North-East Irrigated Agriculture Project (NEIAP) (Cr 3301 CE)
SRI LANKA 28692
NORTH-EAST IRRIGATED AGRICULTURE PROJECT (NEIAP)
Funded by WORLD BANK
Implemented by NORTH-EAST PROVINCIAL COUNCIL
SOCIAL SAFEGUARDS & RISKS
ASSESSMENT AND MANAGEMANT FRAMEWORK
Prepared by
Project Management Unit (NEIAP)
North-East Provincial Council
Trincomalee – Sri Lanka
Cleared by WORLD BANK
Contents
Page
Foreword 1 - 2
Chapter 1. Introduction 3
Conflict torn Sri Lanka 3
Impacts of the Conflict 3
Government Support to Conflict Affected People 4
The Current Status of the North East 4
The World Bank’s Role – conflict and post conflict situation 5
Social Safeguards and Risks associated with NEIAP 7
Chapter 2. Social Safeguards Issues – Involuntary Resettlement 8
The World Bank Policy – Operational Policy 4.12 8
OP 4.12 and NEIAP 8
NEIAP’s activity portfolio 9
Chapter 3.
The World Bank Policy on Indigenous people 10
Operational Directive 4.20 10
O D 4.20 and NEIAP 11
Extend of the Issue 11
I P Village 11
Plan of Action 12
The World Bank Policy on Cultural Heritage 12
Operational Manual Statement on Cultural Heritage 12
Chapter 4. Social Risks 13
Legal Protection of Owners’ Rights and Grievance Redressal 16
Chapter 5. Monitoring & Evaluation: An Extended Agenda 22
Framework of Implementation Monitoring 22
A Land register to form a part of Village Social Profile 22
Strengthen SMO dispute resolution skills 22
Sensitization workshops on land issues 22
Boxes
1. North East Irrigated Agriculture Project 6-7
2. Indigenous Peoples 10 -11
3. Agrarian Development Act 17
Attachments
1. District Social Profile
2. (a) List of participants of project stake holders’ workshop on social safeguard issues – Ampara District
b) List of participants of project stake holders’ workshop on social safeguard issues – Batticaloa District
c) List of participants of World Bank Review Mission workshop on social safeguard issues -
3. Operational Policy 4.12 -Involuntary Resettlement
4. Operational Directive 4.20- Indigenous Peoples
5. Revised by laws of Farmers’ Organization
6. Landownership Categories in Sri Lanka
7. Framework of Implementation Monitoring - Social and Institutional Aspects
8. M & E Frame work
9. NEIAP land monitoring records
Tables
Land use Titles
Land Encroachment and Dispute Resolution
Foreword
The compilation of a comprehensive Implementation and Monitoring framework (IMF) was a pre-requisite agreed upon with the World Bank, the funding agency of NEIAP. Accordingly following the agreements reached further during CPR mission (May-June 2001) and thereafter, the PMU, with assistance from the World Bank prepared this manual. This is aimed at creating a larger awareness about the current and potential social safeguards / risks and the mechanism to address them among the stakeholders in general and the field level project functionaries in particular.
The manual among others comprises of an expanded Framework of Implementation and Monitoring (FIM) along with tools and mechanism developed to identify and monitor safeguard and risk issues and the mitigatory measures there of.
Though the manual has been developed chiefly keeping NEIAP in mind, its scope, relevance and utility are rather general and will prove as a useful tool for all land based projects in the ensuing times.
I therefore would like to thank the staff of the World Bank, particularly Mr.Nihal Fernando, Task Team Leader of NEIAP, World Bank, Colombo and Dr.Suryanarayanan Satish, Community Development Specialist, World Bank, India, for the invaluable advices and guidance given in designing and compiling the manual.
My thanks are also due to Mr.P.Ramanathan, Project Director, of NEIAP for the initiative taken in directing his staff, specially Mr.H.K.S.Hettiarachchi, Planning Monitoring and Evaluation Specialist, who undertook the task from collection of information to final editing of the report, in which there were many other intermediatories whom had been contacted by him for necessary information.
Among them were MR.G,Kirushnamurthy, Former Chief Secretary, North East Province, Mr.N.P.K.Nelumdeniya, Government Agent, Trincomalee, Mr.H.A.Ariyadasa, Government Agent, Moneragala, Mrs. Thanuja Murugashan, Provincial land Commissioner, North East Province, Mr.B.R.Senarathne, Assistant Commissioner (legal) Land Commissioner’s Department, Colombo, Mr.B.M.Ariyarathne, Assistant Commissioner lands, Kachcheri, Trincomalee, Mr.A,A,Bawa, Deputy Project Director, NEIAP, Kachcheri, Ampara, Mr.A.C.Vinotharajah, Deputy Project Director, NEIAP, Batticaloa, Mr.S.Samithambi, Assistant Commissioner, Agrarian Development, Batticaloa, Mr.V.Velumylum, Divisional Secretary, Town & Gravets, Trincomalee, Mr.Elamaldeniya, Agrarian Development Officer (Head Quarters) Dept. of Agrarian Development, Trincomalee, whose support had been extended to Mr.Hettiarachchi was unforgettable. I thank them all for their valuable support to prepare this manual.
S.Rangarajah – Chief Secretary,
North East Provincial Council,
Chairman – Project Steering Committee,
NEIAP.
Chapter 1
INTRODUCTION
Conflict torn Sri Lanka
1. For nearly two decades Sri Lanka in general, and its Northern and Eastern Provinces in particular have been suffering from a devastating conflict between the Armed forces of the Government and Liberation Tigers of Tamil Eelam (LTTE). The conflict induced war has taken an enormous toll on the country’s human and financial resources, physical assets and social capital. It has taken nearly about 64,000 lives, resulted in displacing over 1,000,000 people and deteriorating social and economic infrastructure, mainly in the Northern and Eastern provinces (hereafter called North-East in this document). The social and economic costs of the war as well as missed opportunities for the country and the affected people are enormous.
2. The war has divided the North and East region into two zones such as areas under the administrative control of the Government (called as “cleared” areas by the Armed forces) and areas not under the Government control but controlled by the LTTE (“uncleared” areas). These areas over the past have moved back and forth from Government control to LTTE control indicating intense continuous conflict situation.
Impacts of the Conflict
3. The project complied District Social Baseline Profiles as a requirement for project Appraisal at the beginning of the project. These profiles reflect the situation that existed in 199-2001 and the impact of conflict on people and social and economic infrastructure. A summary of the profiles in Attachment 1 (In dynamic situation of the conflict area this is only a snap shot and base line profile). The war displaced a large number of people and enforced them involuantry to flee from their homes leaving behind their assets including lands and other private property. Many have been displaced multiple times. While a large number of families remain internally displaced (IDPs) within the country, some unconfirmed number of families have left the country and settled down overseas permanently and some families have fled to India and now live in and outside refugee camps in Tamil Nadu state.
4. Among the IDPs, majority have taken refuge with friends and relatives (for short periods), whereas the poor and more vulnerable families continued to reside in government-run welfare camps for relatively long periods of time. With the signing of the MoU and the expectations for peace, most of the displaced people are returning to their original settlements and many others expect to return as and when the situation would become more secure to re-establish their livelihoods.
5. Livelihood support systems have been seriously disturbed as a consequence of displacement. Irrigated agriculture used to be the backbone of the economy in the North-East with nearly two thirds of its pre-war population eking their livelihood from agricultural farming, livestock rearing and deep sea fishing. The agriculture and domestic water needs are typically supplied by about 2,400 minor irrigation reservoirs (locally called irrigation tanks) and run-off-river structures (anicuts), about 135 major/medium tanks and large number of open dug wells scattered over the area.
6. However, the forced displacement of people from their settlements have left agricultural land without sufficient resources to maintain cultivation. This situation coupled with the weakened administrative system and agricultural and agrarian extension support services have left the irrigation facilities to damage and heavy dilapidation. Most of these irrigation schemes are either operating at much lower capacity or damaged to the extent that those cannot store water to allow irrigated farming on the agricultural lands at optimum levels. In addition, many rural roads that link villagers, and farming and fishing communities to irrigation schemes and nearby townships and market centers are heavily dilapidated. Large areas of productive farm lands and previously inhabited areas are reported to have been heavily mined.
Government support to conflict-affected people
7. The Government of Sri Lanka was ever interested in re-integrating the affected people with social and economic mainstream. However, till recently, Government’s administrative delivery systems in the North-East were weak due to lack of man power and constraints on mobility due to security restrictions. Hence, the Government, with the help of UN agencies and international and national NGOs, arranged for relief and humanitarian assistance to sustain the basic living conditions. Now, with the MOU signing, there are improvements in mobility and availability of government machinery. Now attention is focused on resettlement (returning of displaced people to their original settlements) and relocation (displaced people being relocated in new settlements). The government policy with regard to relief, rehabilitation and reconstruction aims at bringing the population affected by the conflict back to productive life by providing basic amenities to help the people to live with dignity, and to create a physically, economically, and socially sustainable environment for their re-integration. Priority is given to reviving irrigated agriculture production as the returning displaced families would depend on agriculture as their main source of income. This is followed by employment generation through micro enterprises and small scale reconstruction. Several International External Bilateral and Multilateral agencies including the World Bank as well as NGOs are complementing the government’s efforts with technical and financial assistance to help jump starting the lives of returnees and relocates.
The Current Status of the North-East
8. With the signing of the MOU in early 2002 between the Government and LTTE on the cease-fire, the security situation in the North-east has significantly improved. Under the agreement, both sides agreed to stop offensive operations and allow unarmed combatants access to each other's territory. Paramilitary groups have been disarmed and agreement reached that the civilian population will not be harassed by either armed party. The cease-fire, monitored by a team of Scandinavians, has been the longest to hold so far and reopen the space for a negotiated settlement. The military has begun vacating schools and public buildings while the Government lifted the economic embargo on LTTE-controlled territory. The LTTE established political offices in military controlled areas in an effort to participate in the political process.
9. Formal negotiations between the two parties held in Oslo has been completed successfully. Discussions have centered around interim arrangements for the North East Province under a proposed LTTE-led administration. The Government plans to introduce a policy of asymmetrical devolution where the interim administration would be given extensive powers in education, health care, rural development and infrastructure. This situation has raised optimistic expectations that there would be a favorable settlement to the long standing conflict in the foreseeable future. In this interim period, the Government plan to facilitate the transition to sustainable peace by providing unprecedented assistance to the North-East to bring normalcy, stable political, social, and economic infrastructure, thus restoring an enabling environment conducive to productive activities. In the immediate time frame, the Government plans to expand its support to the:
• Resettlement and relocation of displaced and returning people in their original settlements or on new lands;
• Provision of permanent houses for the IDPs;
• Repairs / reconstruction to selected items of infrastructure, immediately needed for the resettled people mainly in the areas of education, health, livestock, agriculture and fisheries and in lesser extent in the road sector;
• Provision of equipment in hospitals and schools; and
• Establishment of income generating activities to special target groups.
The World Bank’s Role – Conflict and Post Conflict Situation
10. The Bank responded to the Government of Sri Lanka’s request and approved and commissioned a Credit Support towards assisting in implementing the North East Irrigated Agriculture Project (NEIAP) in 1999 (details in Box-1) when the conflict was still ongoing. This project aims at helping the conflict affected communities in the North East Province and adjoining areas to reestablish at least a subsistence level of production and basic community services, through assistance with jump starting agricultural and small scale reconstruction activities, and to build their capacity for sustainable social and economic integration. The project, budgeted at US$ 32.4 million, became effective in March 2000; and is expected to close in June 2005. Implementation is now in the 4th year and development objective and implementation performance are rated ‘satisfactory’. The project designers were well aware of the risks, including social safeguard issues, associated with such an intervention and made substantial provision for addressing them. This included developing a Framework for Implementation and Monitoring (FIM), in particular to ensure that the potential social safeguard and risk issues are identified, remedial measures taken, and monitored.
Box 1
| |
| |
|Sri Lanka North-East Irrigated Agriculture Project (NEIAP) |
| |
|Major project components are aimed at: |
| |
|Rehabilitation of the existing Irrigation Schemes, essentially small scale tanks and diversion weir/ Anicut systems; |
| |
|Social mobilization support & capacity building to create sustainable and self reliant community based organizations (CBOs); |
| |
|Rural road rehabilitation to enable mobility of rural communities and to facilitate the transport of agricultural inputs/outputs; |
| |
|Drinking water facilities |
| |
|Other Reconstruction activities such as urgent repairs of vital facilities such as schools, health centers, shelter, sanitation |
|etc; and livelihood support activities through credit based micro enterprises etc.; and |
| |
|Feasibility studies for major / medium irrigation schemes. |
| |
| |
|The project would reach an estimated 24,000 families totaling about 100,000 people living in approximately 400 villages in the |
|North-East Region. It finances rehabilitation of irrigation schemes and rural roads, provision of drinking water, and community |
|capacity building activities. Agriculture productivity of an estimated 16,000 hectares will be revitalized by restoring roughly 400|
|neglected irrigation schemes. Service capacity of about 1,200 km of priority village roads will be rehabilitated, connecting rural|
|villages to irrigation schemes and markets and supporting the transfer of goods, services, and people. About half-a-million |
|families will receive livelihood support assistance. |
| |
|Community-based organizations (CBOs) and NGOs play a vital role in planning and implementation of the project. The project |
|concentrates on “focus villages” identified through a bottom up, participatory process involving all stakeholders including CBOs |
|and NGOs. Community services and reconstruction activities in focused villages are based upon priorities identified by the |
|villagers themselves. NGOs work closely with the communities to implement project activities and to monitor and facilitate the |
|transfer of organizational and management skills and technical knowledge as needed by the villages to become self-reliant. |
| |
|Community Mobilization strategy is based upon the Comprehensive Development Framework (CDF) and essentially involves establishing |
|effective partnerships among the communities, government, UN agencies, international and national non-governmental organizations |
|(NGOs), and the World Bank. While a plan is prepared for the village as a whole reflecting all the requirements, individual |
|components are supported by different agencies with a single service delivery at the grassroots. In addition, the project is |
|building capacity within the North-East region to undertake larger reconstruction activities once the ground conditions become more|
|favorable. |
| |
|Total costs for the project are US$32.4 million, to which the government of Sri Lanka will contribute US$4.0 million and |
|beneficiaries will contribute US$1.4 million. The US$27 million equivalent interest-free credit is provided to the government of |
|Sri Lanka by the International Development Association (IDA), the World Bank’s concessionary lending affiliate, on standard IDA |
|terms with 40 years maturity and a ten-year grace period. |
Social Safeguards and Risks Associated with NEIAP
11. Given the volatile socio-political situation of the project area and the conflict resultant displacement of a number of households, the NEIAP Preparation Team felt the need for developing a district-wise baseline social profile (DSPs) as a prerequisite for effective planning as well as implementation and monitoring of micro level interventions. Accordingly, the Project Management Unit (PMU) prepared the DSPs during 2001. A review of the profiles (Attachment-1) raised, among others, three key issues: (i) identify people, if any, who are likely to lose lands as a result of the project intervention and plan for mitigatory measures thereof; (ii) identify indigenous populations, if any, in the project area and the measures thereof to reach them and (iii) mechanisms to address in the event of a potential conflict between returning displaced people and those who (might) have occupied their vacant property. While the first two fall in the realm of the World Bank’s social safeguard policies, the last one relates to ‘reputational risks’. Though the latter is rather external to the project, its implications are too high to be ignored. As the situation is improving and signs of peace are becoming visible, more and more displaced people are returning for resettlement. This has also necessitated the need for expanding the initially designed FIM to render effective monitoring of social safeguards and risks.
12. Given the significance of the above issues, project recognized the need for creating larger awareness about the current and potential social safeguards/ risks and the mechanisms to address them among the stakeholders in general, and the field level functionaries, in particular. Towards this, PMU organized initially district-level workshops with participation by all the relevant stakeholders. Summaries of such district workshops were then discussed at a day-long project-level workshop with participation by all key stakeholders during June 2002 (List of Participants in Attachment 2a, 2b, 2c, 2d).
13. A detailed account of the outcomes emerged so far is summarized below. Essentially, this note reflects on: (i) triggering, or otherwise, of the Bank’s three social safeguard issues Operational Policy (OP) 4.12 on Involuntary Resettlement, Operational Directive (OD) 4.20 on Indigenous Peoples, and Operational Manual Statement (OMS) on Cultural Heritage; and (ii) encroachment resultant reputational risks. This publication has 5 chapters. Chapter 1, this chapter, serves as an Introduction. An operational framework for addressing social safeguards is presented in Chapters 2 and 3. The former covers Involuntary Resettlement and the latter Indigenous Peoples and Cultural Heritage. Social risks are discussed in Chapter 4. An expanded FIM along with tools and mechanisms developed to identify and monitor safeguard and risk issues and the mitigatory measures thereof are presented in Chapter 5.
Chapter 2
Social Safeguard Issues -- NEIAP’s Operational Framework
The World Bank Policy on Involuntary Resettlement:
Operational Policy (OP) 4.12 (Attachment 3)
14. This operational policy (Attachment-3) covers direct economic and social impacts that both result from Bank-assisted investment projects, and are caused by:
(a) the involuntary taking of land resulting in
i) relocation or loss of shelter;
ii) loss of assets or access to assets; or
iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location; and
(b) the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons.[1]
15. In other words, the OP triggers when the state uses its powers to acquire land involuntarily from its owners or customary users. As an example, the policy triggers when the state takes land for a development project, such as a dam, a road system, power plant or factory, or other infrastructure. In the policy, 'involuntary' means that the action of acquiring land and other assets "may be taken without the displaced person's informed consent or power of choice." That is to say, the owner or customary proprietor has no effective recourse, administrative or judicial, when the state decides that his or her property is required for the development initiative. In practice, several supplementary rules can be involved in triggering of O.P. 4.12. First, the project must be site or location specific; thus, national land reform programs do not fall under OP 4.12. Also, land acquisition must be intended for the proposed initiative; thus, urban land regularization that precedes a Bank-financed initiative is not subject to OP 4.12. Further, intent often connotes a connectedness in time; the closer the sequence of decisions, the likelier O.P. 4.12 would trigger. Now, let us examine whether OP 4.12 triggers in the case of NEIAP.
O.P. 4.12 and NEIAP.
16. The circumstances of NEIAP are distinctly different from those of most projects where OP 4.12 triggers in that the state is not, ostensibly, acquiring land for a development activity. Rather, civil strife caused widespread displacement and a corollary deterioration in productive infrastructure. Population displacement over the past 20 years has greatly changed the demographic profile of the rural (and urban) areas. Large areas are completely depopulated today, while other areas have absorbed large numbers of internally displaced, either in camps or in towns and villages in more secure areas. The cessation of hostilities and the promise of the on-going peace process make it now possible for displaced populations to return to their original, or other, areas as they wish. NEIAP is simply assisting farmers who either remained in their present villages, returned to their original villages, or joined host villages, to restart agricultural production.
17. O.P. 4.12 triggers only in the instance where the state acquired land involuntarily from the owner, who had no course of legal redress. This situation (probably) could arise only in the northern part of the project area where the then de facto state expelled the Muslim population, and, thus, acquired their lands involuntarily. This action alone is insufficient to trigger OP 4.12, for the original owners must also lack choice, which in this situation would mean subsequent legal redress. In any case, Sri Lanka has a strong set of land laws and a functioning judicial system that would protect individuals' interests in land implementation modalities discussed in later sections. Importantly in this regard, Government officers from all regions of the country maintain that property rights and property laws are respected throughout the country, including the Jaffna area. Further, there is a national law (REPPIA) that specifically protects the interests of displaced persons. Under these circumstances of a functioning administrative and legal system, O.P. 4.12 would not trigger because prior owners would have administrative and judicial recourse to regain their previous lands. On a more theoretical level, it also warrants noting that the expulsion was general rather than site-specific, and that the intent of the expulsion had nothing to do with freeing land for the current project.
18. NEIAP’s activity portfolio comprises of:
• rehabilitating village tanks for irrigated agriculture,
• rebuilding needed infrastructure such as rural roads,
• mobilizing the rural population in the focal villages for collective action in development activities, and
• supporting a suite of livelihood support activities (LSA) to provide supplementary income to the poor and vulnerable segments of the population.
Given this activity menu, the question of triggering of the policy to NEIAP will not arise in the case of roads, social mobilization and LSA components of the project as they do not require land, which is the trigger for OP 4.12. In the case of rural roads, existing roads are being rehabilitated. The social mobilization activities of the project foster local organizational development only. LSAs are meant to assist in grounding income generating micro enterprises such as livestock, poultry, dairy, agro services, petty trade, sewing etc which require no lands. O P 4.12 could, therefore, arise only in the case of: (i) re-assigning (if done) of the command area of the rehabilitated tanks; and (ii) tank bed encroachments.
19. As there exists a Government circular prohibiting re-assigning of the lands of displaced persons (discussed in detail in a later section), tank bed encroachments (if any) necessarily needs to be addressed by the project. Once, a tank is rehabilitated, it is likely that tank bed area will get inundated and the tank bed lands will not be available for cultivation. This could affect the livelihoods of people dependent on it. Though tank bed lands are the property of the state, such a situation warrants that the project / state address the issue. Number of persons involved and the area under tank bed cultivation will be recorded as a part of the village social profile[2] (VSP) by the NGOs[3]. The project/ state has agreed that persons affected as a result of the tank bed inundation will be: (i) allowed to harvest the standing crop before the tank rehabilitation is completed and water is impounded; and (ii) provided equivalent alternate lands either in the command area (of technically feasible) of the rehabilitated tank or in the nearby vicinity.
Chapter 3
The World Bank Policy on Indigenous People
Operational Directive 4.20 (Attachment 4)
20. The Bank’s policy on indigenous people as outlined in its Operational Directive 4.20 (Attachment-4) is aimed at ensuring that the development process fosters full respect for their dignity, human rights, and cultural uniqueness. Essentially, it provides for (a) ensuring that indigenous people benefit from development projects, and (b) avoid or mitigate potentially adverse effects on indigenous people caused by Bank-assisted activities. Special action is required where Bank investments affect indigenous people, tribes, ethnic minorities, or other groups whose social and economic status restricts their capacity to assert their interests and rights in land and other productive resources.
21. O.D. 4.20 triggers when a minority ethnic or religious group that is usually characterized by a distinctive culture and language, subsistence production, and political vulnerability, is affected, directly or indirectly, by project activities (Box-2). In such instances, the project is required to develop, with the full participation of the indigenous population, an Indigenous People’s Development Plan, that both eliminates any potential adverse consequences of the development initiative and incorporates the population, to the extent they desire, as integral beneficiaries of the project initiative. In NEIAP’s context, the OD is triggered and details are in the following sections.
Box-2
The terms "indigenous peoples," "indigenous ethnic minorities," "tribal groups," and "scheduled tribes" describe social groups with a social and cultural identity distinct from the dominant society that makes them vulnerable to being disadvantaged in the development process. Because of the varied and changing contexts in which indigenous peoples are found, no single definition can capture their diversity. Indigenous people are commonly among the poorest segments of a population. They engage in economic activities that range from shifting agriculture in or near forests to wage labor or even small-scale market-oriented activities. Indigenous peoples can be identified in particular geographical areas by the presence in varying degrees of the following characteristics:
(a) a close attachment to ancestral territories and to the natural resources in these areas;
(b) self-identification and identification by others as members of a distinct cultural group;
(c) an indigenous language, often different from the national language;
(d) presence of customary social and political institutions; and
(e) primarily subsistence-oriented production.
22. OD 4.20 and NEIAP. The project concerns the resuscitation of irrigated agriculture in focal villages through the repair of tanks that are currently inoperable, the repair of village roads, and the implementation of assorted livelihood support activities. In as much as NEIAP concerns intensive agricultural production techniques, which would not usually be practiced by unacculturated indigenous peoples, and it rehabilitates existing roads, which would not disturb indigenous peoples any more than had previously been the case, the concern is whether the project focal villages are the residence of any indigenous peoples.
23. Extent of the Issue. There are very few indigenous populations in Sri Lanka, specifically, the Veddah (or Wanniyala-aetto). Government of Sri Lanka recognizes "Veddhas" as Indigenous Peoples. However, Veddahs in Sri Lanka are by no means a homogeneous group, sharing a common religion, language, and culture. They no longer hunt and gather. Linguistic assimilation and intermarriage with their Sinhalese and Tamil neighbors have contributed to the decline of the Veddhas as a distinct group. Infact, the original Veddha language has, to all intents and purposes, ceased to exist.
24. The project area covers the entire northern and eastern provinces of the country, and neighboring conflict-affected villages of the three adjoining districts (North-Central, Uva, and North-Western). According to GOSL statistics, Veddha community had been traditionally living in Eastern and Uva provinces and there are no Vedhas in the Northern province. But most of the traditional Veddha villages in Uva and Eastern Provinces have been integrated with irrigation colonization and resettlement schemes implemented by the Government from time to time since 1950s up to late 1980s. Therefore, it can be conlcuded that Veddhas no longer continue to live as a group distinct and separate from the comminity of Sri Lanka Nevertheless, following Government of Sri Lanka's regulations, the Vedhas are identified as Indigenous Peoples from the perspective of the Bank's policy on Indigenous Peoples
25. IP Village. OD 4.20, unlike OP 4.12, does not apply to individuals, rather, it is applicable to ‘group’. However, in the country, in general, and the project areas, in particular, there are hardly any villages comprising exclusively IPs. Hence, for operational purposes, it is decided that all those villages with population of 50% or more IPs, will be considered as IP Village[4].
26. Plan of Action. Towards addressing the issues related to IPs, the following plan of action will be adhered to:
• Towards completing an inventory of IP villages, the project will conduct a census of villages in the project districts that have a majority IP population. This activity can be conducted informally through interviews with administrative officials.
• Irrespective of whether an IP village qualifies for a ‘focal village’ (even if the village does not have a tank which is the initial selection criterion for NEIAP focal villages) , include it under the project and extend, at least, the LSA program.
• Review the existing village development plan format to ensure that the particular IP concerns are taken fully into account and an Indigenous Peoples Development Plan will be prepared by the Project Management Unit (PMU) and implemented with the project assistance.
• Where IP populations constitute a minority in the village, viz., less than 50%, ensure their participation in the deliberations of the community through representation in the village level institutions – Farmers Organization and Rural Development Organizations. In this regard, it is important to mention that NEIAP has already brought in changes in the by-laws of the farmers organizations (FOs) (Attachment-5) that manage the command areas in order to permit membership of landless and other people who are concerned by the rehabilitation of the tank.
• In the minority villages, ensure that all the IP population receives particular assistance in the LSA program, in accordance with their wishes and desires.
The World Bank Policy on Cultural Heritage -
Operational Manual Statement on Cultural Heritage
27. The OMS on Cultural Heritage triggers when a development project disturbs the built environment with historical interest. In as much as NEIAP engages exclusively in the rehabilitation of village tanks and command areas and the reconstruction of existing roads, it is very unlikely that project activities would disturb any area or site of historic or archaeological interest.
28. Given the very limited extent of the issue, NEIAP staff are appraised of the possibility of such considerations (during the regional and national workshops) and advised to seek specialized archaeological expertise in the instance that cultural remains of historic significance should be uncovered during the course of the tank rehabilitation and road reconstruction.
Chapter 4
Social Risks
29. As peace sets in and situation changes from the ‘conflict’ to ‘post conflict’, one expects displaced people to return to their original ‘home’. Livelihood of the returnees primarily depend upon: (i) extent of usage of their properties, particularly, lands could be put in; and (ii) rights of access to their properties, particularly, lands. While the NEIAP is specially designed to address the former (to enable the lands to be put into agricultural usage), the latter is fundamental to establishing livelihoods and land encroachment[5] poses a serious social and reputational risk to the project, in particular, and the country, in general. Hence, in a post-conflict situation, it is essential that institutional mechanisms for addressing the encroachment resultant land disputes are detailed out. In other words, detailed awareness is created among the general public about the safety measures outlined in the state regulations to protect the properties of the returnees. This, however, demands, as a prerequisite, an understanding of the land tenure arrangements and land use rights. Once this is done, several scenarios or cases of encroachment could be visualized and mitigatory measures detailed.
30. Charts 1 and 2 below represents Land Ownership Classification and some salient characteristics of Land Use Titles respectively. In Sri Lanka, based on land use rights, four different property rights systems could be identified[6]: (i) private; (ii) state; (iii) communal; and (iv) systems with open and unrestricted access to resources (elaborated in Attachment - 6). The first two categories form the purview of current attention and three types of land holdings could be distinguished[7]: (i) private lands; (ii) State land with Crown Deed; and (iii) State land with a Permit[8] issued by the government to occupy such lands, called ‘Permit Land’. (see Charts below). Given the project’s objective of jump starting agriculture, encroachment of private and permit lands, particularly, agriculture lands[9] will remain the focal issue.
Chart 1 - Sri Lanka – Land Ownership Categories in Sri Lanka
Chart 2- : Sri Lanka Land Use Titles[10]
| |State Land |Private Land |
|Tenure |Annual Permit |LDO Permit |LDO Grant |Deed |
|Description / Rights & |Temporary transcription|Can be mortgaged |Can transfer |Privately owned land with |
|Obligations |of state land to a |Can nominate successors |Can Mortgage |full ownership rights to |
| |person with limited |No other persons are |Can lease for a period less |the owner |
| |rights of usage |entitled to ownership on |than one year at a time with | |
| | |the ground of occupancy |approval | |
| | | |Can nominate successors to | |
| | | |the land | |
|Comments/ Restrictions |Issued during 1978-83, |Can not be sold/ exchanged|Can not be sold |Proof of ownership through|
| |can be converted into |Can not be leased or |Can transfer to persons |a ‘chain of title records’|
| |LDO Permit/ Grant |sub-leased |within the same class which | |
| | |Permits could be cancelled|the allottee belongs to. | |
| | |Successors should be from |Mortgage only to the | |
| | |the persons mentioned in |institutions mentioned in the| |
| | |the 3rd Schedule of the |Ordinance | |
| | |Ordinance |Can not lease or sub-lease | |
| | |Land should be used for a |Successors should be from the| |
| | |given purpose |persons mentioned in the 3rd | |
| | | |Schedule of the Ordinance | |
Legal Protection of Owners' Rights and Grievance Redressal
31. The extent of land encroachment in the project districts is at present fairly limited with most disputes being involuntary administrative reassignment or disenfranchisement have been discovered so far in the project villages. Further, district land officials and others throughout the current project districts as a whole, too, report that the incidence of such cases or such instances is relatively small. In Batticaloa, there are some 10 cases of disputed land rights and most of these disputes arise near the larger towns and cities, where people attempt to cultivate vegetables for urban sale. In Trincomalee, 10 to 25 land disputes go to court in an year. Officials in Vavuniya and Mannar Districts reported similarly low rates of formal complaint being lodged in their areas. Further, the field level enquiries reveal that land dispute cases currently in the courts involve owners who had been disenfranchised through administrative procedures, although there are a vast majority of cases arising from other sources.
32. Government officials recognize that the issues of land encroachment and disputes might arise more in the future, especially if distinct ethnic or religious groups return to areas from which they had earlier been expelled. Such disputes could paralyze the villages involved and delay project activities, as well as create grounds for formal complaint, especially were government officials to use administrative regulations and laws to disenfranchise the original owners.
33. Sri Lanka has a strong set of land laws and has also implemented an extensive system for local grievance redressal, administrative review and finally, legal recourse. Since the 1950s, Sri Lanka has enacted a number of land laws to protect the interests of private owners and permit holders of Crown (or government) lands. Key laws are the Agrarian Development Act No. 46 of 2000, and the Rehabilitation of Persons, Properties and Industries Authority (REPPIA) established under the rehabilitation of persons, properties, and industries Act No 29 of 1987. The Agrarian Development Act, among others, provides for community participation in key decision making, in particular, in resolving conflicts arising as a result of encroachment of lands, thus as a powerful tool for addressing related social risk Issue (details in Box-3).
Box-3
Agrarian Development Act
Agrarian Development Councils, comprising both government and farmer representatives – providing for participation by the farming community in key decisions including land usage
Agricultural Land Register for every irrigation scheme – enabling as a repository of information on all the cultivators containing name and extent of each agriculture land, the name of the landlord, the occupier, or owner cultivator, as the case may be, and maintenance includes addition, deletion, and amendment of the register through the Agrarian Development Council
Agricultural Land Register, resting with the Department of Agrarian Development, serves as a benchmark document in the event of any disputes
Establishment of Farmers’ Organizations (FOs) for each irrigated tank – The North East Irrigated Agriculture Project has recognized it as critical to put in place a representative, responsive and responsible community based organization at the village level to ensure not only effective planning and implementation but also sustenance beyond the project duration and for securing harmonious social reintegration.
Towards this, a draft by-law in respect of FOs (Attachment 5) has been prepared and it enables re-defining their institutional structure. This essentially enables broadening of the membership base; provides membership for both landed and landless laborers. This is also chiefly aimed as a grass-root institutional mechanism to conflict management, notably land encroachment. Broadening the membership base has also ensured higher degree of ‘transparency’. Acceptance and adoption of the by-laws is a prerequisite for participation in the project.
Setting up of Agrarian Tribunal, to enquire into applications, appeals and complaints.
In brief outline, a person with a dispute over government land can, in the first instance, submit his or her issue to the local Agrarian Development Council. If the dispute is not resolved at the local level, the complainant may appeal to the district agrarian official for redress.
34. The District Land Office maintains a complete and up-to-date register of all Crown lands, and is therefore usually able to resolve most disputes. Should that not be the case, the complainant may take his or her case to the District Court, and, if the matter warrants take the issue all the way up to the national Supreme Court. Private land owners, who are the minority of cases, may appeal to the administrative officers for redress, but usually must petition the courts directly. Several scenarios of agriculture lands encroachment in different categories of land holdings and the resolving mechanisms are presented in the Charts 3 and 4 below.
Chart 3 - Sri Lanka – Process flow chart for claiming Ownership rights to encroached lands belonged to Original settlers
Table 2 - Land Encroachment and Dispute Resolution
|Scenario |Resolution |
| | |
|Encroachment on | |
|Private Land | |
|Owner returns, recovers land |No issue |
|Owner returns, land occupied |Owner may either negotiate with occupier/user or request Agrarian Council |
| |(which, strictly, does not have jurisdiction over private land) to intervene, |
| |or both; if unresolved, owner may bring case to District Court. |
|Owner returns, land refused |Owner may bring suit in District Court |
|Owner relocated elsewhere |Owner retains rights to private land in original village, despite relocation; |
| |if the owner wishes to recover the land but cannot, he or she has the same |
| |options of negotiation, appeal to the Agrarian Council, or filing a land |
| |dispute case with the District Court. |
|Owner displaced |Owner retains rights to private land in original village, whether or not |
| |displaced; and may negotiate with the user/occupier, appeal to the Agrarian |
| |Council, or file a land dispute case with the District Court. |
|Owner moved out-of-country |Owner retains rights to private land in original village, regardless of |
| |residence, and therefore may negotiate, petition the Agrarian Council, or file|
| |a law suit to recover occupied land. |
|Owner deceased |In accord with inheritance laws, the widow receives a one-half share of the |
| |property and the children split the remaining half share. As owners, their |
| |situation would be identified in one of the cases given above. |
|Documents lost |Village council can verify claim; otherwise, must seek out a private lawyer |
| |for assistance. |
|Encroachment on Government Land | |
|Tank bed cultivation |Cultivation of common property is not allowed in law. Encroachers in tank bed|
| |areas can be granted arable land outside the tank bed. |
|Owner returns, recovers land |No issue. (Note: land may be granted on one-year permits or on longer term. |
| |Only longer term permits [LDO] are considered here as creating a de facto |
| |right to use a specific plot of land.) |
| | |
|Owner returns, land occupied |Permit holder petitions the Agrarian Development Council for resolution; ADC |
| |estimates value of any improvements on land; owner pays occupant / user for |
| |improvements on land, who must then vacate. Encroacher may be allocated other|
| |arable government land for his or her livelihood. |
| | |
|Owner returns, land refused |If the Agrarian Council does not resolve the issue to the satisfaction of the |
| |permit-holder, he or she appeals to the Divisional Secretary for resolution. |
| |If the case is still unresolved, the permit holder may file a law suit in the |
| |District Court |
| | |
|Owner relocated elsewhere |Any permit holder who accepts voluntary relocation under the government |
| |program automatically forfeits any claim to government land in his or her |
| |original village |
| |Any permit holder who for reasons of personal insecurity has yet to return to |
|Owner displaced |his or her original village retains the right to claim that land upon return. |
| |In the interim, the village council can grant a temporary use permit to |
| |another individual. If the displaced owner returns, he or she would pay the |
| |temporary occupier for any improvements on the land (the value of these |
| |improvements is established by the Agrarian Council), and the original permit |
| |would be revalidated. The temporary permit holder might be allocated other |
| |government land. (Note: the law defines government land that is not farmed |
| |for three consecutive years as abandoned, whereupon it can be reallocated; |
| |however, a clause in the law exempts those years when cultivation was impeded |
| |because of insecurity. There is a formal notification process to be followed |
| |for the declaration of abandonment to be valid.) |
| | |
|Owner moved out-of-country |Any permit holder of government land who voluntarily moves elsewhere after |
| |displacement has no permit right to government land in his or her original |
| |village. |
| | |
|Owner deceased |In accord with inheritance laws, the widow receives a one-half share in the |
| |property and the children split the remaining half share. As legatees of a |
| |registered permit holder, their situation would be identified in one of the |
| |cases given above for government land. |
| | |
|Encroachment on | |
|Private Land | |
| | |
|Owner returns, permit expired |The government has issued a circular announcing that permits of displaced |
| |people can not be redistributed. |
| | |
|Documentation Gaps – inaccurate or no documentation|The office of the Divisional Secretary maintains a complete land register, and|
|of their rights |can replace local land records when necessary |
| | |
|Transfer of land – loss of birth certificates |Permits can only be transferred within relatives. Ownership and kinship can be|
| |proven by birth certificates which may be lost. ADC can act upon the advice of|
| |FOs & RDOs. |
Chapter 5
Monitoring and Evaluation and Risk Mitigation Framework
35. It is well recognized that the issue of land encroachment is a much larger and more pertinent issue for NEIAP than the possibility of involuntary disenfranchisement of private landowners through administrative procedures. Also, the judicial process is lengthy, costly and time-consuming and hence, while NEIAP must remain vigilant about the possibility of involuntary acquisition, the project needs to deal with the larger issue of land encroachment and land dispute resolution in the command areas of the tanks that it rehabilitates. Hence, a need for systematic and comprehensive project monitoring including social aspects is felt as critical towards addressing social safeguards/ risks. Towards this, the following plan of action has been drawn:
36. A Framework of Implementation Monitoring. NEIAP has already developed a framework for monitoring the inputs, outputs and outcomes as outlined in the PAD’s Log Framework. This framework is further strengthened incorporating social and institutional aspects, in particular issues related to the reputational risks. Social and Institutional aspects of the revised framework is presented in Attachment 7 to this document. Essentially, Social Impact Indicators are now 4 (up by one) in number and they are:
• Human and Institutional Development–Representative, Responsible and Responsive Community Based Organizations (CBOs) established;
• Favourable ethnic harmony among various groups;
• Social Safeguards and Risks addressed – leading to land based livelihood security ensured;
• Vulnerability of the households especially women reduced against natural and other disturbances.
Overall FIM is provided in Attachment 8. The framework, however, requires a data base viz., data inputs to be fed into it at regular intervals. For this, below mentioned measures will be followed.
37. A land register to form a part of Village Social Profile. The social mobilization officer (SMO) in each focal village will maintain a land register for the command area that records the plot number, area, and original owner in the pre-disturbance period and the current owner or permit holder. Where the plot owner has changed, the mobilizer will record the reason for the change in ownership (e.g., sale, inheritance, encroachment). If there are any instances of encroachment, the mobilizer will keep a detailed account of the dispute resolution process. This information will form a part of the comprehensive VSP. In this way, the project will have documentary evidence of the incidence, if any, of involuntary land reassignment that might trigger O.P. 4.12. Fortunately, this mandate is not onerous. The information is already available in the district land records, and can be verified in village meetings. NEIAP had developed a draft template form (Attachment 9), which has been firmed up after field testing jointly by PMU and NGOs. PMU will arrange for collection and compilation of the land registry data for all the project villages in the next 2-3 months.
38. Strengthen SMO dispute resolution skills. The incidence of land disputes (apart from those that might trigger OP 4.12) is villages and exert their claims to agricultural plots in the newly likely to increase in the near future, at least in some areas, as displaced persons return to their original rehabilitated command area. NEIAP PMU should, in consequence, implement a program for village social mobilizers to strengthen their skills in impartial resolution of disputes. The program should cover negotiation between the parties concerned, as well as the various forums for administrative redress (e.g., the Agrarian Development Council), where the SMO could play a supportive and facilitative role.
39. Conduct sensitization workshops on land issues with government officers. Administrative officers commonly have very clear notions about the application of government directives and regulations. These interpretations may not be understood or shared by local populations, who have their own concepts of land tenure and their own customary laws, especially in the northeast of the country. NEIAP PMU should, in consequence, organize for government officers sensitization workshops on land issues that arise in the focal villages in order to reach a common understanding and approach to such matters.
Attachment 1
Sri Lanka North-East Irrigated Agriculture Project
Summary of District Baseline Social Profiles
1. Conflict related events and the consequences thereof are reflected clearly in demographic changes, ethnic composition, number of female headed households, type of housing, and area under paddy cultivation.
2. Demographical changes. While the overall decadal population changes (base: 1990-93) for the 12 project districts is rather marginal (4%) (Table- 1) intra and inter-district variations are substantial.
Table-1: Demographic Changes in NEIAP Districts
|District | Population & Density |
| |1981 |1990-1993 |1999-2000 |
| |Population |Density |Population |Density |Population |Density |
|Ampara |388786 |97.73 |575533 |100.2 |660878 |149.14 |
|Batticola |330889 |135 |430835 |255 |508731 |186 |
|Trincomalee |256790 |97.6 |315036 |119.7 |351220 |133.9 |
|Vavuniya |94468 |60.5 |11400 |66.5 |132918 |72.2 |
|Mannar |106234 |58.2 |126154 |68.8 |132918 |72.2 |
|Killinochchi |91631 |74 |185429 |149.9 |72774 |39.8 |
|Mulattivu |77512 |62 |46257 |37 |184655 |73 |
|Jaffna |830600 |810.3 |738700 |720.6 |491007 |479 |
|Anuradhapura |587900 |81.9 |718695 |100.1 |818652 |114 |
|Polonnaruwa |163700 |81 |330230 |117 |329830 |116 |
|Moneragala |273570 |48 |351000 |62 |364599 |64.4 |
|Puttalam |492533 |165 |583595 |225.5 |625612 |241.8 |
| | | | | | | |
|Total |3694613 | |45154641 | |4697304 | |
3. Of the 12 districts under the NEIAP’s purview, Killinochchi, Mannar, Jaffna and Mulattivu were affected the maximum; Ampara, Batticola, Tincomalee and Vavuniya moderately; and the least affected were the border districts of Anuradhapura, Pollanuruva, Moneragala and Puttalam. Among the maximum affected districts, while the population has declined substantially in Mannar, Jaffna and Killinochchi. The maximum decline is in Mannar (43%) followed by Jaffna (34%) and Killinochchi (17%). While a good number of Mannar people, given the proximity, have chosen to move to the nearby district (Mulattivu), some might have migrated to the nearby country, India. In Jaffna, the Muslim population had to leave overnight their homeyard and took refuge with their relatives in the districts of Ampara and Batticola. As a consequence, population has risen in the other areas, notably, Mulattivu (up by 100%) and spread rather evenly across the districts of Ampara, Batticola, Trincomalee and Vavuniya (up by 11-17%). There are no appreciable changes in the border districts. This district-wise migration scenario in real terms depict a totally different scenario (Table-2). In all, 600,000 persons were compelled to migrate with in-district-migration accounting for nearly 80%. As many as 80,000 persons or about 15,000 families have moved out in Jaffna district. Some in-migration in Jaffna indicate that displaced people have probably started returning.
|Table 2: In and Out Net life Time Migration in Districts of the North East Province | | | | | |
|S.No |District |Life Time In-migration |Life Time Out - migration |Net Life Time migration | | | | | |
|1 |Ampara |61,713 |11,256 |50,467 | | | | | |
|2 |Batticaoa |17,456 |19,083 |-1,627 | | | | | |
|3 |Trincomalee |55,908 |12,120 |43,788 | | | | | |
|4 |Vavuniya |35,019 |6,744 |28,275 | | | | | |
|5 |Mullaitivu |30,817 |3,076 |27,741 | | | | | |
|6 |Mannar |22,327 |5,053 |17,274 | | | | | |
|7 |Jaffna |27,820 |80,168 |-52,348 | | | | | |
|8 |Moneragala |80,271 |11,104 |69,167 | | | | | |
|9 |Puttalam |81,013 |40,781 |40,232 | | | | | |
| |Total |412,344 |189,385 |222,969 | | | | | |
Source: District Social Profiles PMU-NEIAP
The data given above as indicated in DSPs are related to 1981 census
4. Rural –urban population composition too has changed leading to polarization. In general, urban population has increased with the exception of Mulattivu and Trincomalee where urban population has declined substantially (Table-3).
Rural and Urban population in Project Districts
|S.NO |District |Census 1971 |Census 1981 |Census 2001 |
| | |Rural |Urban |Total |Rural |Urban |Total |Rural |Urban |Total |
|1 |Ampara |412057 |31970 * |444027 |474209 |53276 |527485 |476922 |112422 |589344 |
|2 |Batticaloa |370416 |69508 |439924 |446512 |79415 |525927 |200859 |113229 |314088 |
|3 |Trincomalee |368242 |72239 |440481 |444261 |82739 |527000 |186396 |6509 |192905 |
|4 |Vavuniya |468550 |20628 |489178 |510402 |18512 |528914 |90703 |53237 |143940 |
|5 |Mannar |432705 |11095 |443800 |502031 |13931 |515962 |41724 |110276 |152000 |
|6 |Killinochchi * |* |* |* |76346 |15285 |91631 |105791 |21209 |127000 |
|7 |Mullaitivu * |* |* |* |506522 |7192 |513714 |116230 |1770 |118000 |
|8 |Jaffna |196957 |233892 |430849 |254811 |270573 |525384 |238135 |252865 |491000 |
|9 |Anuradhapura |349956 |38824 |388780 |546537 |41392 |587929 |689834 |56632 |746466 |
|10 |Pollannaruwa |147400 |16300 |163700 |241100 |20500 |261600 |359197 |- |359197*** |
|11 |Moneragala |193000 ** |- |193000 |273570** |- |273570 |396173 ** |- |396173 |
|12 |Puttalam |326007 |52423 |378430 |430805 |61728 |492533 |638728 |65072 |703800 |
| |Total |3265290 |546879 |3811169 |4707106 |664543 |5371649 |3181495 |793221 |4333913 |
| | | | | | | | | | | |
|* - Kilinochchi and Mullaitivu Disitricts were established only after 1979 | | | | | |
|** - Population of Moneragala are still considered as rural as it is a very remote district having no Urban Council | | |
|*** - According to present categorization of Rural & Urban, Polonnaruwa District is also considered as a rural district from |
|2001 Census onwards |
4. Ethnic Composition. The conflict resultant migration has affected severely the ethnic composition. It could be seen from Table-3 that the Sinhala population has become almost zero in the districts of Jaffna, Mulattivu, Killinochchi, and Mannar. Batticola and Monergala too have evidenced substantial decline indicating absolute polarization. Consequently, Sinhala population in Ampara, Anuradhapura and Trincomalee has risen up. It is maximum in Ampara (up by 79%) followed by Anuradhapura (34%) and Trincomalee (17%). It is instructive to note that both Sinhala and Tamil population have risen in Ampara and Trincomalee, indicating their wider acceptance for habitation. Unfortunately, break-up in terms of intra-Tamils are not available. But, it is widely reported that the Muslim population too has declined in the above districts (with the exception of Batticola). Ampara and Batticola district profiles brought to the fore existence of indigenous peoples
|Table 4 :Population and ethnic composition in project districts |
|District |Population & Density |Ethnic Composition |
| |1981 |1990-1993 |1999-2000 |Sinhala |Tamil |
| |Population |Density |Population |Density |Population |Density |1981 |1999 |1981 |1999 |
| | |per sq Km | |per sq Km | |per sq Km | | | | |
|Ampara |388786 |92.0 |575533 |136.2 |660878 |156.5 |146371 |261455 |79725 |121099 |
|Batticaloa |330889 |126.7 |430835 |165 |508731 |194.9 |10649 |978 |238216 |381898 |
|Trincomalee |256790 |101.5 |315036 |124.5 |351220 |138.8 |86341 |101926 |93510 |112359 |
|Vavuniya |94468 |50.7 |114000 |61.2 |132918 |71.4 |1578 |14581 |72893 |95149 |
|Mannar |106234 |56.5 |126154 |67.1 |72774 |38.7 |8683 |114 |56707 |96406 |
|Kilinochchi |91631 |76 |185429 |153.8 |156428 |129.8 |741 |- |89197 |106166 |
|Mullaitivu |77512 |32 |46257 |19.1 |184655 |76.4 |3948 |12 |69670 |76650 |
|Jaffna |830600 |894 |738700 |795.1 |491007 |528.5 |4615 |22 |872247 |49062 |
|Anuradhapura |587900 |88.2 |718695 |107.8 |818652 |122.8 |553484 |739479 |8745 |5096 |
|Polonnaruwa |163700 |53.2 |330230 |107.2 |329830 |107.1 |148967 |148000 |3372 |3274 |
|Moneragala |273570 |49.6 |351000 |63.7 |364599 |66.1 |235574 |11205 |18958 |337983 |
|Puttalam |492533 |170.8 |583595 |202.4 |626612 |217.4 |407218 |520290 |35003 |50760 |
|All Project |3694613 |103.2 |4515464 |126.1 |4698304 |131.3 |1608169 |1798062 |1638243 |1435902 |
|Districts | | | | | | | | | | |
|Source: |District Social Profiles - PMU, NEIAP. | | | | | |
| | Statistical Pocket Book - Dept of Census and Statistics - 2001 | | | |
5. Welfare Centers and Female Headed Households: Though a large number of persons were displaced, attendance in refugee camps were quite low. Majority of them found resettlement measures on their own, some with their relatives and friends, both inside and outside the country. It is normally believed that for every person seeking refuge in the camp, there were two others seeking shelters outside. There were 629 welfare centers established across the districts with an attendance of over 100,000 persons (Table- 5). Maximum number of welfare centers and the persons thereof are reported in Ampara, Batticaloa, Vavuniya and Mulattivu districts.
|S.No |District |No of |Welfare Centres |Outside Welfare |Total Displaced |
| | |Welfare | |Centres | |
| | |Centres | | | |
| | | |No of |No of |No of |No of |No of |No of |
| | | |Families |Persons |Families |Persons |Families |Persons |
|1 |Ampara |150 |30000* |150000 |60000 |300000 |90000 |450000 |
|2 |Batticaloa |59 |29738 |133847 |17826 |82809 |37564 |216656 |
|3 |Trincomalee |15 |1282 |5362 |2576 |15144 |3858 |20506 |
|4 |Vavuniya |14 |10000 |36513 |17897 |69400 |27897 |105913 |
|5 |Mannar |14 |6627 |25953 |19882 |77858 |26509 |103811 |
|6 |Kilinochchi |52 |6867 |28755 |23342 |91795 |30209 |120550 |
|7 |Mullaitivu |73 |7020 |28675 |26644 |107967 |33664 |136642 |
|8 |Jaffna |156 |4360 |16767 |13856 |395426 |118216 |412193 |
|9 |Anuradhapura |34 |1056 |4561 |1095 |4530 |2151 |9091 |
|10 |Polonnaruwa |7 |846 |14109 |108 |490 |954 |99 |
|11 |Moneragala |2 |156 |780 |78 |440 |234 |1220 |
|12 |Puttalam |53 |4026 |65489 |2002 |9009 |16028 |74498 |
| |Total |629 |101978 |510811 |185306 |1154868 |387284 |1651179 |
| |The above figures show the situation between 1990 - 1995 instant and after which it has changed to a considerable extent due to |
| |resettlement programmes undertaken by Government of Srilanka. |
|eg: * |Ampara figures indicate the original situation in 1990. But after introducing resettlement programme during the period from Sep |
| |1990 to Feb 1992, some 20000 families were re-settled. Another 9482 families were resettled thereafter. Now there are only 518 |
| |families (population 2059) in 7 Welfare Centres. |
| | |
| | |
6. Total number of female headed households across the districts stands at about 62,000, with maximum in Jaffna (20,800) and Ampara (15,000) whereas minimum is in Mannar district (Table-6). Proportion of female headed households, in the age group of less than 40 years, too is very high across the districts. Higher proportion of females than males in all age groups are noticed.
| | | |
|S.No |District |No of Female Headed Households |
|1 |Ampara |15000 |
|2 |Batticaoa |3189 |
|3 |Trincomalee |6350 |
|4 |Vavuniya |3300 |
|5 |Mannar |1935 |
|6 |Kilinochchi |3648 |
|7 |Mullaitivu |7059 |
|8 |Jaffna |20800 |
| |Total |61281 |
| | | |
| | | |
|Source | - Statiscal Information 2002 North East Province |
| | - District Social Profiles - PMU, NEIAP. |
| | - Data given above are mostly related to 1995 - 1999 period |
| | | |
7. Housing Facilities: Housing, a proxy to infrastructure status, indicate the extent of the severity of the conflicts a district has suffered. It could be seen from the Table-7 that only a little over a third of the households have permanent houses with the maximum in Jaffna followed by Ampara and Trincomalee. Jaffna topping the list, despite being affected severely, is more due to the developments that had taken place earlier to the conflicts. Hundreds of buildings damaged and bearing bullet marks is a common scene in Jaffna. Larger number of permanent houses in Ampara and Trincomalee indicate that they are considered relatively ‘safe’ and accepted by both Sinhala and Tamil population. As against this, the districts of Killinochchi, Vavuniya, Batticola and Pollanurva have more number of temporary houses. In Killinochchi, temporary houses account of 74% of the total indicating that the district is the worst affected by the conflicts. Education too has suffered particularly in Killinochchi, in particular, and uncleared areas, in general, for want of infrastructure and teachers. Vavuniya (followed by Batticola) has a large number of in-migrant persons who are struggling for shelter. It is instructive to note that, GOSL has already established a number of relocation centers in Vavuniya as a good number of welfare centers’ in mates refused to move back to their original settlements. This is also probably the reason for more number of semi permanent and temporary houses in that district. Relatively poor housing in Polonuruva reflects a stagnating economy, a spill over effect of the conflicts.
Table 7: Housing Facility in the Project Districts[11]
|District |Total |Permanent |Semi-Permanent |Temporary | |
| |No |No |% |No |% |No |% |
|Ampara |113313 |38509 |40.2 |29207 |25.8 |45597 |34 |
|Batticaioa |47227 |17677 |25.3 |27001 |38.6 |25249 |36.1 |
|Trincomalee |47827 |15850 |33.1 |24705 |51.6 |7272 |15.3 |
|Vavuvniya |12449 |2071 |16.7 |4006 |32.2 |6372 |51.1 |
|Mannar |18059 |5623 |31.2 |7503 |41.5 |4933 |27.3 |
|Kilinochchi |38812 |4010 |10.3 |6052 |15.6 |28750 |74.1 |
|Mullaitivu |13517 |2620 |19.3 |7003 |51.8 |3894 |28.9 |
|Jaffna |15986 |85957 |53.7 |50092 |33.8 |19937 |12.5 |
|Polonnaruwa |53680 |17171 |32 |18000 |33.3 |18509 |34.7 |
|Puttalam |110260 |31032 |28.1 |50496 |45.8 |28732 |26.1 |
|Total |471130 |220520 |34.7 |224065 |35.4 |189245 |29.9 |
| | | | | | | | |
8. Area under Paddy Cultivation: Paddy cultivation, an icon of irrigated agriculture, is a focal point of the agrarian economy. Besides agriculture, the irrigated tanks also support inland fishing and livestock farming. These three are the traditional forms of economic activity for over two-thirds of the population earlier to the conflict. Area under agriculture, notably, paddy has decreased substantially in the districts of Vavuniya, Mannar, Kilinochchi, Mullaitivu, and Jaffna (Table-8). Livestock population which forms an inseparable part of the agricultural economy is reported to have steadily declined. So is the decline in the number of families dependent on fishing for their livelihood. These have negatively impacted the livelihood of a large majority. It is instructive to note that privately held lands form a small proportion of the total paddy land holdings. For example, in Ampara, while privately held land amounted to 12%, remaining belonged to the state and half of which were encroached[12]. Absence of clear title in many instances and the fear of lands and houses being encroached looms large on everyone’s mind
Table-8: Area Under Paddy Cultivation
| |
|Year/ |Area (ha) |
|Season | |
| |1981 | 1990-1993 |1999 |
|Districts | Yala |Maha |Yala |Maha |Yala |Maha |
|Ampara | 47750 |53510 |41300 |50600 |45000 |58200 |
|Batticaloa | 11500 | 42500 |11500 |36000 |7000 |27815 |
|Trincomalee |1500 |32000 |5500 |18500 |13000 |18000 |
|Vavuniya |358 |13533 |260.6 |5833.1 |1037 |1050 |
|Mannar |1000 |15000 |5800 |16000 |5800 |12000 |
|Kilinochchi |7758 |18367 |957 |18074 |3547.5 |10899 |
|Mullaitivu |949 |14240 |523 |10658 |2284 |7945 |
|Jaffna* |-- |12292 |-- |692 |-- |8411 |
|Anuradhapura |3359 |39674 |8451 |31065 |4244 |58110 |
|Polonnaruwa |23662 |33743 |42957 |45772 |11922 |22333 |
|Moneragala |10370 |19219 |10592 |20340 |10645 |20114 |
|Puttalam |15649 |26093 |16408 |39988 |NA |22112 |
|Total |53130 |152587 |132748.6 |257522.1 |97479.5 |266989 |
| | | | | | | |
Source : District Social Profiles, PMU, NEIAP
* Paddy is nor normally grown during Yala season.
Attachment 2 (a)
Sri Lanka North-East Irrigated Agriculture Project
List of Main Contributors to the Design and Preparation of
Social Safeguard Assessment and Management Framework
1. Mr.G.Kirushnamurthy,
Chief Secretary,
North East Province,
Provinicial Secretariat,
Inner Harbour Road,
Trincomalee.
2. Mr.P.Ramanathan,
Project Director,
NEIAP – Trincomalee.
3. Mrs. Thanuga Munugashan,
Provincial Land Commissioner,
Land Commissioners Department,
North East Province,
Trincomalee.
4. Mr.B.R.Senaratne,
Assistant Commissioner (Legal),
Land Commissioners Department,
Gregory Road - Colombo - 7
5. Mr.B.M.Ariyaratna,
Assistant Commissioner Lands,
Kachcheri, Trincomalee.
6. Mr.A.A.Bawa,
Deputy Project Director - NEIAP,
Kachcheri – Ampara.
7. Mr.A.C.Vinotharajah,
Deputy Project Director - NEIAP,
Provincial DDI Office - Batticaloa.
8. Mr.S.Samithambi,
Assistant Commissioner,
Agrarian Development,
Department of Agrarian Development,
Batticaloa.
9. Mr.Elamaldeniya,
Agrarian Development Officer (Head Quarter)
Department of Agrarian Development,
Trincomalee.
10. Mr.V.Velummylum,
Divisional Secretary,
Town & Gravets,
Trincomalee.
Attachment 2 (b)
Sri Lanka North-East Irrigated Agriculture Project
List of participants of the World Bank Review Mission Workshop
on Social Safeguard Issues
held on June 21 – 22, 2002 at Anuradhapura
| Name |Designation |Address |
|Mr.G. Kriushnamurthiy |Chief Secretary |NEPC - Trincomalee |
|Eng. Nihal Fernando |Task Team Leader |World Bank. |
|Mr. Appleby |Consultant |World Bank |
|Mr.S.Satish |Community Development Specialist |World Bank |
|Mr.Malcom Janson |Environmental Specialist |World Bank |
|Mr.E.W.P.Illayaparachchi |Director of Planning |Ministry of HA, PC & LG |
|Eng.S.Selvarajah |Additional Secretary |Ministry of Irrigation |
|Eng.Mrs.J.A.Amarakoon |DDI |Dept. of Irrigation (Central), Colombo |
|Mr.S.Amurthalingam |Secretary |Ministry of RR&WA, NEP |
|Mr.R.Thiyagalingam |Secretary |Ministry of Agri. Land & Irrigation- NEP – |
| | |Trincomalee. |
|Mr.T.K.Subramaniyam |Deputy Director |Agriculture, NEP |
|Mr.A.G.Jeyasinghe |Deputy Director |Planning - Polonnaruwa |
|Eng.A.E.S.Rajendra |Provincial Director |Road Development, NEP |
|Dr.K.Sivalingam |Provincial Director |Animal Production & Health, NEP |
|Lt.Col.M.D.W.Kithsiri |Srilanka Army |CAO- 211 Brigade, Vavuniya |
|Major. J.R.N.Atapattu |Srilanka Army |CAO- 22 Division, Trincomalee |
|Mr.S.Shanmugam |Government Agent |Batticaloa |
|Mr.K.Ganesh |Government Agent |Vavuniya |
|Mr.A.A.Bawa |Deputy Project Director |NEIAP, Ampara |
|Eng.A.C.Vinotharajah |Deputy Project Director |NEIAP, Batticaloa |
|Eng.S.Selvaratnam |Deputy Project Director |NEIAP, Trincomalee |
|Eng.K.S.Sivapatham |Deputy Project Director |NEIAP, Vavuniya |
|Eng.T.Navaratnasingam |Project Engineer |NEIAP, Mannar |
|Eng.M.Y.Zeindudeen |Deputy Project Director |NEIAP, Puttalam |
|Mrs.S.Anandarajah |Deputy Project Director |NEIAP, Kilinochchi |
|Eng.K.Nithiyasundresparan |Deputy Project Director |NEIAP, Mullativu |
|Mr.K.Balakrishnan |Deputy Project Director |NEIAP, Jaffna |
|Mr.S.Samithamby |Asst. Commissioner |Agrarian Development, Batticaloa |
|Mr.S.L.Segu Ibrahim |Asst. Commissioner |Agrarian Development, Trincomalee |
|Mrs.A.Stanly De Mel |Asst. Commissioner |Agrarian Development, Mannar |
|Mr.M.Kathekeyan |Asst. Director |Agriculture(Ext), Batticaloa |
|Mr.S.Sivakumar |Asst. Director |Agriculture(Ext), Trincomalee |
|Mrs.J.Jehanathan |Asst. Director |Agriculture(Ext), Vavuniya |
|Mr.S.Sinnathurai |Asst. Director |Agriculture(Ext), Jaffna |
|Mr.Tapan Kumar Barman |Programme Manager |Sewa Lanka Foundation, Trincomalee |
|Mr.G.J.Anuraj |Programme Coordinator |World Vision Lanka, Thirukkovil |
|Mr.T.Thevathas |District Coordinator |FORUT, Vavuniya |
|Mr. A.Devananda |Kreston Auditors |Colombo - 02 |
|Mr.M.S.Ramanchandran |Provincial Director |Sareeram - Srilanka National Foundation - |
| | |Batticaloa. |
|Mr.Thilan |Co-ordinating Secretary |Sareeram - Srilanka National Foundation - |
| | |Batticaloa. |
|Mr. P.Jeyasiri |SMC |RDF - Vavuniya |
|Eng.P.Kandasamy |Team Leader |Teams Consultants, Colombo - 05 |
|Mr.P.Ramanathan |Project Director |PMU – NEIAP - Trincomalee |
|Eng.S.Manoharan |Technical Director |PMU – NEIAP - Trincomalee |
|Mr.H.K.S.Hettiarachchi |PM&ES |PMU – NEIAP - Trincomalee |
|Mr.M.Jehanathan |PMPDS |PMU – NEIAP - Trincomalee |
|Mr.K.B. Bandara Basnayake |Senior Social Scientist |PMU – NEIAP - Trincomalee |
|Mr.P.Mariampillai |Project Accountant |PMU – NEIAP - Trincomalee |
|Prof.A.J.Weeramunda |Senior Social Scientist – Consultant NEIAP |University of Colombo |
|Dr.S.Thiruchchelvam |Senior Lecturer |University of Peradeniya, Peradeniya |
|Eng.A.Vimalachandran |Regional Director |Irrigation, Vavuniya |
|Eng.S.Jegatheswaran |Regional Director |Irrigation, Trincomalee |
|The General Manager |Design Consortium Ltd. |Colombo - 8 |
|Mr.M.G.M.Razzak |Senior Social Scientist |University of Peradeniya, Peradeniya |
|Mr.R.Gnanachelvam |Project Asst. |(Environment), PMU, NEIAP |
|Mr.M.Poologarajah |Project Assistant, |PMU, NEIAP – Trincomalee |
|Mrs. Muthulatha Perera |Ministry of Policy Development Planning |Colombo |
|K.V.Ganeshakumar |Resident Engineer |DCL - Vavuniya |
|Mr.W.Paranagama |Project Assistant |NEIAP - Anuradhapura |
|D.C.Vijayasinghe |Engineer |DPD’s Office - Anuradhapura |
|Mr.K.P.Pathmanathan |Asst. Director |NEIAP – Trincomalee |
|Dr.Srilal Perera |Project Manager |NEIAP - Vavuniya |
Attachment 2 (c)
Sri Lanka North-East Irrigated Agriculture Project
List of Participants of Project Stake holders Workshop – on Social Safeguard Issues
held on
June 10th – 2002 at Ampara
|Name |Designation |Address |
|A.A.Bawa |DPD |Ampara |
|Ms.S.Rajeswary. |President |Farmers’ Organization |
|Ms.S.Mary Juditha |Secretary |Farmers’ Organization |
|Ms.S.Rahini |Treasurer |Farmers’ Organization |
|Mr.U.K.Uthayakumar |ADO/AI |Irrakamam |
|Mr.I.M.Haniffa |DS |Irakkamam |
|Mr.R.M.W.Ratnayake |DDI/C |Ampara |
|Mr.R.M.P.Karuanaratne |IE |Ampara |
|Mr.N.A.Athuperera |Co-ordinator |NGO - Ampara |
|Mr.A.A.Prasanna Deepal |Director |Sewalanka |
|A.K.Thavarajah |DS |Thirukkovil |
|Mr.A.L.Jaufar |IE |Thambiluvil |
|Ms.Manel Mangalika |SM |Arepotha |
|Miss.Nilanthi |SM |Perawalthalwa |
|Ms.Kumarymala |SM |Backmitiyawa |
|A.Faleer |Coordinator |NGO – Ampara |
|Ms.R.Thayanithidevi |Project Assistant |NEIAP |
|Mr.M.Vadivel |IE |Thambiluvil |
|Mr.R.M.S.K.Basnayake |SM |Lathgala |
|Mr.M.A.C.Sridevi |SM |Sarvodayapuram |
|Mr.H.G.I.J.Harshana |SM |Panama (SLF) |
|Mr.W.M.N.Priyadarshini |SM |Unawathurububula |
|H.K.S.Hettiarachchi |PMES |NEIAP |
|Mr.A.L.Ranjan |DO |DS Office, Pottuvil |
|Mr.R.Sirivardhana |President |Farmers’ Organization- Thevaliyagoda. |
|A.M.Jaufar |DO. AS |Ampara |
|Mr.N.Lingaraja |SM |Navithanveli |
|M.Alexandar |T.O RDD Kalmunai |Kalmunai |
|Mr.A.M.S.K.Athanayake |Clerk |DS Office – Padiyathalawa |
|I.J.Pandigamage |TO RDO |CE’s Office - Ampara |
|Ms.T.B.Renuka Priyankanni |Arapoththa | |
|Mr.I.B.Gunasinghe |Representative |Farmers’ Organization, Damana |
|Mr.I.B.Karunaratne |President |Farmers’ Organization, Damana |
|M.rY.K.A.Samantha |SM |Mithuriyaya |
|Mr.Gunapalasenachandra |SM |Thalapitioya |
|Mr.V.Karunanathan |CE |RDD – Ampara |
|Mr.M.I.M.Saheem |SM |Pottuvil |
|Mr.H.S.Indrasena |DLC Branch |Ampara |
|Mr.K.Maheswaran |ADP |Alaiyadivembu & Thirukkovil |
|Mr.E.Kulasegaran |GN |Aligambai |
|Mr.T.Karunanitha |SM |Kalliyanthivu |
|Mr.V.Nesarajah |SM |Kannakikiramam |
|Mr.S.Yogarajah |SM |Manalchchenai |
|Mr.K.Tharunarajah |SM |Ampara |
|Mr.S.Thilakarajah |SM |Aligambai |
|Mr.E.Rasathurai |SM |Kavadipitiya |
|Mr.T.Lavakumar |SM |Sagamam |
|Mr.V.Anthonymuththu |RDS |Aligambai |
|Mr.V.Vellakoddy |RDS |Aligambai |
|Ms.L.Thaventhini |SM |Munaiyoor |
|Ms.K.Kanagasunthari |SM |Komari |
|Mr.S.Shanmuganathan |Technical Officer |RDD – Kalmunai |
|Mr.P.S.K.R.Veerakoon |DS |Mahaoya |
|Mrs.AR.U.Abdul Jaleel |ACAD |Ampara |
|Ms.S.Sutharshani |SM |Valathapiti |
|Mr.K.Asnara |SM |Arapoththa |
|Mr.Sumanadasa |DO |DS Office – Damana |
|Mr.M.Kopalaratnam |DS |Navithanveli |
|Mr.C.B.M.Haniffa |PA(P) |Ampara |
|Mr.O.M.Thisanayake |DO |Mahaoya |
|Mr.G.K.Kumaran |PA |Ampara |
Attachment 2 (d)
Sri Lanka North-East Irrigated Agriculture Project
List of Participants of Project Stake holders’ Workshop – on
Social Safeguard Issues
held on June 11th – 2002 at Batticaloa
|Name |Designation |Address |
|T.Kanagasabai |Project Assistant |NEIAP – Batticaloa |
|R.Thayanithdevi |Project Assistant |NEIAP – Batticaloa |
|K.Selvarajah |SM |G.N 209 A, Murunthan |
|K.Rasaiyah |Representative |Kaddumurivu village |
|M.Ganapathi |Representative |Mathurankerni kulam |
|S.Theivarasa |President |Kaddumurivu village |
|M.S.Ramachandran |Prov. Director |Sareeram Srilanka Foundation |
|S.Thilan |Co-ordinating Secretary |Sareeram Srilanka Foundation |
|S.Nimalathas |Co-ordinating Officer |Sareeram Srilanka Foundation |
|M.Sellaiyah |CO |Sareeram Srilanka Foundation |
|S.Arumainathan |D.O A.S |Vaharai |
|R.Nagarasa |GN |Kaddumurivu |
|S.Felician |FO – Treasurer |- |
|M.Muralitharan |SMO |Sareeram Srilanka Foundation |
|J.Jeevaneswaran |SMO | - do - |
|S.Sathiyanathan |SMO | - do - |
|S.Sivalingam |ADP (P.P) |Batticaloa |
|A.Karunagaran |ADP |Vavunatheevu |
|K.Gunaratnam |ADP |MS&EP, Kaaraikudy |
|S.Amalanathan |D.S. |MSW Paddipalai |
|M.Uthayakumar |DS- KPN |- |
|K.Mahesan |DS |Eravurpattu |
|S.Muralitharan |DS |Koralaipattu South |
|V.Thavarajah |DS |Koralaipattu East |
|C.Punniyamoorthy |DS |Valaichchenai |
|G.Selvarajah |AI (HQ) |Dept. of Agriculture - Batticaloa |
|V.Karunakaran |AI |Valaichchenai |
|S.Samiththamby |ACAD |Batticaloa |
|Karan |SMO |Mathurankerni kulam |
|P.Ramachchandran |FO |- |
|V.Rajendram |FA |NEIAP, Batticaloa |
|A.C.Vinotharaj |DPD, |NEIAP, Batticaloa |
|H.K.S.Hettiarachchi |PMES, |NEIAP, Trincomalee |
|M.Mohanpremkumar |Rural Development Officer |Batticaloa |
|P.Kumuthamalar |Project Assistant |NEIAP, Batticaloa |
|S.Vijayakumar |F.A |NEIAP, Batticaloa |
|S.Narmathan |Clerical Assistant |NEIAP, Batticaloa |
Attachment 3
Sri Lanka North-East Irrigated Agriculture Project (NEIAP)
World Bank Operational Policies on
Involuntary Resettlement
Note: OP and BP 4.12 together replace OD 4.30, Involuntary Resettlement. This OP and BP apply to all projects for which a Project Concept Review takes place on or after January 1, 2002. Questions may be addressed to the Director, Social Development Department (SDV)
1. Bank experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, Social, and environmental risks: production systems are dismantled; people face impoverishment when their productive assets or in come sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identify, traditional authority, and the potential for mutual help are diminished or lost. This policy includes safeguards to address and mitigate these impoverishment risks.
Policy Objectives
2. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. For these reasons, the overall objectives of the Bank’s policy on involuntary resettlement are the following.
a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs.[i]
b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons[ii] should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.
c) Displaced persons should be assisted in their to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.[iii]
Impacts Covered
3. This policy covers direct economic and social impacts[iv] that both result from Bank – assisted investment projects [v], and are caused by
a) the involuntary[vi] taking of lands[vii] resulting in
i) relocation or loss of shelter;
ii) Lost of assets or access to assets; or
iii) Loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or
b) The involuntary restriction of access[viii] to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons.
4. This policy applies to all components of the project that result in involuntary resettlement, regardless of the sources of financial. It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and significantly related to the Bank assisted projects, (b) necessary to achieve its objectives as set forth in the project documents, and (c) carried out, or planned to be carried out, contemporaneously with the project.
5. Requests for guidance on the application and scope of this policy should be addressed to the resettlement committee (see BP 4.12, para. 7).[ix]
Required Measures
6. To address the impacts covered under para. 3 (a) of this policy, the borrower prepares a resettlement plan or a resettlement policy framework (see paras. 25-30) that covers the following:
a) The resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are
i) informed about their options and rights pertaining to resettlement;
ii) Consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and
iii) Provided prompt and effective compensation at full replacement cost[x] for losses of assets[xi] attributes directly to the project.
b) if the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are
i) provided assistance (such as moving allowances) during relocation, and
ii) Provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors are at least equivalent to the advantages of the old site[xii].
c) Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also included measures to ensure that displaced persons are
i) offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living;[xiii] and
ii) Provided with development assistance in addition to compensation measures described in paragraph 6(a)
iii) such as land preparation, credit facilities, training, or job opportunities.
7. In projects involving involuntary restriction of access to legally designated parks and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts, is determined with the participation of the displaced persons during the design and implementation of the project. In such cases, the borrower prepares as process framework acceptable to the Bank, describing the participatory process by which
a) Specific components of the project will be prepared and implemented;
b) The criteria for eligibility of displaced persons will be determined.
c) Measures to assist the displaced persons in their efforts to improve their livelihoods, or at least to restore them, in real terms, while maintaining the sustainability of the park or protected area, will be identified; and
d) Potential conflicts involving displaced persons will be resolved.
The process framework also includes a description of the arrangements for implementing and monitoring the process.
8. To achieve the objectives of this policy, particular attention is paid to the needs of vulnerable groups among those displaced, especially those below the poverty line, the landless, the elderly, women and children, indigenous people,[xiv] ethnic minorities, or other displaced persons who may not be protected through national land compensation legislation.
9. Bank experience has shown that resettlement of indigenous peoples with traditional land-based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. For this reason, the Bank satisfies itself that the borrower has explored all viable alternative project designs to avoid physical displacement of these groups (see para 11) that are compatible with their cultural preferences and are prepared in consultation with them (see Annex A, para 11)
10. The implementation of resettlement activities is linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. For impacts covered in para 3(a) of this policy. These measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons. For impacts covered in para. 3(b) of this policy, the measures to assist the displaced persons are implemented in accordance with the plan of action as part of the project (see para 30)
11. Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land (see footnote 1 above), or on private land acquired or purchased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the land taken. If land is not the preferred option of the displaced persons, the provision of land would adversely affect the sustainability of a part or protected area,[xv] or sufficient land is not available at a reasonable price, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented to the satisfaction of the Bank.
12. Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land based but the land taken for the project is a small fraction[xvi] of the affected asset and the residual is economically viable; (b) active markets for land, housing, and labor exist, displaced persons use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land based. Cash compensation levels should be sufficient to replace the lost land and other assets at full replacement cost in local markets.
13. For impacts covered under para 3(a) of this policy, the Bank also requires the following.
a) Displaced persons and their communities, and any host communities receiving them are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are established for these groups.
b) In new resettlement sites or host communities, infrastructure and public services are proved as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder)
c) Patterns of community organization appropriate to the new circumstances are based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of relocating in pre existing communities and groups are honored.
Eligibility for Benefits [xvii]
14. Upon identification of the need for involuntary resettlement in a project, the borrower carries out a census to identify the persons who will be affected by the project (see the Annex A, para. 6(a)), to determine who will be eligible for assistance, and to discourage inflow of people ineligible for assistance. The borrower also develops a procedure, satisfactory to the Bank, for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, non governmental organizations (NGOs), and it specifies grievance mechanisms.
15. Criteria for eligibility. Displaced persons may be classified in one of the following three groups:
a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country);
b) Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets – provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan (see Annex A; para. 7(f)); and[xviii]
c) Those who have no recognizable legal right or claim to the land they are occupying.
16. Persons covered under para. 15(a) and (b) are provided compensation for the land they lose, and other assistance in accordance with para. 6. Persons covered under para. 15(c) are provided resettlement assistance[xix] in lieu of compensation of the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank[xx] Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in para 15(a), (b), or (c) are provided compensation for loss of assets other than land;
Resettlement Planning, Implementation, and Monitoring
17. To achieve the objectives of this policy, different planning instruments are used, depending on the type of project:
a) a resettlement plan or abbreviated resettlement plan is required for all operations that entail involuntary resettlement unless otherwise specified (see para 25 and Annex A);
b) a resettlement policy framework is required for operations referred to in paras. 26-30 that may entail involuntary resettlement, unless otherwise specified (see Annex A); and
c) A process framework is prepared for projects involving restriction of access in accordance with para. 3(b) (see para 31)
18. The borrower is responsible for preparing, implementation, and monitoring a resettlement plan, a resettlement policy framework, or a process framework (the “resettlement instruments”), as appropriate, that confirm to this policy. The resettlement instrument presents a strategy for achieving the objectives of the policy and covers all aspects of the proposed resettlement. Borrower commitment to, and capacity for, undertaking successful resettlement is a key determinant of Bank involvement in a project.
19. Resettlement planning includes early screening, scooping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component or subcomponent. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. In preparing the resettlement component, the borrower draws on appropriate social, technical, and legal expertise and on relevant community-based organizations and NGOs.[xxi] The borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design.
20. The full costs of resettlement activities necessary to achieve the objectives of the project are included in the total costs of the project. The costs of resettlement, like the costs of other project activities, are treated as a charges against the economic benefits of the project; and any net benefits to resettlers (as compared to the “without-project” circumstances) are added to the benefits stream of the project. Resettlement components or free-standing resettlement projects need not be economically viable on their own, but should be cost-effective.
21. The borrower ensures that the Project Implementation Plan is fully consistent with the resettlement instrument.
22. As a condition of appraisal of projects involving resettlement, the borrower provides the Bank with the relevant draft resettlement instrument which conforms to this policy, and makes it available at a place accessible to displaced persons and local NGOs, in a firm, manner and language that are understandable to them. Once the Bank accepts this instrument as providing an adequate basis for project appraisal, the Bank makes it available to the public through its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and the borrower disclose it again in the same manner.[xxii]
23. The borrower’s obligations to carry out the resettlement instrument and to keep the Bank informed of implementation progress are provided for in the legal agreements for the project.
24. The borrower is responsible for adequate monitoring and evaluation of the activities set forth in the resettlement instrument. The Bank regularly supervises resettlement implementation to determine compliance with the resettlement instrument. Upon completion of the project, the borrower undertakes an assessment takes into account the baseline conditions and the results of resettlement monitoring. If the assessment reveals that these objectives may not be realized, the borrower should propose follow-up measures that may serve as the basis for continued Bank supervision, as the Bank deems appropriate (see also BP 4.12, para 16)
Resettlement Instruments
Resettlement Plan
25. A draft resettlement plan that conforms to this policy is a condition of appraisal (see Annex A, paras. 2-21) for projects referred to in para. 17(a) above.[xxiii] However, where impacts on the entire displaced population are minor,[xxiv] or fewer than 200 people are displaced, and abbreviated resettlement plan may be agreed with the borrower (see Annex A, para. 22). The information disclosure procedures set forth in para 22 apply.
Resettlement Policy Framework
26. For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen sub projects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex A, paras 23-25). The framework also estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs.
27. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen sub projects to be financed by the Bank to ensure their consistency with this OP. for these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy frame work conforming to this policy (see Annex A, paras 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for sub project financing. When, in the assessment of the Bank, no resettlement is envisaged in the sub projects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential sub borrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all sub projects involving resettlement, the resettlement plan is provided to the Bank for approval before the sub projects is accepted for Bank financing.
28. For other Bank-assisted projects with multiple sub projects[xxv] that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or sub projects (a) the zone of impact of sub projects cannot be determined, or (b) the zone of impacts is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (See Annex A, paras 23-25). For other sub projects that do not fall with in the above criteria, a resettlement plan conforming to this policy is required prior to appraisal.
29. For each sub project included in a project described in para. 26,27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing.
30. For projects described in paras. 26-28 above, the Bank may agree, in writing, that sub project resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity’s approval of resettlement plans found not to be in compliance with Bank policy, are provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank.
Process Framework
31. For projects involving restriction of access in accordance with para. 3(b) above, the borrower provides the Bank with a draft process framework that conforms to the relevant provisions of this policy as a condition of appraisal. In addition, during project implementation and before to enforcing of the restriction, the borrower prepares a plan of action, acceptable to the Bank, describing the specific measures to be undertaken to assist the displaced persons and the arrangements for their implementation. The plan of action could take the form of a natural resources management plan prepared for the project.
Assistance to the Borrower
32. In furtherance to the objectives of this policy, the Bank may at a borrower’s request support the borrower and other concerned entities by providing
a) assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level;
b) financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations;
c) financing of technical assistance for developing resettlement policies, strategies, and specific plans, and for implementation, monitoring, and evaluation of resettlement activities; and
d) financing of the investment costs of resettlement.
33. The Bank may finance either a component of the main investment causing displacement and requiring resettlement, or a free-standing resettlement project with appropriate cross-conditionalities, processed and implemented in parallel with the investment that causes the displacement. The Bank may finance resettlement even though it is not financing the main investment that makes resettlement necessary.
34. The Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities.
Note: OP and BP 4.12 together replace OD 4.30, Involuntary Resettlement. This OP and BP apply to all projects for which a Project Concept Review takes place on or after January 1, 2002. Questions may be addressed to the Director, Social Development Department (SDV)
35. Bank[xxvi] experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, Social, and environmental risks: production systems are dismantled; people face impoverishment when their productive assets or in come sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identify, traditional authority, and the potential for mutual help are diminished or lost. This policy includes safeguards to address and mitigate these impoverishment risks.
Policy Objectives
36. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. For these reasons, the overall objectives of the Bank’s policy on involuntary resettlement are the following.
a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs.[xxvii]
b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons[xxviii] should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.
c) Displaced persons should be assisted in their to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.[xxix]
Impacts Covered
37. This policy covers direct economic and social impacts[xxx] that both result from Bank – assisted investment projects [xxxi], and are caused by
a) the involuntary[xxxii] taking of lands[xxxiii] resulting in
iv) relocation or loss of shelter;
v) Lost of assets or access to assets; or
vi) Loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or
b) The involuntary restriction of access[xxxiv] to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons.
38. This policy applies to all components of the project that result in involuntary resettlement, regardless of the sources of financial. It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and significantly related to the Bank assisted projects, (b) necessary to achieve its objectives as set forth in the project documents, and (c) carried out, or planned to be carried out, contemporaneously with the project.
39. Requests for guidance on the application and scope of this policy should be addressed to the resettlement committee (see BP 4.12, para. 7).[xxxv]
Required Measures
40. To address the impacts covered under para. 3 (a) of this policy, the borrower prepares a resettlement plan or a resettlement policy framework (see paras. 25-30) that covers the following:
a) The resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are
iv) informed about their options and rights pertaining to resettlement;
v) Consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and
vi) Provided prompt and effective compensation at full replacement cost[xxxvi] for losses of assets[xxxvii] attributes directly to the project.
b) if the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are
iii) provided assistance (such as moving allowances) during relocation, and
iv) Provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors are at least equivalent to the advantages of the old site[xxxviii].
c) Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also included measures to ensure that displaced persons are
iv) offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living;[xxxix] and
v) Provided with development assistance in addition to compensation measures described in paragraph 6(a)
vi) such as land preparation, credit facilities, training, or job opportunities.
41. In projects involving involuntary restriction of access to legally designated parks and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts, is determined with the participation of the displaced persons during the design and implementation of the project. In such cases, the borrower prepares as process framework acceptable to the Bank, describing the participatory process by which
a) Specific components of the project will be prepared and implemented;
b) The criteria for eligibility of displaced persons will be determined.
c) Measures to assist the displaced persons in their efforts to improve their livelihoods, or at least to restore them, in real terms, while maintaining the sustainability of the park or protected area, will be identified; and
d) Potential conflicts involving displaced persons will be resolved.
The process framework also includes a description of the arrangements for implementing and monitoring the process.
42. To achieve the objectives of this policy, particular attention is paid to the needs of vulnerable groups among those displaced, especially those below the poverty line, the landless, the elderly, women and children, indigenous people,[xl] ethnic minorities, or other displaced persons who may not be protected through national land compensation legislation.
43. Bank experience has shown that resettlement of indigenous peoples with traditional land-based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. For this reason, the Bank satisfies itself that the borrower has explored all viable alternative project designs to avoid physical displacement of these groups (see para 11) that are compatible with their cultural preferences and are prepared in consultation with them (see Annex A, para 11)
44. The implementation of resettlement activities is linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. For impacts covered in para 3(a) of this policy. These measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons. For impacts covered in para. 3(b) of this policy, the measures to assist the displaced persons are implemented in accordance with the plan of action as part of the project (see para 30)
45. Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land (see footnote 1 above), or on private land acquired or purchased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the land taken. If land is not the preferred option of the displaced persons, the provision of land would adversely affect the sustainability of a part or protected area,[xli] or sufficient land is not available at a reasonable price, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented to the satisfaction of the Bank.
46. Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land based but the land taken for the project is a small fraction[xlii] of the affected asset and the residual is economically viable; (b) active markets for land, housing, and labor exist, displaced persons use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land based. Cash compensation levels should be sufficient to replace the lost land and other assets at full replacement cost in local markets.
47. For impacts covered under para 3(a) of this policy, the Bank also requires the following.
a) Displaced persons and their communities, and any host communities receiving them are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are established for these groups.
b) In new resettlement sites or host communities, infrastructure and public services are proved as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder)
c) Patterns of community organization appropriate to the new circumstances are based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of relocating in pre existing communities and groups are honored.
Eligibility for Benefits [xliii]
48. Upon identification of the need for involuntary resettlement in a project, the borrower carries out a census to identify the persons who will be affected by the project (see the Annex A, para. 6(a)), to determine who will be eligible for assistance, and to discourage inflow of people ineligible for assistance. The borrower also develops a procedure, satisfactory to the Bank, for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, non governmental organizations (NGOs), and it specifies grievance mechanisms.
49. Criteria for eligibility. Displaced persons may be classified in one of the following three groups:
a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country);
b) Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets – provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan (see Annex A; para. 7(f)); and[xliv]
c) Those who have no recognizable legal right or claim to the land they are occupying.
50. Persons covered under para. 15(a) and (b) are provided compensation for the land they lose, and other assistance in accordance with para. 6. Persons covered under para. 15(c) are provided resettlement assistance[xlv] in lieu of compensation of the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank[xlvi] Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in para 15(a), (b), or (c) are provided compensation for loss of assets other than land;
Resettlement Planning, Implementation, and Monitoring
51. To achieve the objectives of this policy, different planning instruments are used, depending on the type of project:
a) a resettlement plan or abbreviated resettlement plan is required for all operations that entail involuntary resettlement unless otherwise specified (see para 25 and Annex A);
b) a resettlement policy framework is required for operations referred to in paras. 26-30 that may entail involuntary resettlement, unless otherwise specified (see Annex A); and
c) A process framework is prepared for projects involving restriction of access in accordance with para. 3(b) (see para 31)
52. The borrower is responsible for preparing, implementation, and monitoring a resettlement plan, a resettlement policy framework, or a process framework (the “resettlement instruments”), as appropriate, that confirm to this policy. The resettlement instrument presents a strategy for achieving the objectives of the policy and covers all aspects of the proposed resettlement. Borrower commitment to, and capacity for, undertaking successful resettlement is a key determinant of Bank involvement in a project.
53. Resettlement planning includes early screening, scooping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component or subcomponent. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. In preparing the resettlement component, the borrower draws on appropriate social, technical, and legal expertise and on relevant community-based organizations and NGOs.[xlvii] The borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design.
54. The full costs of resettlement activities necessary to achieve the objectives of the project are included in the total costs of the project. The costs of resettlement, like the costs of other project activities, are treated as a charges against the economic benefits of the project; and any net benefits to resettlers (as compared to the “without-project” circumstances) are added to the benefits stream of the project. Resettlement components or free-standing resettlement projects need not be economically viable on their own, but should be cost-effective.
55. The borrower ensures that the Project Implementation Plan is fully consistent with the resettlement instrument.
56. As a condition of appraisal of projects involving resettlement, the borrower provides the Bank with the relevant draft resettlement instrument which conforms to this policy, and makes it available at a place accessible to displaced persons and local NGOs, in a firm, manner and language that are understandable to them. Once the Bank accepts this instrument as providing an adequate basis for project appraisal, the Bank makes it available to the public through its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and the borrower disclose it again in the same manner.[xlviii]
57. The borrower’s obligations to carry out the resettlement instrument and to keep the Bank informed of implementation progress are provided for in the legal agreements for the project.
58. The borrower is responsible for adequate monitoring and evaluation of the activities set forth in the resettlement instrument. The Bank regularly supervises resettlement implementation to determine compliance with the resettlement instrument. Upon completion of the project, the borrower undertakes an assessment takes into account the baseline conditions and the results of resettlement monitoring. If the assessment reveals that these objectives may not be realized, the borrower should propose follow-up measures that may serve as the basis for continued Bank supervision, as the Bank deems appropriate (see also BP 4.12, para 16)
Resettlement Instruments
Resettlement Plan
59. A draft resettlement plan that conforms to this policy is a condition of appraisal (see Annex A, paras. 2-21) for projects referred to in para. 17(a) above.[xlix] However, where impacts on the entire displaced population are minor,[l] or fewer than 200 people are displaced, and abbreviated resettlement plan may be agreed with the borrower (see Annex A, para. 22). The information disclosure procedures set forth in para 22 apply.
Resettlement Policy Framework
60. For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen sub projects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex A, paras 23-25). The framework also estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs.
61. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen sub projects to be financed by the Bank to ensure their consistency with this OP. for these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy frame work conforming to this policy (see Annex A, paras 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for sub project financing. When, in the assessment of the Bank, no resettlement is envisaged in the sub projects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential sub borrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all sub projects involving resettlement, the resettlement plan is provided to the Bank for approval before the sub projects is accepted for Bank financing.
62. For other Bank-assisted projects with multiple sub projects[li] that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or sub projects (a) the zone of impact of sub projects cannot be determined, or (b) the zone of impacts is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (See Annex A, paras 23-25). For other sub projects that do not fall with in the above criteria, a resettlement plan conforming to this policy is required prior to appraisal.
63. For each sub project included in a project described in para. 26,27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing.
64. For projects described in paras. 26-28 above, the Bank may agree, in writing, that sub project resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity’s approval of resettlement plans found not to be in compliance with Bank policy, are provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank.
Process Framework
65. For projects involving restriction of access in accordance with para. 3(b) above, the borrower provides the Bank with a draft process framework that conforms to the relevant provisions of this policy as a condition of appraisal. In addition, during project implementation and before to enforcing of the restriction, the borrower prepares a plan of action, acceptable to the Bank, describing the specific measures to be undertaken to assist the displaced persons and the arrangements for their implementation. The plan of action could take the form of a natural resources management plan prepared for the project.
Assistance to the Borrower
66. In furtherance to the objectives of this policy, the Bank may at a borrower’s request support the borrower and other concerned entities by providing
a) assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level;
b) financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations;
c) financing of technical assistance for developing resettlement policies, strategies, and specific plans, and for implementation, monitoring, and evaluation of resettlement activities; and
d) financing of the investment costs of resettlement.
67. The Bank may finance either a component of the main investment causing displacement and requiring resettlement, or a free-standing resettlement project with appropriate cross-conditionalities, processed and implemented in parallel with the investment that causes the displacement. The Bank may finance resettlement even though it is not financing the main investment that makes resettlement necessary.
68. The Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities.
Attachment 4
Sri Lanka North-East Irrigated Agriculture Project (NEIAP)
Operational Directive
This directive was prepared for the guidance of staff of the World Bank and is not necessarily a complete treatment of the subjects covered.
Indigenous Peoples
Introduction
1. This directive describes Bank[?] policies and processing procedures for projects that affect indigenous peoples. It sets out basic definitions, policy objectives, guidelines for the design and implementation of project provisions or components for indigenous peoples, and processing and documentation requirements.
2. The directive provides policy guidance to (a) ensure that indigenous people benefit from development projects, and (b) avoid or mitigate potentially adverse effects on indigenous people caused by Bank-assisted activities. Special action is required where Bank investments affect indigenous peoples, tribes, ethnic minorities, or other groups whose social and economic status restricts their capacity to assert their interests and rights in land and other productive resources.
Definitions
3. The terms “indigenous peoples,” “indigenous ethnic minorities,” “tribal groups”, and “scheduled tribes “describe social groups with a social and cultural identity distinct from the dominant society that makes them vulnerable to being disadvantaged in the development process. For the purposes of this directive, “indigenous peoples” is the term that will be sued to refer to these groups.
4. Within their national constitutions, statutes, and relevant legislation, many of the Bank’s borrower countries include specific definitional clauses and legal frameworks that provide a preliminary basis for identifying indigenous peoples.
5. Because of the varied and changing contexts in which indigenous peoples are found, no single definition can capture their diversity. Indigenous people are commonly among the poorest segments of a population. They engage in economic activities that range from shifting agriculture in or near forests to wage labor or even small-scale market-oriented activities. Indigenous peoples can be identified in particular geographical areas by the presence in varying degrees of the following characteristics:
a) a close attachment to ancestral territories and to the natural resources in these areas;
b) self-identification and identification by others as members of a distinct cultural group;
c) an indigenous language, often different from the national language;
d) presence of customary social and political institutions; and
e) primarily subsistence-oriented production.
The managers (TMs) must exercise judgment in determining the populations to which this directive applies and should make use of specialized anthropological and sociological experts throughout the project cycle.
Objective and Policy
6. The Bank’s broad objective towards indigenous people, as for all the people in its member countries, is to ensure that the development process fosters full expectations for their dignity, human rights and cultural uniqueness. More specifically, the objective at the center of this directive is to ensure that indigenous peoples do not suffer adverse effects during the development process, particularly from Bank-financed projects, and that they receive culturally compatible social and economic benefits.
7. How to approach indigenous peoples affected by development projects is a controversial issue. Debate is often phrased as a choice between two opposed positions. One pole is to insulate indigenous populations whose cultural and economic practices make it difficult for them to deal with powerful outside groups. The advantages of this approach are the special protections that are provided and the preservation of cultural distinctiveness; the costs are the benefits foregone from development programs. The other pole argues that indigenous people must be acculturated to dominant society values and economic activities so that they can participate in national development. Here the benefits can include improved social and economic opportunities, but the cost is after the gradual loss of cultural differences.
8. The Bank’s policy is that the strategy for addressing the issues pertaining to indigenous peoples must be based on the informed participation of the indigenous people themselves. Thus, identifying local preferences through direct consultation, incorporation of indigenous knowledge into project approaches, and appropriate early use of experienced specialists are core activities for any project that affects indigenous peoples and their rights to natural and economic resources.
9. Cases will occur, especially when dealing with the most isolated groups, where adverse impacts are unavoidable and adequate mitigation plans have not been developed. In such situations, the Bank will not appraise projects until suitable plans are developed by the borrower and reviewed by the Bank. In other cases, indigenous people may wish to be and can be incorporated into the development process. In sum, a full range of positive actions by the borrower must ensure that indigenous people benefit from development investments.
Bank Role
10. The Bank addresses issues on indigenous peoples through (a) country economic and sector work, (b) technical assistance, and (c) investment project components or provisions. Issues concerning indigenous peoples can arise in variety of sectors that concern the Bank; those involving, for example, agriculture, road construction, forestry, hydropower, mining, tourism, education, and the environment should be carefully screened[?] Issues related to indigenous peoples are commonly identified through the environmental assessment or social impact assessment processes, and appropriate measures should be taken under environmental mitigation actions (see OD4.01, Environmental Assessment).
11. Country Economic and Sector Work. Country departments should maintain information on trends in government policies and institutions that deal with indigenous peoples. Issues concerning indigenous peoples should be addressed explicitly in sector and sub sector work and brought into the Bank country dialogue. National Development policy frameworks and institutions for indigenous peoples often need to be strengthened in order to create a stronger basis for designing and processing projects with components dealing with indigenous peoples.
12. Technical Assistance. Technical Assistance to develop the borrower’s abilities to address issues on indigenous peoples can be provided by the Bank. Technical Assistance is normally given with in the context of project preparation, but technical assistance may also be needed to strengthen the relevant government institutions or to support development initiatives taken by indigenous people themselves.
13. Investment Projects. For an investment project that affects indigenous peoples, the borrower should prepare a plan and is expected to include components or provision that incorporate such a plan. When the bulk of the direct project beneficiaries are indigenous people, the Bank’s concerns would be addressed by the project itself and the provisions of this ID would thus apply to the project in its entirety.
Indigenous Peoples Development Plan[?]
Prerequisites
14. Prerequisites of a successful development plan for indigenous peoples are as follows.
a) The key step in project design is the preparation of a culturally appropriate development plan based on full consideration of the options preferred by the indigenous people affected by the project.
b) Studies should make all efforts to anticipate adverse trends likely to be induced by the project and develop the means to avoid or mitigate harm.[?]
c) The institutions responsible for government interaction with indigenous peoples should possess the social, technical, and legal skills needed for carrying out the proposed development activities. Implementation arrangements should be kept simple. They should normally involve appropriate existing institutions, local organizations, and non governmental organizations (NGOs) with expertise in maters relating to indigenous peoples.
d) Local patterns of social organizations, religious beliefs, and resource use should be taken into account in the plan’s design.
e) Development activities should support production system that are well adapted to the needs and environment of indigenous peoples, and should help production systems under stress to attain sustainable levels.
f) The plan should avoid creating or aggravating the dependency of indigenous people on project entities. Planning should encourage early handover of project management to local people. As needed, the plan should include general education and training in management skills for indigenous people from the on set of the project.
g) Successful planning for indigenous peoples frequently requires long lead times, as well as arrangements for extended follow-up. Remote or neglected areas where little previous experience is available often require additional research and pilot programs to fine-tune development proposals.
h) Where effective programs are already functioning, Bank support can take the form of incremental funding to strengthen them rather than the development of entirely new programs.
15. The development plans should be prepared in tandem with the preparation of the main investment. In any cases, proper protection of the rights of indigenous people will require the implementation of special project components that may lie outside the primary project’s objectives. These components can include activities related to health and nutrition, productive infrastructure, linguistic and cultural preservation, entitlement to natural resources, and education. The project component for indigenous peoples development should include the following elements, as needed:
a) Legal framework: The plan should contain an assessment of (i) the legal status of the groups covered by this OD, as reflected in the country’s constitutions, legislations, and subsidiary legislation (regulations, administrative orders, etc.); and(ii) the ability of such groups to obtain access to and effectively use the legal system to defend their rights. Particular attention should be given to the rights of indigenous peoples to use and develop the lands that they occupy, to be protected against illegal intruders, and to have access to natural resources (such as forests, wildlife, and water ) vital to their subsistence and reproduction.
b) Baseline Data: Baseline data should included (i) accurate, up-to-date maps and aerial photographs of the area of project influence and the areas inhabited by indigenous peoples; (ii) analysis of the social structure and income sources of the population; (ii) inventories of the resources that indigenous people use and technical data on their production systems; and (iv) the relationship of indigenous peoples to other local and national groups. It is particularly important that baseline studies capture the full range of production and marketing activities in which indigenous people are engaged. Site visits by qualified social and technical experts should verify and update secondary sources.
c) Land Tenure: When local legislation needs strengthening, the Bank should offer advise and assist the borrower in establishing legal recognition of the customary or traditional land tenure systems of indigenous peoples. Where the tradition lands of indigenous peoples have been brought by law into the domain of the state and where it is inappropriate to convert traditional rights into those of legal ownership, alternative arrangements should be implemented to grant long-term, renewable rights of custodianship and sue to indigenous peoples. These steps should be taken before the initiation of other planning steps that may be contingent on recognized land titles.
d) Strategy for local participation: Mechanisms should be devised and maintained for participation by indigenous people in decision making throughout project planning, implementation, and evaluation. Many of the larger groups of indigenous people have their own representative organizations that provide effective channels for communicating local preferences. Traditional leaders occupy pivotal positions for mobilization of people and should be brought into the planning process, with due concern for ensuring genuine representation of the indigenous population[?] No foolproof methods exist, however, to guarantee full local-level participation. Sociological and technical advice provided through the Regional Environment Divisions (REDs) is often ended to develop mechanisms appropriate for the project area.
e) Technical Identification of Development or Mitigation Activities: Technical proposal should proceed from on-site research by qualified professionals acceptable to the Bank. Detailed descriptions should be prepared and appraised for such proposed services as education, training. Health, credit, and legal assistance. Technical descriptions should be included for the planned investments in productive infrastructure. Plans that draw upon indigenous knowledge are often more successful that those introducing entirely new principles and institutions. For example, the potential contribution of traditional health providers should be considered in planning delivery systems for health care.
f) Institutional Capacity: The government institutions assigned responsibility for indigenous peoples are often weak. Assessing the track record, capabilities, and needs of those institutions is a fundamental requirement. Organizational issues that need to be addressed through Bank assistance are the (i) availability of funds for investments and field operations; (ii) adequacy of experienced professional staff; (iii) ability of indigenous peoples’ own organizations, local administration authorities, and local NGOs interact with specialized government institutions; (v) ability of the executing agency to mobilize other agencies involved in the plan’s implementation; and (v) adequacy of field presence.
g) Implementation Schedule: Components should include an implementation schedules with benchmarks by which progress can be measured at appropriate intervals. Pilot programs are often needed to provide planning information for phasing the project component for indigenous peoples with the main investment. The plan should pursue the long-term sustainability of project activities subsequent to completion of disbursement.
h) Monitoring and Evaluation[?]: Independent monitoring capacities are usually needed when the institutions responsible for indigenous populations have weak management histories. Monitoring by representatives of indigenous peoples’ own organizations can be an efficient way for the project management to absorb the perspectives of indigenous beneficiaries and is encouraged by the Bank. Monitoring units should be staffed by experienced social science professionals, and reporting formats and schedules appropriate to the project’s needs should be established. Monitoring and evaluation reports should be reviewed jointly by the senior management of the implementing agency and by the Bank. The evaluation reports should be made available to the public.
i) Cost Estimates and Financing Plan: The plan should include detailed cost estimates for planned activities and investments. The estimates should be broken down into unit costs by projects year and linked to a financing plan. Such programs as revolving credit funds that provide indigenous people with investment pools should indicate their accounting procedures and mechanisms for financial transfer and replenishment. It is usually helpful to have as high a share as possible of direct financial participation by the Bank in project components dealing with indigenous peoples.
Project Processing and Documentation
Identification
16. During project identification, the borrower should be informed of the Bank’s policy for indigenous peoples. The approximate number of potentially affected people and their location should be determined and shown on maps of the project area. The legal status of any affected groups should also be discussed. TMs should ascertain the relevant government agencies, and their policies, procedures, programs, and plans for indigenous peoples affected by the proposed project (see paras. 11 and 15(a)). TMs, in consultation with the REDs, should signal indigenous peoples issues and the overall project strategy in the Initial Executive Project Summary (IEPS).
Preparation
17. If it is agreed in the IEPS meeting that special action is needed, the indigenous peoples development plan or project component should be developed during project preparation. As necessary, the Bank should assist the borrower in preparing terms of reference and should provide specialized technical assistance (see para. 12) Early involvement of anthropologist and local NGOs with expertise in matters related to indigenous peoples is a useful way to identify mechanisms for effective participation and local development opportunities. In a project that involves the land rights of indigenous peoples, the Bank should work with the borrower to clarify the steps needed for putting land tenure on a regular footing as early as possible, since land disputes frequently lead to delays in executing measures that are contingent on proper land titles (see para 15 (c)).
Appraisal
18. The plan for the development component for indigenous peoples should be submitted to the Bank along with the project’s overall feasibility report, prior to project apprsisal. Appraisal should assess the adequacy of the plan, the suitability of policies and legal frameworks, the capabilities of the agencies charged with implementing the plan, and the adequacy of the allocated technical, financial, and social resources. Appraisal tems shold be satisfied that indigenous people have participated meaningfully in the development of the plan as described in para. 14(a) (also see para.15(d). It is particularly important to appraise proposals for regularizing land access and use.
Implementation and Supervision
19. Supervision planning should make provision for including the appropriate anthropological, legal, and technical skills in Bank supervision missions during project implementation (see paras. 15(g) and (h), and OD 13.05, Project Supervision). Site visits by TMs and specialists are essential. Midterm and final evaluations should assess progress and recommend corrective actions when necessary.
Documentation
20. The borrower’s commitments for implementing the indigenous peoples development plan should be reflected in the loan documents; legal provisions should provide Bank staff with clear benchmarks that can be monitored during supervision. The Staff Appraisal Report and the Memorandum and Recommendation of the President should summarize the plan or project provisions.
Attachment 5
Sri Lanka North-East Irrigated Agriculture Project (NEIAP)
DRAFT BY-LAWS OF THE FARMERS’ ORGANIZATIONS of NEIAP PROJECT AREA.
In exercise of powers vested in it as per provisions of the Agrarian Development Act No 46 of 2000, the …….. Commissioner – General hereby constitutes the Farmers Organization, namely ………… Village Farmers’ Organization, ………………… Division and ……………… District. The Farmers’ Organization is constituted for the purpose and with power and functions as given in the By-laws below, adopted by the ………………… village community, vide this resolution.
1. Jurisdiction:
The jurisdiction of this Farmers’ Organization (hereafter, “the Organization”) encompasses the geographical area constituting ………. village and habitations covered for, and as recognized by the office of the ………, developmental activities to be implemented under the Provincial / Central Government’s investments as well as the externally aided projects.
2. Objectives of the Organization:
a) The Organization shall seek the well- being of the entire membership and shall be empowered to undertake such lawful activities as they think fit for the achievement of that objective.
b) The Organization shall plan and implement activities that will bring about the economic and social development of the community of its members in a total and comprehensive manner.
c) The Organization shall strive towards ensuring harmonious and cooperative relations among several sub-groups within the village as well as between the village and other external communities.
3. Composition
3.1 General Body will comprise three categories of members – Regular, Associated and Observers.
3.1.1 Regular Membership
Every person who derives his/her livelihood directly and/or indirectly from agriculture shall be eligible for membership in the General Body provided.
a) S/he is a citizen of Srilanka
b) S/he is not less than sixteen years of age; and
c) S/he is a resident of the village as well as engaged in agriculture (includes field crops, fruits, vegetables, flower, pasture, livestock, dairy, inland fisheries, apiary etc as defined under the Act) for a period exceeding one year, as on the date of seeking membership.
3.1.2 Associate Members
A person is eligible to become an associate member provided:
a) S/he is a citizen of Srilanka
b) S/he is not less than sixteen years of age; and
c) S/he is a resident of the village for a period exceeding one year, as on the date of seeking membership.
d) S/he is not engaged directly in agriculture production for livelihood but engaged in agricultural input supplies and / or output marketing.
3.1.3 Observers
All other persons who meet the criteria (a), (b) and (c) laid out in 3.1.2 but not engaged in agriculture directly and / or indirectly will be eligible to become observers.
3.1.4 The Organization shall, if necessary, conduct a membership drive and an awareness campaign in order to achieve the above objective thereby ensuring that all adult individuals seek membership.
3.1.5 The Organization shall ensure that persons from all the different sub-groups including women, agricultural laborers, and other marginalized social and cultural groups obtain membership in the Organization.
2. Executive Committee
The General Body will elect members of the Executive Committee
a) The Executive Committee will comprise of 11 members
b) Seven members will be from Regular Members; three from Associate Members; and one from Observers.
c) Overall, not less than one-third of the total members will be land less agriculture laborers;
d) Overall, not less than one-fifth of the total members will be women.
e) The Executive Committee shall, in turn, choose among them: a President, Secretary, and Treasurer and one of whom will be an women.
f) Key office bearers shall be elected at a meeting of the general membership one week after applications for the said offices have been received by the Commissioner or an officer authorized to represent the Commissioner and published by printed notices which should be publicly displayed within the jurisdiction of the Organization.
g) The duration of office of all Executive Committee members shall be for a period of three years with a maximum of 2 consecutive terms for a given office bearer.
h) The method of electing Executive Committee members shall be decided upon by the Commissioner or an officer authorized to represent the Commissioner.
i) The election shall be presided over by the Commissioner or an officer authorized to represent the Commissioner.
3. Other Sub-Committees
j) The Executive Committee shall constitute 4 sub committees, choosing members from the General Body, each for technical, finance, procurement, and monitoring of the organization’s activities.
k) Membership in all sub committees shall be mutually exclusive and at least one member in each subcommittee shall be a female.
l) The Organization shall ensure that all office bearers and members of executive and sub committees undergo appropriate training and awareness prior to or at the assumption of their respective posts.
m) The membership of any member shall not be terminated or suspended without a motion to that effect having been forwarded to and approved by the general body of members and subject to approval by the Commissioner.
4. Functions:
1. The Organization shall be responsible for the preparation, implementation, monitoring, and evaluation of a comprehensive and integrated development plan for the well being of its members.
2. The Organization shall initiate and develop linkages with external agencies (governmental or non-governmental) with the objective of channeling required human and other resources for the above purpose.
3. The Organizations shall undertake contracts for implementing construction and other civil works with in its area of jurisdiction.
4. The Organization shall be responsible for operation and maintenance of all the assets / facility created under different development projects / intervention. This will include fixing and collecting user charges as deemed fit by its members.
5. The Organization shall be responsible for preventing and / or resolving land disputes, specially in the case of encroachment of lands belonging to internally displaced persons.
6. Apart from the above, all other functions, as detailed in the Act and as deemed fit by the Commissioner – General shall be performed.
5. Powers:
5.1 Of the General Body:
The General Body of Members shall have the power to:
1. Decide on the functions of, and authorize to perform on its behalf, the Executive Committee.
2. Approve, or otherwise, of activities and programs developed by the Executive Committee and rules governing any credit scheme for members by a two third majority once the scheme has obtained the sanction of the Commissioner.
3. Approve the annual income-expenditure balance sheet
4. Fix the financial powers of the executive committee
5. Decide on granting new membership
6. Terminate or suspend the membership of any given member once an enquiry has been made of the cause of causes for termination or suspension.
7. Review the status of funds of the Organization from time to time.
8. Appoint delegates to represent the Organization at forums established by the Commissioner at district, regional or national level.
1. Of the Executive Committee.
The Executive Committee of the Organization shall have the power to:
1. Choose and decide on the functions of the sub-committees
2. Obtain the services of any individual or an organization subject to the general administrative and financial regulations as approved by the General Body.
3. Enter into contracts with governmental or other agencies
4. Open and operate an account of the Organization in a bank.
5. Decide on the signatories for operating the bank account.
6. Prescribe membership and other dues
7. Solicit funds from government or other sources.
2. Of the Subcommittees:
a) The Technical Sub-committee will be responsible for the technical aspects of planning, implementing operating and maintaining.
b) The finance Sub-committee shall have the power to supervise, arrange, and control the finances of the Organization, fixing user charges in conformity with the operation and maintenance plan, the collection and disbursement of funds and dues of the Organization, and shall be directly responsible for the submission of the annual statement of income and expenditure and balance sheet of the Organization to be presented to the general membership.
c) The procurement Subcommittee shall have the power to supervise, manage, and control all procurements of the Organization including those relating to construction of civil works undertaken by or on behalf of the Organization.
d) The Monitoring Subcommittee shall have the power to maintain regular supervision of all activities of the Organization and shall be responsible for regular reporting on all activities of the Organization including those relating to construction of civil works, disbursement of loans, and progress achieved in all development sectors pertaining to the well being of the community of members.
6. Accounts of the Organization:
a) The accounts of the Organization shall be audited annually by the Commissioner or by an officer authorized to act on behalf of the Commissioner.
b) The Executive Committee shall be responsible for the proper maintenance of the accounts of the Organization.
c) The accounts should be maintained following accepted accounting procedures.
d) The financial year of every Organization shall commence on the 1st of January and end on the 31st of December of each year.
e) The statement of the income and expenditure and the balance sheet of the Organization shall be approved by the Executive Committee and, after having being signed by the President and Treasurer, should be submitted to the Commissioner or to an officer authorized to act on behalf of the Commissioner.
f) The audited accounts of the Organization shall be included in the statement of income and expenditure of the Organization shall be presented to the general body of members.
g) The accounts and assets of the Organization shall be available for scrutiny at any time by the Commissioner or by an officer authorized to act on behalf of the Commissioner.
h) The Commissioner or the officer authorize to act on behalf of the Commissioner has the power to point out any limitations in the audited accounts and to give advice on how such limitations could be corrected.
i) In addition to annual audit, the Commissioner shall have the power to ask for the preparation of accounts in respect of any period or hold an audit inspection.
7. Meetings
a) The Executive Committee shall hold at least one meeting a month.
b) The General Body Meetings will be held at least twice a year.
c) The Committee Secretary shall maintain the proceedings of the Committee.
d) Failure to seek meetings and regular maintenance of the minutes of the meetings the Committee Secretary or by 1/3 o the members of the committee by giving a notice of 3 clear days will call for termination and re-election of the Executive Committee.
8. Others
Any and all other conduct of business of the Organization, not specified in the by law, will be done as per the Act and as per guidance and / or instructions from the Commissioner – General issued from time to time.
Attachment 6
Sri Lanka North-East Irrigated Agriculture Project (NEIAP)
M&E Framework for Monitoring of Social and Institutional Aspects
|Development Objective or |Impact / Outcome Indicators |Output Indicators |Input |Project Component |
|Goal | | |indicators | |
|To help conflict affected |4.Social Impact | | | |
|communities in the north | | | | |
|east and adjoining areas to| | | | |
|re-establish at least a | | | | |
|subsistent level of | | | | |
|production and community | | | | |
|services through assistance| | | | |
|for jumpstarting | | | | |
|agriculture and small scale| | | | |
|re-construction ………. | | | | |
| |1. Human and Institutional |4.1Degree of Representation: | | |
| |Development -- Representative, |4.1.1 Percentage of village people represented in the | | |
| |Responsible and Responsive CBOs |general body of the village level institution | | |
| |in place | | | |
| | |FO RDO | | |
| | |Owner Cultivators | | |
| | |Non Owner Cultivators | | |
| | |Landless laborers | | |
| | |Women | | |
| | |New Settlers | | |
| | |Indigenous People | | |
| | | | | |
| | |4.1.2 Percentage of village level people represented in | | |
| | |executive committee of the CBO | | |
| | |FO RDO | | |
| | |Owner Cultivators | | |
| | |Non Owner Cultivators | | |
| | |Landless laborers | | |
| | |Women | | |
| | |New Settlers | | |
| | |Indigenous People | | |
| | | | | |
| | |4.1.3 Percentage of village women represented in the | | |
| | |general body of WRDS | | |
| | |4.1.4 Percentage of village women represented in the | | |
| | |executive committee of WRDS | | |
| | | | | |
| | |Degree of Responsibility | | |
| | |Beneficiary Contribution in construction activities | | |
| | |Kind | | |
| | |Cash | | |
| | |O&M contribution fixed | | |
| | |O&M collected | | |
| |2. Favorable ethnic harmony |% of total people of focal villages represented in FOs/ | | |
| |among various subgroups in the |RDOs by ethnicity | | |
| |community |Tamilians | | |
| | |Sinahalese | | |
| | |Muslims | | |
| | |Indigenous Peoples | | |
| |3. Social Safeguards and Risks |Tank Bed Cultivation: | | |
| |Addressed– |-No. villages | | |
| |Ensuring Land based Livelihood |-No. cultivators | | |
| |Security |-Area cultivated | | |
| | |-No. alternate lands provided | | |
| | |Encroachment: | | |
| | |No. villages | | |
| | |No. cultivators | | |
| | |Area cultivated | | |
| | |No. disputes solved | | |
| | |Indigenous Peoples Villages: | | |
| | |-Number | | |
| | |-No IPDPs prepared | | |
| | |-No IPDPs implemented | | |
| |4. Vulnerability of the |No of microenterprises grounded: | | |
| |household especially women |-Total | | |
| |reduced against natural and other|-Landless laborers | | |
| |disturbances |-Women | | |
| | |-FHH | | |
| | |-Indigenous People | | |
Attachment 7
Sri Lanka North-East Irrigated Agriculture Project (NEIAP)
Land Use and Tenure Monitoring Record – Land Register
|Official |Original Situation |Current Situation |Notes* |
|Plot Number |(c. 1985) |(2002) | |
| |Plot Size |Owner |Plot Size |Owner/ | |
| | | | |Effective User | |
|1. | | | | | |
| | | | | | |
|2. | | | | | |
| | | | | | |
|3. | | | | | |
| | | | | | |
|4. | | | | | |
| | | | | | |
|5. | | | | | |
| | | | | | |
|6. | | | | | |
| | | | | | |
|7. | | | | | |
| | | | | | |
|8. | | | | | |
| | | | | | |
|9. | | | | | |
| | | | | | |
|10. | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
* This column is to record any change in registered owner or effective user. Property may have changed owner because of sale, inheritance, displacement, encroachment or other reason. The recorder notes in this column the reason for any property transfer, with particular attention to cases of encroachment and their resolution.
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[1] The second set of circumstances, namely, "the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons," is not relevant in the NEIAP project area.
[2] Village Social Profile, developed employing PRA/ PNA approaches, are meant to provide baseline information on social, institutional, economic, and agricultural aspects of the particular village along with the key issues/ difficulties/ deficiencies thereof.
[3] NGOs are enlisted in the project to provide social intermediation services to the village communities
[4] Following this criteria, the initial inventorization has identified four villages in Batticaloa district (Kaddumurivu, Akurana, Madurankurny, Muruthanai), two in Ampara district (Aligambai, Bintenna), and two in Polonnaruwa district (Pahala Yakkure and Ihala Yakkure) as majority Indigenous Peoples villages. As on date, only Muruthanai and Akurana are NEIAP IP focal villages.
[5] Encroachment is the unauthorized occupation and use of lands originally occupied and used by a person who got displaced and left the original homes as a result of the ethnic conflict.
[6] Conflict – Threat or Opportunity?: Land Use and Coping Strategies of War-affected Communities in Trincomalee, Sri Lanka, SLE Centere for Advanced Training in Rural Development, Berlin/ Trincomalee, December 2001.
[7] Ganesh, K., Government’s Strategy for Mitigating Encroachment of Lands and Private Property of Displaced People, Vayuvania, Sri Lanka, 2001.
[8] Land Permits are titles which alienate state land temporarily for private utilization. The government authorities can cancel a permit if the land is not cultivated as stated in the title documents.
[9] Agriculture Land means land uses or capable of being used for agriculture within the meaning of the Agrarian Development Act and includes private lands, lands alienated under the Land Development Ordinance or the Crown Lands Ordinance or any other enactment.
[10] References: Conflict – Threat or Opportunity?: Land Use and Coping Strategies of War-affected Communities in Trincomalee, Sri Lanka, SLE Center for Advanced Training in Rural Development, Berlin/ Trincomalee, December 2001; Sri Lanka: A Study of the Land Market , Part II. Consulting Study by Abt Associates Inc. USA for the World Bank, June 1998; Land Development Ordinance – No 19 of 1935 and subsequent amendments; State Land Ordinance - No 8 of 1947 and subsequent amendments.
[11] Data collected under verification for 2 other districts
[12] refers to government/ Crown lands being encroached
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[i] In devising approaches to resettlement in Bank – assisted projects, other Bank policies should be taken into account, as relevant. These policies include OP 4.01 Environmental Assessment, OP 4.04 Natural Habitats, OP 4.11 Safeguarding Cultural Property in Bank-Assisted Projects, and OD 4.20 Indigenous Peoples.
[ii] The term “displaced persons” refers to persons who are affected in any of the ways described in para. 3 of this OP.
[iii] Displaced persons under para. 3(b) should be assisted in their efforts to improve or restore their livelihoods in a manner that maintains the sustainability of the parks and protected areas.
[iv] Where there are adverse indirect social or economic impacts, it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse economic and social impacts, particularly upon poor and vulnerable groups. Other environmental, social, and economic impacts that do not result from land taking may be identified and addressed through environmental assessments and other project reports and instruments.
[v] This policy does not apply to restrictions of access to natural resources under community-based projects, i.e where the community using the resources decides to restrict access to these resources, provided that an assessment satisfactory to the Bank establishes that the community decision-making process is adequate, and that it provides for identification of appropriate measures to mitigate adverse impacts, if any, on the vulnerable members of the community. This policy also does not cover refugees from natural disasters, war, or civil strife (see OP/BP 8.50, Emergency Recovery Assistance).
[vi] For purpose of this policy, “ involuntary” means actions that may be taken without the displaced person’s informed consent or power of choice.
[vii] “Land” includes anything growing on or permanently affixed to land, such as buildings and crops. This policy does not apply to regulations of natural resources on a national or regional level to promote their sustainability, such as watershed management, groundwater management, fisheries management, etc. The policy also does not apply to disputes between private parties in land titling projects, although it is good practice for the borrowers to under take a social assessment and implement measures to minimize and mitigate adverse social impacts, especially those affecting poor and vulnerable groups.
[viii] For the purposes of this policy, involuntary restriction of access covers restrictions on the use of resources imposed on people living outside the park or protected area, or on those who continue living inside the park or protected area during and after project implementation. In cases where new parks and protected areas are created as part of the project, persons who lose shelter, land, or other assets are covered under para. 3(a). Persons who lose shelter in existing parks and protected areas are also covered under para 3(a).
[ix] The Resettlement Sourcebook (forthcoming) provides good practice guidance to staff on the policy.
[x] “Replacement cost” is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account (for a detailed definition of replacement cost, see Annex A, footnote 1). For losses that can not easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard. Such additional assistance is distinct from resettlement assistance to be provided under other clauses of para. 6.
[xi] If the residual of the asset being taken is not economically viable, compensation and other resettlement assistance are provided as if the entire asset had been taken.
[xii] The alternative assets are provided with adequate tenure arrangements. The cost of alternative residential housing, housing sites, business premises, and agricultural sites to be provided can be set off against all or part of the compensation payable for the corresponding asset lost.
[xiii] Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar arrangements.
[xiv] See OD 4.20, Indigenous Peoples.
[xv] See OP 4.04, Natural Habitats.
[xvi] As a general principle, this applies if the land taken constitutes less than 20% of the total productive area.
[xvii] Paras 13-15 do not apply to impacts covered under para. 3(b) of this policy. The eligibility criteria for displaced persons under 3(b) are covered under the process framework (see paras. 7 and 30)
[xviii] Such claims could be derived from adverse possession, from continued possession of public lands without government action for eviction (that is with the implicit leave of the government), or from customary and traditional law and usage, and so on.
[xix] Resettlement assistance may consist of land, other assets, cash, employment, and so on as appropriate.
[xx] Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx.
[xxi] For project that are highly risky or contentious, or that involve significant and complex resettlement activities, the borrower should normally engage an advisory panel of independent, internationally recognized resettlement specialists to advise on all aspects of the project relevant to the resettlement activities. The size, role, and frequency of meeting depend on the complexity of the resettlement. If independent technical advisory panels are established under OP 4.01, Environmental Assessment, the resettlement panel may form part of the environmental panel of experts. See BP 17.50, Disclosure of Operational Information (forthcoming) for detailed disclosure procedures.
[xxii] See BP 17.50 Disclosure of Operational Information (forth coming) for detailed disclosure procedures.
[xxiii] An exception to this requirement may be made in highly unusual circumstances (such as emergency recovery operations) with the approval of Bank Management (see BP 4.12, para.8). In such cases, the Management’s approval stipulates a timetable and budget for developing the resettlement plan.
[xxiv] Impacts are considered “minor” if the affecte4d people are not physically displaced and less than 10% of their productive assets are lost.
[xxv] For purpose of this paragraph, the term “subprojects” includes components and subcomponents.
[xxvi] “Bank” includes IDA; “loans” includes credits. Guarantees, Project Preparation Facility (PPF) advances and grants; and “projects” includes projects under (a) adaptable program lending; (b) learning and innovation loans; (c) PPFs and Intuitional Development Funds (IDFs), if they include investment activities; (d) grants under the Global Environment Facility and Montreal Protocol, for which the Bank is the implementing / executing agency; and (e) grants or loans provided by other donors that are administered by the Bank. The term “project” does not include programs under adjustment operations. “Borrower” also includes, wherever the context requires, the guarantor or the project implementing agency.
[xxvii] In devising approaches to resettlement in Bank – assisted projects, other Bank policies should be taken into account, as relevant. These policies include OP 4.01 Environmental Assessment, OP 4.04 Natural Habitats, OP 4.11 Safeguarding Cultural Property in Bank-Assisted Projects, and OD 4.20 Indigenous Peoples.
[xxviii] The term “displaced persons” refers to persons who are affected in any of the ways described in para. 3 of this OP.
[xxix] Displaced persons under para. 3(b) should be assisted in their efforts to improve or restore their livelihoods in a manner that maintains the sustainability of the parks and protected areas.
[xxx] Where there are adverse indirect social or economic impacts, it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse economic and social impacts, particularly upon poor and vulnerable groups. Other environmental, social, and economic impacts that do not result from land taking may be identified and addressed through environmental assessments and other project reports and instruments.
[xxxi] This policy does not apply to restrictions of access to natural resources under community-based projects, i.e where the community using the resources decides to restrict access to these resources, provided that an assessment satisfactory to the Bank establishes that the community decision-making process is adequate, and that it provides for identification of appropriate measures to mitigate adverse impacts, if any, on the vulnerable members of the community. This policy also does not cover refugees from natural disasters, war, or civil strife (see OP/BP 8.50, Emergency Recovery Assistance).
[xxxii] For purpose of this policy, “ involuntary” means actions that may be taken without the displaced person’s informed consent or power of choice.
[xxxiii] “Land” includes anything growing on or permanently affixed to land, such as buildings and crops. This policy does not apply to regulations of natural resources on a national or regional level to promote their sustainability, such as watershed management, groundwater management, fisheries management, etc. The policy also does not apply to disputes between private parties in land titling projects, although it is good practice for the borrowers to under take a social assessment and implement measures to minimize and mitigate adverse social impacts, especially those affecting poor and vulnerable groups.
[xxxiv] For the purposes of this policy, involuntary restriction of access covers restrictions on the use of resources imposed on people living outside the park or protected area, or on those who continue living inside the park or protected area during and after project implementation. In cases where new parks and protected areas are created as part of the project, persons who lose shelter, land, or other assets are covered under para. 3(a). Persons who lose shelter in existing parks and protected areas are also covered under para 3(a).
[xxxv] The Resettlement Sourcebook (forthcoming) provides good practice guidance to staff on the policy.
[xxxvi] “Replacement cost” is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account (for a detailed definition of replacement cost, see Annex A, footnote 1). For losses that can not easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard. Such additional assistance is distinct from resettlement assistance to be provided under other clauses of para. 6.
[xxxvii] If the residual of the asset being taken is not economically viable, compensation and other resettlement assistance are provided as if the entire asset had been taken.
[xxxviii] The alternative assets are provided with adequate tenure arrangements. The cost of alternative residential housing, housing sites, business premises, and agricultural sites to be provided can be set off against all or part of the compensation payable for the corresponding asset lost.
[xxxix] Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar arrangements.
[xl] See OD 4.20, Indigenous Peoples.
[xli] See OP 4.04, Natural Habitats.
[xlii] As a general principle, this applies if the land taken constitutes less than 20% of the total productive area.
[xliii] Paras 13-15 do not apply to impacts covered under para. 3(b) of this policy. The eligibility criteria for displaced persons under 3(b) are covered under the process framework (see paras. 7 and 30)
[xliv] Such claims could be derived from adverse possession, from continued possession of public lands without government action for eviction (that is with the implicit leave of the government), or from customary and traditional law and usage, and so on.
[xlv] Resettlement assistance may consist of land, other assets, cash, employment, and so on as appropriate.
[xlvi] Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx.
[xlvii] For project that are highly risky or contentious, or that involve significant and complex resettlement activities, the borrower should normally engage an advisory panel of independent, internationally recognized resettlement specialists to advise on all aspects of the project relevant to the resettlement activities. The size, role, and frequency of meeting depend on the complexity of the resettlement. If independent technical advisory panels are established under OP 4.01, Environmental Assessment, the resettlement panel may form part of the environmental panel of experts. See BP 17.50, Disclosure of Operational Information (forthcoming) for detailed disclosure procedures.
[xlviii] See BP 17.50 Disclosure of Operational Information (forth coming) for detailed disclosure procedures.
[xlix] An exception to this requirement may be made in highly unusual circumstances (such as emergency recovery operations) with the approval of Bank Management (see BP 4.12, para.8). In such cases, the Management’s approval stipulates a timetable and budget for developing the resettlement plan.
[l] Impacts are considered “minor” if the affecte4d people are not physically displaced and less than 10% of their productive assets are lost.
[li] For purpose of this paragraph, the term “subprojects” includes components and subcomponents.
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State Land
Paddy lands
High lands
Alienated lands under annual permits (LDO permits) and Grants (LGA)
Paddy lands
High lands
Steps
1. Permit holder informs GS/GN
2. GS reports to DS
3. DS issues a quit notice to encroacher
4. If not evacuated court action with documentary evidence given by DS
Steps
1. Same as paddy lands under option 1
Steps
1. Inform concerned FO
FO informs ADC of the area.
At the same time and owner also informs ADC of the area.
ADC holds an enquiry and takes action to eject encroacher.
Failing which effort by ADC, the matter can be forwarded to ACAD of the district.
ACAD holds an enquiry and takes action to eject encroacher.
If fails court action by land owner
Steps
Direct court action by land owner
Private Land
Option 1
LDO : Land Development Ordinance (19 of 1935 and subsequent amendments
ADA : Agrarian Development Act (no. 46 of 2000)
ADC : Agriculture Development Council
ACAD : Assistance Commissioner, Agrarian Development
FO : Farmer Organization
DS : District Secretary
GS/GN: Grama Sevaka/ Grama Niladhari
LGA : Land Grant Act (Special Provision) Act 43 of 1973
Land Ownership Categories
Private Land
State Land
High Land
*Paddy Land
Reference to process flow chart given overleaf
* Social risks associated issues (encroachments) might be encountered during NEIAP intervention.
LRC : Land Reform Commission Act (1 of 1972)
LDO : Land Development Ordinance (19 of 1935 and subsequent Amendments
LGA : Land Grant (Special Provision Act 43 of 1973)
High land
*Paddy Land
Unalienated lands
Lands handed over to government departments
LRC lands
Waste lands
Reservations for roads railway tracks/ tanks/lakes/ forests, etc
Other forests
Alienated Land under Annual permit, LDO permit or grants (LGA)
Forest land coming under forest department
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