |Quantity |Total USD |
| | |Cost |Preferred | |Alternative | |
| | | |route | |route | |
|Census (demographic) | | |1 |50,000.00 |1 |50,000.00 |
|Asset inventories/valuation | | |1 |75,000.00 |1 |75,000.00 |
|RAP documentation | | |1 |65,000.00 |1 |65,000.00 |
|Replacement housing |per hh |1500 |1 |1,500.00 |92 |138,000.00 |
|Land Purchase (Phombeya) |per ha |300 |15 |4,500.00 |0 |0.00 |
|Compensation for crops |per ton maize |106 |1500 |159,000.00 |1500 |159,000.00 |
|Compensation for Trees |per km |250 |90 |22,500.00 |90 |22,500.00 |
|Bush Clearing |per ha |160 |300 |48,000.00 |450 |72,000.00 |
|Survey costs |per ha |20 |300 |6,000.00 |450 |9,000.00 |
|Crop starter pack |per hh |50 |800 |40,000.00 |800 |40,000.00 |
|Evacuation and transport |per hh |100 |1 |100.00 |92 |9,200.00 |
|Displacement allowance |per hh |50 |800 |40,000.00 |800 |40,000.00 |
|Church | |5000 |0 |0.00 | |0.00 |
|Interim support |per hh |100 |800 |80,000.00 |800 |80,000.00 |
|Monitoring and Audit |3 years |20000 |3 |60,000.00 |3 |60,000.00 |
|NGO's | | | |50,000.00 | |50,000.00 |
|Total | | | |701,600.00 | |869,700.00 |
|Contingencies | | | |56128 | |69576 |
|Total with Contingencies | | | |757,728.00 | |939,276.00 |
| | | | | | | |
ESCOM Malawi
This estimated budget will be adjusted as needed during implementation on the basis of the prevailing market prices. Also, the resettlement budget will be reflected in the overall project budget.
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APPENDIX A: Photographs of homesteads potentially needing resettlement
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
Appendix B: Model TOR for a RAP
The proposed RAP will conform to the following outline:
❑ Introduction – Project Background
• Brief introduction about the project
• List of project components
• Description of project components causing land acquisition and resettlement. Overall estimates of land acquisition and resettlement.
• Minimizing resettlement
• Describe efforts made for minimizing resettlement
• Describe the result of these efforts
❑ Census and Socio-economic Surveys
• Identify all categories of impacts (loss of property and assets; loss of livelihood; impacts on groups and communities)
• Give formats and tables for census surveys
• Provide outlines for socio-economic survey
• Summarize process for consultations on the results of the census surveys
• Describe need and mechanism to conduct updates, if necessary
❑ Resettlement Policy and Legal Framework
• Identify areas of conflict between local laws and World Bank policies, and project-specific mechanisms to address conflicts
• Provide a definition of project affected persons
• Describe entitlement categories for each category of impact
• Describe method of evaluation used for affected structures, land, trees and other assets
• Provide entitlement matrix
❑ Resettlement Sites
• Does the project need community relocation? Have these been approved by the PAPs?
• Give layouts and designs of residential sites
• Have the PAPs agreed to the strategy for housing replacement? Have the selected sites been explicitly approved by the PAPs describe the specific process of showing the sites to the PAPs and obtaining their opinion on them.
• Describe the technical and feasibility studies conducted to determine the suitability of the proposed sites.
• Is the land quality/area adequate for allocation to all of the PAPs eligible for allocation of agricultural land?
• Give calculations relating to site requirements and availability.
• Describe mechanisms for (i) procuring, (ii) developing and (iii) allotting resettlement sites
• Provide detailed description of the arrangements for site development for agriculture, including funding of development costs.
• Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
❑ Institutional Arrangements
• Identify and discuss the institutions responsible for delivery of each item/activity in the entitlement policy
• Describe the project resettlement unit – functions and organizational structure of the unit and coordination relationship
• State how coordination issues will be addressed in cases where resettlement is spread over a number of jurisdictions.
• Identify who will coordinate all agencies-with the necessary mandate
• State when the project resettlement unit will be staffed.
• Describe plans for training and development of staff in the resettlement unit/local agencies.
• Discuss initiatives taken to improve the long term capacity or resettlement institutions
❑ Income Restoration
• Briefly spell out the main restoration strategies for each category of impacts, and describe the institutional, financial and technical aspects.
• Describe the process of consultation with project affected persons (PAPs) to finalize strategies for income restoration
• How do these strategies vary with the area/locality of impact?
• Are the compensation entitlements sufficient to restore income streams for each category of impact? What additional economic rehabilitation measures are necessary?
• Does income restoration require change in livelihoods, development of alternative farmlands, etc., or involve some other activities, which require a substantial amount of time for preparation and implementation?
• How does the action plan propose to address impoverishment risks?
• Are choices and options built into the entitlements? If so, what is the mechanism for risk and benefit analysis of each option? What is the process of ensuring that PAPs have knowledge about alternatives and can make informed decisions? Is there a mechanism to encourage vulnerable groups among PAPs to choose lower risk options such as support in kind rather than cash?
• What are the main institutional and other risks for the smooth implementation of the resettlement programs?
❑ Implementation Schedule
• List and briefly describe the chronological steps in implementation of the resettlement, including identification of agencies responsible for each step of the program.
• Prepare a month-wise implementation schedule of activities to be undertaken as part of the resettlement implementation (Gantt chart)
• Describe the linkages between resettlement implementation and initiation of civil works for each of the project components.
❑ Costs and Budget
• Clear statement of financial responsibility and authority.
• Ensure that the cost of resettlement is included in the overall project costs.
• Identify components, if any, to be funded by donors such as the World Bank, JICA, NORAD, DANNIDA, etc.
• Resettlement costs should be a part of annual involvement plans.
ESCOM Resettlement Policy Framework 36
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
• Prepare a cost-wise, item-wise budget estimate for the entire direction of resettlement implementation, including administrative expense, monitoring and evaluation and contingencies.
• List the sources of funds and describe the flow of funds.
• Describe the specific mechanisms to adjust cost estimates by the inflation factor.
• Describe provisions to account for physical and price contingencies.
❑ Participation and Consultation
• Describe the process of consultation/participation in resettlement preparation and planning.
• Describe the various stakeholders.
• Describe the plan for disseminating information to project affected persons (PAPs), such as provisions for a booklet to inform PAPs and other stakeholders.
• Describe examples of outcomes of participation and consultation, such as how local beneficiaries’ views have influenced the design process, entitlements and support mechanisms, or other issues.
• Have workshops been conducted, or are they planned? Who are the participants, and what are the expected outcomes?
❑ Grievance Redress
• Describe the step-by-step process for registering and addressing grievances
• Provide specific details regarding registering complaints, response time, communication modes, etc.
• Describe the mechanism for appeal
• Describe the provisions to approach civil courts in case other provisions fail.
Monitoring and evaluation
• Describe the internal monitoring process
• Define key monitoring indicators. Provide a list of monitoring indicators, which would be used for internal monitoring.
• Describe institutional (including financial) arrangements.
• Describe frequency of reporting and content for internal monitoring.
• Describe process for integrating feedback from internal monitoring into implementation.
• Describe financial arrangements for external monitoring and evaluation, including process for awarding and maintenance of contracts for the duration of resettlement.
• Describe methodology for external monitoring.
• Define key indicators for external monitoring, focusing on outputs and impacts.
• Describe frequency of reporting and content for external monitoring.
• Describe process for integrating feedback from external monitoring into implementation.
ESCOM Resettlement Policy Framework 37
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
APPENDIX C: EXAMPLES OF MONITORING INDICATORS AND VARIABLES
|Subject |Indicator |Variable |
|Land |Acquisition of land |• Area of cultivation land acquired for ESCOM developments |
| | |• Area of communal land acquired for ESCOM developments |
| | |• Area of private land acquired? |
| | |• Area of government land acquired? |
|Buildings/Structures |Acquisition of |• Number, type and size of private buildings acquired |
| |buildings |• Number, type and size of community buildings acquired |
| | |• Number, type and size of government buildings acquired |
| |Acquisition of other |• Number, type and size of other private structures acquired |
| |structures |• Number, type and size of other community structures acquired |
|Trees and Crops |Acquisition of trees |• Number and type of private trees acquired |
| |Destruction of crops |• Crops destroyed by area, type and ownership |
|Compensation, Re- |Compensation and re- |• Number of homesteads affected (buildings, land, trees, crops) |
|establishment and |establishment of |• Number of owners compensated by type of loss |
|Rehabilitation |affected |• Amount compensated by type and owner |
| |owners/individuals |• Number of replacement houses constructed |
| | |• Size, construction, durability and environmental suitability of replacement houses |
| | |• Possession of latrines |
| | |• Water supply access |
| | |• Number of replacement businesses constructed |
| | | |
| |Re-establishment of |• Number of community buildings replaced |
| |community resources |• Number, type of plants lost |
| | |• Number of seedlings supplied by type |
| | |• Number of trees planted |
|Hazards and |Introduction of |• Number of homesteads affected by hazards and disturbances from construction |
|Disturbances |nuisance factors |(noise levels, blasting, increased traffic levels) |
|Social/ |Changes to homestead |• Homestead size (births, deaths, migration in and out) |
|Demograpihic |structure |• Age distribution |
| | |• Gender distribution |
| | |• Marital status |
| | |• Relationship to homestead head |
| | |• Status of “vulnerable” homesteads |
| |Population migration |• Residential status of homestead members |
| | |• Movement in and out of the homestead (place and residence of homestead |
| | |members) |
| |Changes to access |• Distance/travel time to nearest school, health centre, church, shop, village |
| |Changes to health |• Nutritional status of resettled homestead members |
| |status |• Number of people with disease, by type (STDs, diarrhoea, malaria, ARI, |
| | |immunizable disease) |
| | |• Mortality rates |
| | |• Access to health care services (distance to nearest facility, cost of services, |
| | |quality |
| | |of services) |
| | |• Utilization of health care services |
| | |• Disease prevention strategies |
| | |• Extent of educational programmes |
| | |• Latrine provision at schools (school child population per VIP on site) |
| |Changes to |• Literacy and educational attainment of homestead members |
| |educational status |• School attendance rates (age, gender) |
| | |• Number, type of educational establishments |
| |Changes to status of |• Participation in training programmes |
| |women |• Use of credit facilities |
| | |• Landholding status |
| | |• Participation in ESCOM-related activities and enterprises |
Mozambique-Malawi Interconnector: ESCOM Resettlement Policy Framework
|Subject |Indicator |Variable |
| |Homestead earning |• Ownership of capital assets |
| |capacity |• Ownership of equipment and machinery |
| | |• Landholding size, area cultivated and production volume/value, by crop (cash and |
| | |subsistence crops) |
| | |• Landholding status (tenure) |
| | |• Redistribution of cultivation land |
| | |• Changes to livestock ownership: pre-and post disturbance |
| | |• Value of livestock sales, and imputed value of barter transactions |
| | |• Consumption of own livestock production |
| | |• Employment status of economically active members |
| | |• Skills of homestead members |
| | |• Earnings/income by source, separating compensation payments |
| | |• Changes to income-earning activities (agriculture) – pre- and post disturbance |
| | |• Changes to income-earning activities (off-farm) –pre-and post disturbance |
| | |• Amount and balance of income and expenditure |
| | |• Possession of consumer durables |
| | |• Realisation of homestead income restoration plans (components implemented, net |
| | |income achieved) |
| | |• Possession of bank and savings accounts |
| | |• Access to income-generating natural resource base (wood, grass, sand, stones) |
| |Changes in social |• Organisational membership of homestead members |
| |organisation |• Leadership positions held by homestead members |
| |Population influx |• Growth in number and size of settlements, formal and informal |
| | |• Growth in market areas |
| | |• Influx of people from outside the ESCOM area |
|Consultation |Consultation |• Number of local committees established |
| |programme operation |• Number and dates of local committee meetings |
| | |• Type of issues raised at local committees meetings |
| | |• Involvement of local committees in ESCOM development planning |
| | |• Number of participating NGOs |
| |Information |• Number, position, staffing of Information Centres |
| |dissemination |• Staffing, equipment, documentation of Information Centres |
| | |• Activities of Information Centres |
| | |• Number of people accessing Information Centres |
| | |• Information requests, issues raised at Information Centres |
| |Grievances resolved |• Number of grievances registered, by type |
| | |• Number of grievances resolved |
| | |• Number of cases referred to court |
|Training |Operation of training |• Number of local committee members trained |
| |programme |• Number of affected population trained in Project-related training courses |
|Management |Staffing |• Number of implementing agencies by function |
| | |• Number of GOM ministry officials available by function |
| | |• Number of office and field equipment, by type |
| |Procedures in |• Census and asset verification/quantification procedures in place |
| |operation |• Effectiveness of compensation delivery system |
| | |• Number of land transfers effected |
| | |• Co-ordination between local community structures, ESCOM and GoM officials |
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ESCOM Resettlement Policy Framework 2
RP518
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Other Government
Departments, e.g. Dept. of Finance
ESCOM PROJECT
MANAGEMENT
Monitoring
Team
Local
Government
Resettlement
Working Group
District Executive Committee,
Area Development Committees,
Group Village Development Committees,
Individual Development Committees
PAP’s
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Affected party declares a grievance
Grievance resolved
RGW hears grievance
And rules. RGW has 2 weeks from submission to respond
No further action
Grievance resolved
No further action
NGO/Monitoring team investigates and rules within 2 weeks
Grievance resolved
Grievance considered by ESCOM Management. Must respond within 2 weeks
No further action
Legal Action
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