The Republic of Zambia ROADS DEVELOPMENT AGENCY AFRICAN DEVELOPMENT BANK MINISTRY OF HOUSING & INFRASTRUCTURE DEVELOPMENT
RESETTLEMENT ACTION PLAN
for the proposed
REHABILITATION OF SERENJE TO MPIKA ROAD
AUGUST, 2017
Prepared for Road Development Agency Government/Fairley Road P.O. BOX 50003 Ridgeway, Lusaka, Zambia Tel: +(260)-211-253088/253002/253801 Fax: + (260)-211-253404/251420 Email: [email protected]
RESETTLEMENT ACTION PLAN ROADS DEVELOPMENT AGENCY Serenje to Mpika Road
QUALITY ASSURANCE CONTROL PLAN
CONSULTANT: REPORT /DOCUMENT CONTROL FORM
PROJECT TITLE: PROJECTIDENTIFICATION NO: P-ZM- RESETTLEMENT ACTION PLAN FOR SERENJE TO DBO-004 MPIKA ROAD
REPORT /DOCUMENT TITLE: RAP DRAFT REPORT
Document Status: Second Issue: Issue date: 14 August 2017
Contact Person: Chief Executive Officer Government/Fairley Road Report Prepared Client’s Name: P.O. BOX 50003 for: Road Development Agency Ridgeway, Lusaka, Zambia Tel: +(260)-211-253088/253002/253801 Fax: + (260)-211-253404/251420 Email: [email protected] The signatures below certify that this procedure has been reviewed and accepted, and demonstrates that the signatories are aware of all the requirements contained herein and are committed to ensuring their provision. Approvals Name Position Signature Date
Consultant Angela Robert 14 August, 2017 Sociologist
Yobe Nyirenda RDA Sociologist Compiled by Oivy Hamududu RDA Sociologist
Consultant Jacob Chishiba Environmental Specialist RDA Gershom Reviewed by Environmental 14 August, 2017 Chilukusha Officer Approved for Consultant Nelson Omagor 14 August, 2017 issue by Team Leader Quality Verification: This report/document has been prepared under the quality controls established by Road Development Agency.
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TABLE OF CONTENTS LIST OF TABLES ...... IV
ACRONYMS ...... V
DEFINITIONS OF KEY RAP TERMS ...... VI
CHAPTER ONE ...... 1
1. INTRODUCTION AND BACKGROUND ...... 1
1.1 PROJECT LOCATION ...... 2 1.2 OBJECTIVES OF THE RAP ...... 3 1.3 SCOPE OF THE RAP ...... 3 CHAPTER TWO ...... 5
2. POTENTIAL IMPACTS ARISING FROM ROAD REHABILITATION ...... 5
2.1 IMPACTS TRIGGERING RESETTLEMENTS ...... 5 2.2 RESULTANT IMPACTS ...... 5 2.3 ENTITLEMENT MATRIX ...... 6 CHAPTER THREE ...... 9
3. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK ...... 9
3.1 POLICY FRAMEWORK ...... 9 3.1.1 Zambia Involuntary Resettlement Policy Guidelines 2003 ...... 9 3.1.2 African Development Bank Safeguard Policy ...... 9 3.2 NATIONAL LEGISLATION ...... 10 3.2.1 Legal Framework ...... 10 3.2.2 The Constitution of the Republic of Zambia ...... 10 3.2.3 Lands Acquisition Act Chapter 189 ...... 10 3.2.4 The Public Roads Act ...... 10 3.2.5 Arbitration Act ...... 11 3.2.6 Local Government Act, Chapter 281 ...... 11 3.2.7 The Land Act of 1995 ...... 11 3.2.8 The Town and Country Planning Act, Cap 285 ...... 11 3.2.9 The Housing (Statutory and Improvement Areas) Act of 1974 ...... 11 3.3 INSTITUTIONAL FRAMEWORK ...... 12 3.3.1 Ministry of Housing and Infrastructure Development ...... 12 3.3.2 Ministry of Works and Supply...... 12 3.3.3 Roads Development Agency ...... 12 3.3.4 District Councils & Traditional Leadership ...... 12 3.3.5 Zambia Environmental Management Agency...... 13 3.3.6 Stakeholder & PAPs Involvement ...... 13 CHAPTER FOUR ...... 15
4 COMMUNITY CONSULTATION AND PARTICIPATION ...... 15
4.1 MEETINGS ...... 15 4.2 INVOLVEMENT IN SITE PREPARATION ...... 16 4.3 DATA COLLECTION PHASE ...... 16
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4.4 IMPLEMENTATION PHASE ...... 16 4.5 ORGANIZATIONAL ARRANGEMENT FOR IMPLEMENTATION OF RESETTLEMENT ACTION PLAN ...... 16 4.6 KEY ISSUES AND CONCERNS FROM THE COMMUNITY CONSULTATIONS...... 18 4.6.1 Community Concerns ...... 19 4.6.2 Submissions from the Community ...... 19 4.7 GRIEVANCE REDRESSING MECHANISM ...... 19 CHAPTER FIVE ...... 22
5. CENSUS AND SOCIO-ECONOMIC SURVEYS ...... 22
5.1 HOUSEHOLD SOCIO-ECONOMIC CHARACTERISTICS ...... 22 5.1.1 Demographic Characteristics ...... 22 5.1.2 History of Community/Settlements and Land Titles ...... 22 5.1.3 Household Education...... 22 5.1.4 Household Health ...... 23 CHAPTER SIX ...... 24
6. INSTITUTIONS AND IMPLEMENTATION ARRANGEMENT ...... 24
6.1 ORGANIZATION UNITS ...... 24 6.2 OVERVIEW OF IMPLEMENTATION ORGANIZATIONS ...... 24 6.2.1 Environmental and Social Management Unit ...... 25 6.2.2 Finance Department ...... 25 6.2.3 Local Authority Offices at Serenje – Chitambo and Mpika Districts ...... 25 6.2.4 Compensation payments ...... 25 6.2.5 PAYMENT RECORD ...... 26 CHAPTER SEVEN ...... 27
7. ELIGIBILITY CRITERIA FOR AFFECTED PERSONS ...... 27
7.1 CUT-OFF DATE ...... 27 7.2 PROOF OF ELIGIBILITY ...... 28 CHAPTER EIGHT ...... 29
8. VALUATION AND COMPENSATION FOR LOSSES ...... 29
8.1 VALUATION METHODOLOGY AND PRINCIPLES ...... 29 8.2 PUBLIC DISCLOSURE ...... 29 8.3 COMPENSATION PROCESS ...... 29 8.4 PAYMENT PROCEDURE ...... 29 8.5 EXCEPTIONAL SITUATIONS ...... 30 8.5.1 Deceased Owners ...... 30 8.5.2 Disputed Ownership ...... 30 8.6 COMPENSATION AND REHABILITATION ASSISTANCE ...... 30 8.6.1 Disturbance to Sources of Income ...... 30 8.6.2 Additional Support to the PAPs ...... 30 8.6.3 Transport Support to PAPs ...... 30 8.6.4 Support to Vulnerable persons ...... 30 8.6.5 Compensation for Land Loss ...... 30 8.6.6 Opening of Bank Accounts ...... 30 8.6.6 Transport Refund when Collecting Compensation ...... 31 CHAPTER NINE ...... 32
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9. IMPLEMENTATION SCHEDULE ...... 32
CHAPTER TEN ...... 35
10. RAP COSTS ...... 35 CHAPTER ELEVEN ...... 36
11. MONITORING AND EVALUATION ...... 36 11.1 MONITORING PROCESS ...... 36 11.1.1 Internal Performance Monitoring ...... 36 11.1.2 Impact Monitoring ...... 36 11.1.3 Final External Evaluation ...... 36
LIST OF FIGURES
Figure 1: Location Map of Serenje-Mpika Road Section proposed for improvement ...... 2 Figure 2: Grievance Redress Mechanism ...... 20 Figure 3: RAP Implementation Chart ...... 24
LIST OF ANNEXES Annex 1: Commonly Found Properties along the Serenje-Mpika Road Reserve ...... 40 Annex 2: Serenje - Mpika Road PAPS & Properties Affected ...... 41 LIST OF TABLES Table 1: Entitlement Matrix ...... 7 Table 2: Differences between Zambian Legislation and the Bank Policy on Involuntary Resettlement ...... 13 Table 3: Summary of Roles for Respective Key Stakeholders ...... 18 Table 4: Gender Distribution of Household Heads ...... 22 Table 5: RAP Implementation Plan ...... 33 Table 6: Costs and budget ...... 36 Table 7: Internal Monitoring Schedule ...... 38
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ACRONYMS AfDB Africa Development Bank DGRC District Grievance Redress Committee EIB European Investment Bank ESIA Environmental and Social Impact Assessment ESMP Environmental and Social Management Plan GRZ Government of the Republic of Zambia GVD Government Valuation Department ISS Integrated Safeguards System MHID Ministry of Housing and Infrastructure Development NGO Non-Governmental Organization PAPs Project Affected Persons RAP Resettlement Action Plan RDA Road Development Agency ROW Right of Way ZEMA Zambia Environmental Management Agency
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DEFINITIONS OF KEY RAP TERMS
Asset Inventory A complete count and description of all property that will be acquired by the project. Carriageway Area of road used by vehicles. It is bounded on either side by road shoulders. Compensation Payment made in cash or in kind at replacement value for an asset or a resource affected by the project at the time the assets need to be replaced. Displaced Persons People or entities directly affected by a project through the loss of loss of residences, other structures, businesses, or other assets. Economic Displacement Loss of income or means of livelihood resulting from land acquisition or obstructed access to resources (land, water or forest) caused by the construction or operation of the road. Economic Rehabilitation This implies measures taken for restoration of income or economic recovery so that the affected population can improve or at least restore its previous standard of living. Eligibility The criteria for qualification to receive benefits under a resettlement program. Eminent Domain The right of the state to acquire land, using its sovereign power, for public purpose. National law establishes which public agencies have the prerogative to exercise eminent domain. Grievance Procedures The processes established under law, local regulations, or administrative decision to enable property owners and other displaced persons to redress issues related to acquisition, compensation, or other aspects of resettlement Land Acquisition This is the process of acquiring land under the legally mandated procedures of eminent domain Population Census A count of the people or persons who would be affected by land acquisition and related impacts. When properly conducted, the population census provides information necessary for determining eligibility for compensation Project-Affected Area The area subject to a change in use as a result of construction and operation of the road. Project-Affected A PAH is a household that includes one or several project- Households (PAH): affected persons and usually comprises a head of household, their spouses, children and other dependents (for example, parents, grand-children). Project-Affected Person Any person who, as a result of the implementation of the (PAP) project, loses the right to own, use, or otherwise benefit from a built structure, land (residential, agricultural, pasture or undeveloped/unused land), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Affected people might be
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displaced either physically (“Physically Displaced People”) or economically (“Economically Displaced People”). Replacement Value The rate of compensation for lost assets, that is, the market value of the assets plus transaction costs (taxes, registration fees and cost associated with registration or transfer of new land). The replacement value of an item must reflect the cost at the time it is due for replacement. For land and structures, “replacement value” is defined as follows: 1) Agricultural land: the market value of land of equal productive use or potential located in the vicinity of the affected land, plus the cost of preparation to levels similar to or better than those of the affected land including fees of any registration and transfer taxes; 2) Land in urban areas: the market value of land of equal size and use, with similar or improved public infrastructure facilities and services, preferably located in the vicinity of the affected land, plus the cost of any registration and transfer taxes; 3) Household and public structures: the cost of purchasing or building a new structure, with an area and quality similar to or better than those of the affected structure, or of repairing a partially affected structure, including labor, contractors’ fees and any registration and transfer taxes. Physical Displacement Loss of shelter and assets resulting from land acquisition associated with the project, requiring affected persons to move to other locations Resettlement Action A planning document describing measures to address direct Plan social and economic impacts associated with involuntary land acquisition for the project. Physical Displacement Loss of shelter and assets resulting from land acquisition associated with the project, requiring affected persons to move to other locations Resettlement Action A planning document describing measures to address direct Plan social and economic impacts associated with involuntary land acquisition for the project. Resettlement Resettlement entitlements with respect to a particular Entitlements eligibility category are the sum total of compensation and other forms of assistance provided to displaced persons in the respective eligibility category. Resettlement Strategy The approaches used to assist people in their efforts to improve (or at least to restore) their incomes, livelihoods, and standards of living in real terms after resettlement. The resettlement strategy typically consists of payment of compensation at replacement cost, transition support arrangements, relocation to new sites (if applicable), provision of alternative income-generating assets (if applicable), and
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assistance to help convert income-generating assets into income streams. Road Reserve Area of land typically extending from the centre line of the road, owned by the road and within which the roads authority has rights to extend the road and place associated infrastructure. This area can also be used for placing surface or subsurface utilities (water mains, electricity, telephone cables etc). Stakeholders A broad term that covers all parties affected by or interested in a project or a specific issue—in other words, all parties who have a stake in the project. Primary stakeholders are those most directly affected—in resettlement situations, the population that loses property or income because of the project. Other people who have interest in the project such as the RDA itself, beneficiaries of the project (e.g., road users), etc are termed secondary stakeholders.
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CHAPTER ONE 1. INTRODUCTION AND BACKGROUND The Serenje–Mpika Road forms a part of the Zambian Great North Road (T2) that is a section of international routes: the Trans-Africa Highway and the North-South Corridor (NSC). The NSC is a joint COMESA/EAC/SADC Aid for Trade initiative. Its primary aim is to reduce the time, and cost of transport along this priority Corridor which links the port of Dar-es-Salaam in Tanzania to the Copper-belt (Southern DR Congo and Northern Zambia) and connects to the southern ports of South Africa specifically the port of Durban. The Corridor system, with its spurs, services eight (8) countries - Tanzania, DR Congo, Zambia, Malawi, Botswana, Zimbabwe, Mozambique, and South Africa. The project has been endorsed by the SADC/EAC/COMESA Tripartite that aims to improve the regional transport infrastructure with a view to supporting economic and social development programs along the Trans-Africa Highway/North-South Corridor.
The project road was originally constructed as a bitumen surfaced road in 1970s and is now beyond its design life, notwithstanding the emergency and periodic maintenance interventions. It has received a number of rehabilitation and periodic maintenance since its initial construction, commencing with emergency maintenance between 1995 and a WB funded periodic maintenance between 1998 and 2000. This intervention provided a limited design life intervention, with focus on partial reconstruction for severally deteriorated sections and double seal treatment for most sections. Follow up maintenance was not fully undertaken, and consequently in 2011 the Government of the Republic of Zambia (GRZ) commissioned two emergency repair works contracts for the section. The poor condition of the road would be detrimental to the movement of goods and services, and therefore intervention driven by ensuring that the critical route does not present a transit bottleneck for trade in the region. GRZ with the support of COMESA conducted studies in 2013 for the Serenje – Nakonde section of the corridor, in three (3) Lots viz.: Lot 1 – Serenje – Mpika, Lot 2 – Mpika – Chinsali and Lot 3 – Chinsali – Nakonde. The Bank is financing the Chinsali – Nakonde section (approved July 2015) while the appraisal for the Mpika – Chinsali section is advanced with EU/European Investment Bank (EIB) support. The Serenje – Mpika (238 km) section is complementary to these.
In response to a funding request submitted to the Bank by Government of the Republic of Zambia (GRZ), the Bank conducted a Preparation Mission in August/September 2016. The funding request was for the support to the improvements of the Serenje – Mpika section (238 km) of the North – South Corridor in Zambia. The objective of the mission was to review, discuss and confirm possible project components for the Project with GRZ, the Executing Agency and the relevant authorities inclusive of development partners. The mission specific objectives were: (i) to confirm the technical feasibility and economic viability of the project; (ii) to discuss and agree with the Borrower, on project components, categories of expenditures and procurement modes; (iii) to assess and confirm the preparedness and disclosure requirements of the ESIAs and RAPs locally; and, (iv) to determine, in consultation with the respective Government authorities, the contribution of the Bank in the implementation.
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1.1 Project Location The Serenje-Mpika road is part of the Serenje-Nakonde Road that is part of the T2 international trunk road that runs from Lusaka to Nakonde on the border with Tanzania (as per the maps below). This is part of the Great North Road, running along the length of Africa from “Cape to Cairo”. The 611.5 km long Serenje–Nakonde Road was selected for rehabilitation in a strategic economic analysis of the investments of the entire North-South Corridor carried out by Birmingham University in 2009. The Serenje-Nakonde Road was divided into three subsections for ease of implementation. These are: a. Serenje-Mpika (238.3km), b. Mpika-Chinsali (164.6km) and c. Chinsali-Nakonde (208.6km).
This project focuses on the Serenje-Mpika section of the T2. The project road is located entirely in Zambia’s newly created Muchinga Province, and runs in a north easterly - direction from Serenje to Mpika on the border with Tanzania. The road begins 100 m after Serenje junction and ends at Mpika Weighbridge. It traverses mostly flat terrain, with occasional hills. For construction purposes, the project road has been divided into two lots namely Serenje to Lukulu (103Km) been Lot 1 and Lukulu to Mpika Weighbridge (130Km) been Lot 2.
Figure 1: Location Map of Serenje-Mpika Road Section proposed for improvement
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1.2 Objectives of the RAP The RAP has been prepared consistent with the applicable laws in Zambia and the policy provisions of the Road Development Agency (RDA). In addition, the policy provisions of the African Development Bank on Involuntary Resettlement (2003): Land Acquisition, population displacement and compensation and the ISS (2013) as well as the 2003 RDA Resettlement Policy Framework among others) have also been considered. The policies for the RDA require that a RAP be prepared for all its road projects that anticipate displacement affecting shelter, livelihood and associated impacts. The RAP presents an inventory (register) of people likely to be affected by the rehabilitation of the Serenje to Mpika road.
In view of the foregoing, the main objectives of the RAP process were: a. To come up with clearly defined steps and actions to be taken by RDA in response to adverse impacts of the proposed project on social and economic lives of the Project Affected Persons (PAP), in consultation with the project affected peoples; b. To design appropriate strategies for restoration and improvement of the income and livelihood of the Project Affected Persons and special support measures for vulnerable groups, c. To review the robustness of the implementation arrangements and institutional organization of RDA to implement the resettlement and compensation program, including the mechanisms for grievance redress, d. To determine task assignments, resource allocation (budgeting) and implementation schedules for measures against adverse impacts of the project; and e. To prepare documented mechanisms for monitoring and evaluation of progress and performance in implementation of Resettlement Action Plan.
1.3 Scope of the RAP The RAP will set the parameters and establish entitlements for project affected people (PAP), the institutional framework, mechanisms for consultation and grievance resolution, the time schedule and the budget, and propose a monitoring and evaluation system. The package of agreed entitlements is in the form of a matrix that will include both compensation and measures to restore the economic and social base for those affected. It will address the requirements of the RDA policy on Involuntary Resettlement. Therefore, the RAP shall follow the policy of RDA on Involuntary Resettlement (2003) which requires that people who are adversely affected by project activities receive compensation to the extent that their livelihoods and standard of living is restored to at least a pre-project level.
Similarly, the resettlement shall be carried out in line with the requirements of the legal, policy and regulatory framework of Zambia. However, where there are gaps, the policy of AfDB and other institutions override in order to ensure that the losses of the Project Affected Persons are well addressed.
Therefore, to achieve the objectives of the RAP, activities were limited to the following:
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a. Identification of persons affected by the project road as a result of the proposed road reserve of 100m; b. Consultation with project affected people. The consultations sought to involve PAPs in formulating ideal compensation strategies; c. Identification of options for compensation of PAPs; d. Review of Zambian legislation and guidelines on land acquisition, compensation and development of infrastructure projects; e. Census of property owners to be affected by the road project and property valuation; f. Socio-economic survey on a representative sample of affected households to obtain a social profile of affected persons. The survey aimed at establishing a baseline against which effectiveness of resettlement assistance could be measured. It was based on a comprehensive socio-data questionnaire and covered the following: i. Information on family/ household members; ii. Household land holdings and assets; iii. Livelihood in affected households; iv. Health & vulnerability; v. Welfare indicators; and vi. Expenditure patterns. g. Preparation of a resettlement action plan (RAP) comprising an entitlement matrix. Compensation and assistance for resettlement were based on the premise that lives of the affected persons should not be worse than before displacement; h. Arrangements for implementation providing guidance on proper implementation of the RAP including institutional arrangements, implementation timeframe and compensation budget derived from property valuation; i. Consultation and participation of affected communities were undertaken throughout preparation of the RAP and their feedback incorporated in designing resettlement strategies; j. Developing a grievance redress mechanism; and k. Developing a monitoring, evaluation and completion audit framework.
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CHAPTER TWO 2. POTENTIAL IMPACTS ARISING FROM ROAD REHABILITATION
2.1 Impacts Triggering Resettlements During the preparation of the RAP consideration was given to project components/ activities that would give rise to resettlement. These activities include the demarcation of road reserve being defined as 100m for the rural sections and 36m for the urban/built up areas such as Lukulu, Chilonga, Kalonje, Mununga, Pensulo and Kanona.. The adoption of 36m is for the sole purpose of minimizing the impacts on the population. This decision was also agreed to by the people in the affected built up areas. Section 21 of the Public Roads Act states that urban areas have a road reserve area of 36m. The number of properties that will be affected arising from the assessment study that was conducted in August 2017 are about 371 as illustrated in the attached annex. Most of the impacts related to the demolition of structures that occur in the road reserve and few impacts shall be within the construction width. The above consideration is in line with the Public Roads Act of 2002, which categories “trunk roads” to require a road reserve of 100m while “urban” roads to have a road reserve of 36m.
2.2 Resultant Impacts The adopted road reserve of 100m and 36m will affect government, private and community owned properties. The structures that will be affected are houses, water points, church buildings, shops, fruit trees and other homestead facilities such as storage sheds, kitchen and resting places (insaka). The following are the major impacts, which require compensation or resettlement assistance: a. Loss of residence- A total of about 179 houses will be affected; b. Loss of Shops – A total of about 169 roadside shops will be affected: c. Loss of Income-Shop owners or tenants are not expected to lose income as a result of the project because compensation payments are expected to be paid well in advance and shop owners or tenants will be allowed to continue operating their businesses in their current shops while new shops are being built using compensation funds. d. Loss of water points – 2 water points will be affected; e. Social Interaction Places: About 10 bars will be affected. These are owned by individual PAPs. f. Markets: 1 market was identified to be affected as it is located within the road reserve; g. Hammer mill Shelters: About 6 hammer mill shelters will be affected; h. Insakas (makeshift Shelters): About 83 Insakas will be affected. i. Places of worship – About 6 churches were identified as been located in the road reserve. j. Vulnerable Groups- The vulnerable groups that will mostly be affected by the road project are the aged and widows. The following table shows the vulnerable project affected persons and the special treatment that will be provided for them.
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2.3 Entitlement Matrix The entitlement matrix that follows summarizes the main types of losses as described above and the corresponding nature and scope of entitlement.
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Table 1: Entitlement Matrix Types of Loss Application Definition of Entitled Person Compensation Policy Recommendations Occupants who are using land for crop farming Occupants with land title (or Pay a flat compensation Land located inside Loss of land those already in the process of rate of ZMW 1,500 for loss the Road Reserve obtaining) for the land. of customary land. Occupants that have proof of purchase of the land Loss of Primary Cash compensation at full Vulnerable people will need to be structures replacement costs with no assisted in the construction of their (shops, houses) deduction for depreciation structures by the project Structures located Legal owner of the structures or state of existing proponent and such structures in Road Reserve structure should not be located far away from such important communal resources as water points. Cash compensation at full replacement costs with no Loss of Church Structures located deduction for depreciation Legal owner of the structure structures in Road Reserve or state of existing structure Public facilities RDA to build equivalent All structures must be completed Loss of Public Legal owner of the structure located in the road public facilities with better before destruction of the existing Facilities reserve material and/or bigger size structures Compensation in cash for PAPs will be given sufficient crops based on the existing advance notice regarding pattern of productivity as evacuation. Crops located in Standing Crops Farmers who cultivate the land well as average yield and The civil work schedule shall take the road reserve current average market into account the cropping seasons price. to avoid the destruction of food crops for the communities.
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Compensation in cash based on type of tree, gross market value, and loss of production based on yield Only private owners of the trees Trees located in the People who utilize the land at full maturity, market Trees shall be compensated for them. road reserve where trees are located price of crop and number
of years required for a replacement plant/tree to reach a similar level of maturity.
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CHAPTER THREE 3. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK 3.1 Policy Framework 3.1.1 Zambia Involuntary Resettlement Policy Guidelines 2003 The involuntary resettlement of people affected by road rehabilitation/construction projects has since gained a lot of momentum with the launch of the 1997 Road Sector Investment Programme (ROADSIP) whose main objective was to bring all proposed roads to maintainable and manageable levels to speed up socio-economic development at all levels in the country and the subsequent launch in 2012 of the Link Zambia 8000 project meant to transform Zambia from being a landlocked country into a land-linked country. These developments meant/or have resulted in the displacement of people. The implementation of the Serenje-Mpika road rehabilitation project will result in the displacement of people and their structures that are located within the road reserve of 100m. However for densely settled areas the RDA has adopted a 36m to reduce on the number of affected properties. This practice has been applied on other recently road projects and it has been accepted by the local authorities where such projects have been carried out. The Public Roads Act of 2002 under section 21 states that urban areas have a road reserve of 36m. The Public Roads Act of 2002 and other pieces of Zambian legislation cover compensation for lost structures, cropland and fruit trees arising from developmental activities. The RDA’s Guidelines for involuntary resettlement dated November 2003, is the first policy document that aims at ensuring that persons who suffer displacement and resettlement arising from road rehabilitation activities are compensated adequately for their losses at replacement costs1. The Guidelines further provides guidance on the roles and responsibilities of other stakeholders in the implementation of the resettlement activities. The guidelines are in line with the requirements of the African Development Bank Operational Policy on Involuntary Resettlement.
3.1.2 African Development Bank Safeguard Policy The African Development Bank’s Operational Policy is designed to mitigate impoverishment risks associated with Involuntary Resettlement2 through, among others, the restoration or improvement of income-earning capacity of the project affected people. The policy requires full public participation in resettlement planning and implementation and describes the conditions that borrowers are obliged to meet in operations involving involuntary resettlement. In order for the Bank to express its safeguard policies while improving their clarity, coherence and consistency, the Bank has come up with an Integrated Safeguards System (ISS). The ISS builds on the two previous safeguard policies—Involuntary Resettlement (2003) and Environment (2004)—and on three cross-cutting policies and strategies: Gender (2001), the Climate Risk Management and Adaptation Strategy (2009) and the Civil Society Engagement Framework (2012).
1Replacement cost—The rate of compensation for lost assets must be calculated at full replacement cost, that is, the market value of the assets plus transaction costs. With regard to household and public structures—the cost of purchasing or building a new structure, with an area and quality similar to or better than those of the affected structure, or of repairing a partially affected structure, including labour and contractors’ fees and any registration and transfer taxes. 2 Involuntary resettlement- Resettlement that occurs without the informed consent of the displaced persons or if they give their consent without having the power to refuse resettlement
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3.2 National Legislation 3.2.1 Legal Framework Zambia does not have in place a law that specifically deals with involuntary resettlement. However, some pieces of legislation provide guidance regarding legal provisions for resettlement. For Land Take3 and displacement of people, specific attention is drawn to two Zambian laws that will be applicable to land tenure, compensation and resettlement in this project, namely: Constitution of Zambia, Chapter 1 of the Laws of Zambia, Article 16 Lands Acquisition Act Chapter 189. 3.2.2 The Constitution of the Republic of Zambia The Constitution of Zambia, Chapter 1 of the Laws of Zambia, and Article 16 of the Constitution provides for the fundamental right to property and protects persons from the deprivation of their property. It states that a person cannot be deprived of property compulsorily except under the Authority of an Act of Parliament, which provides for adequate payment of compensation. The Article further provides that the Act of Parliament under reference shall provide that in default of agreement on the amount of compensation payable, a court of competent jurisdiction shall determine the amount of compensation. 3.2.3 Lands Acquisition Act Chapter 189 The Lands Acquisition Act Chapter 189 of the Laws of Zambia Section three of the Lands Acquisition Act empowers the President of the Republic to compulsorily acquire property. Sections 5 to 7 of the Act provides for the issuing of notices to show the intention to acquire, notice to yield up property and to take up possession. Section 10 of the Act provides for compensation as consisting of such moneys as may be agreed from moneys appropriated for the purpose by Parliament. Furthermore, this section provides that where the property to be compulsorily acquired is land, the President, with the consent of the person entitled to compensation, shall make in lieu or in addition to any compensation payable under the section, grant other land not exceeding in value of the land acquired. Section 11 of the Lands Acquisition Act provides for the settlement of the disputes relating to the amount of compensation in the High Court.
In conclusion, under the Lands Acquisition Act, the principles of compensation are pivoted on the basis that the value of the property for the purposes of compensation shall be the value of the amount which the property might be expected to realise if sold on the open market by a willing seller at the time of the publication of the notice to yield up possession of the property. Under Part VI of the Lands Acquisition Act (Cap. 189), a Compensation Advisory Board has been established to advise and assist the Minister in the assessment of any compensation payable under the Act. The foregoing laws form the basis of compensation requirements necessary to fulfil Zambia’s regulatory requirements.
3.2.4 The Public Roads Act The Public Roads Act, 2002 section 18 (3) gives authority to the Road Development Agency (RDA) to enter upon any land for purposes of extraction of materials for road formation. The Act under the same section provides for the notification to the property/land owner before preparation for commencement of extraction of materials starts. Under section 18 (4) of the Act, compensation should be paid to the affected land owner/occupier if such land is on title. Section 18 (5) of the said Act allows the land/owner occupier to submit some written request to the Agency for any expense or loss that may be incurred if such land is appropriated. Section 18
3 Land take refers to acquiring of land for some public purpose by government agencies, as authorized by the law from land owner(s) after paying compensation for losses incurred by land owner(s) due to surrendering their land.
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(6), the Act states that in the event of failure to agree upon the amount of compensation the matter shall be decided by arbitration in accordance with the Arbitration Act. The Act under section 18 (7) provides a number of conditions which shall form the basis or assessment of properties or envisaged losses that are the subject of disagreements. The Act further states section 48 (8) that compensation for buildings, fences, trees, crops, constructions or improvements constructed or planted inside a road reserve shall only be payable when the construction or planting has taken place before the road has been designated by statutory order.
3.2.5 Arbitration Act The Arbitration Act No. 19 of 2000 (Arbitration Act) provides for arbitration in cases where the land owner/occupier does not agree with the amount of compensation being offered. Under section 12 (2) of the Act, the parties to arbitration are free to determine the procedure for appointing the arbitrator or arbitrators. Under section 12 (3) (b), if the parties are unable to agree on the arbitration, the arbitrator shall be appointed, upon request of a party, by an arbitral institution.
3.2.6 Local Government Act, Chapter 281 The Local Government Act provides for a system of Local Governments based at district level. The local Government Act provides for the formation of District Development Coordinating Committees (DDCC) that are chaired by the respective District Commissioners of each district. The DDCC are empowered to among other major activities: a. Initiating and formulating policy; b. Overseeing the implementation of Government and Council policies and projects; c. Monitoring and coordinating activities of Non-Government Organizations in the district; and d. Resolving disputes arising from developmental activities in their respective districts. The Act is relevant because the road project will cut across three districts namely Serenje, Chitambo and Mpika. The local Authorities in these three districts are expected to play important roles in the implementation of the RAP.
3.2.7 The Land Act of 1995 The Land Act of 1995 was enacted to guarantee peoples' right to land while enhancing development. The Act recognises the holding of land under customary tenure with the Chiefs playing the custodian roles of the traditional land under their jurisdiction. Conversion or alienation of traditional land requires the express permission/approval of the respective Chiefs. This Act is relevant because the road project cuts across traditional land from Serenje to Mpika. Further over 90% of the affected people and their properties reside on traditional land. The Chiefs and their Headmen will be vital in allocating alternative pieces of land to resettle affected households that will be displaced from the road reserves. 3.2.8 The Town and Country Planning Act, Cap 285 This Act provides for the control, use and change of land use zones and reservations for various purposes e.g. siting of work sites. It also provides for the compensation of those affected by planning decisions and regulated development subdivisions. This Act is relevant to the RAP because RDA would need to obtain planning permissions from the relevant District Councils for the establishment of such facilities as camp sites. 3.2.9 The Housing (Statutory and Improvement Areas) Act of 1974 Under PART VIII section 38 the Act states that subject to the provisions of this Act, and notwithstanding anything to the contrary contained or implied in any written law or any
RDA 11 August 2017 RESETTLEMENT ACTION PLAN ROAD DEVELOPMENT AGENCY Serenje to Mpika Road document, a council may in an improvement area, with the approval of the Minister- Subdivide the land; a. In accordance with the specifications prescribed by the National Housing Authority to erect any building or effect any improvement on any piece or parcel of land; b. Carry out the construction and maintenance of roads, pathways, waterworks, drainage, sewage and other works for public amenity as it may deem necessary or desirable. PART IX section 40 (1) of the Act states that every building erected and every improvement effected on any land to which this Act applies shall be in accordance with specifications approved by the National Housing Authority or by the Council in whose jurisdiction such land is situated.
3.3 Institutional Framework The RAP will be implemented through the existing institutional structures. The key institutions are as follows: 3.3.1 Ministry of Housing and Infrastructure Development The Ministry of Housing and Infrastructure Development (MHID) is responsible for overall policy formulation and monitoring of the road infrastructure developments. The Ministry oversees the construction and civil engineering activities to the extent that they should not adversely affect the environment. The Ministry will play a role in ensuring the RAP guidelines are implemented through their representative in the RDA Board of Directors and would mainly be involved in supervision and ensuring compliance with policies of the transport sub-sector. 3.3.2 Ministry of Works and Supply The Government Valuation Department (GVD) is located in the Ministry of Works and Supply. GVD is responsible for the preparation of Valuation Reports upon request from a user Ministry or Institution such as RDA. The Valuation reports form a basis for the fair of project affected persons that may have their structures affected by the rehabilitation of the Mpika-Serenje road project. Further GVD will be play a big role in the resolution of disputes relating to the valuation amounts as part of the grievance redress mechanism.
3.3.3 Roads Development Agency The Road Development Agency through its Environmental and Social Management Unit-ESMU will implement the RAP in conjunction with respective district local governments of Serenje, Chitambo and Mpika Districts and other key stakeholders such as traditional leaders. RDA will mobilise the required funds and effect payments to the PAPs. It will also have the overall mandate of ensuring that the RAP is being smoothly implemented by coordinating with all relevant stakeholders. RDA will pay the affected PAPs before the commencement of civil works in their respective road sections.
3.3.4 District Councils & Traditional Leadership Local Councils and Traditional leadership are responsible for local policy matters, economic development, resolution of local conflicts and the provision of leadership in their respective areas. District Councils and Traditional Leaders are key players in the mobilization of local people’s participation in developmental programmes such as the rehabilitation of the Serenje- Mpika road. The councils and traditional leaders will thus be helpful during the identification of rightful property owners and the resolution of grievances that may arise.
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3.3.5 Zambia Environmental Management Agency The Zambia Environmental Management Agency (ZEMA) is empowered under the Environmental Management Act (EMA), No. 12 of 2011 to ensure that major developmental activities in Zambia adhere to the provisions of the Environmental Impact Assessment (EIA) Regulations of 1997. It is a requirement under the EIA regulations that any road rehabilitation/construction project exceeding 10Km should undergo an EIA process before the commencement of civil works. Upon the successful conclusion of the EIA ZEMA issues a Decision Letter to either approve or disapprove such a project. ZEMA will undertake compliance monitoring activities during the road construction phase to ensure that the EMA is being adhered to.
3.3.6 Stakeholder & PAPs Involvement RDA shall continue to engage with the stakeholders throughout the project cycle. There will be a communication strategy to ensure that stakeholders receive information on the progress of work and its implications, employment and others.
Table 2: Differences between Zambian Legislation and the Bank Policy on Involuntary Resettlement Issue Zambian Laws Bank Policy Requirement Timing of compensation Prompt Prior to displacement and payment relocation Calculation of compensation Fair and adequate Full replacement cost Squatters No provision, they are Are to be provided deemed not to be supplementary assistance eligible Resettlement In situations where Affected persons who are inhabitants have to be physically displaced are to be displaced, the state is to provided with residential resettle all on “suitable housing, or housing sites, or as land with due regards required, agricultural sites at for their economic well- least equivalent to old site. being and social and Preference to be given to land cultural values” based resettlement for displaced persons whose livelihoods are land-based. Resettlement Assistance No specific provision Affected persons are to be with respect to offered support after additional assistance displacement, for a transitional and monitoring period Information and consultation The owner/tenants on Displaced persons and their the land must be communities are provided formally notified in timely and relevant advance of the intent to information, consulted on enter. resettlement options, and offered opportunities to participate in planning, implementation and monitoring of resettlement Grievances Formal and informal Appropriate and accessible mechanisms and formal grievance mechanisms to be
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access to court of law established
The discussion constitutes the basis for the compensation procedures and is nevertheless the national legal framework for the present resettlement policy framework. Furthermore, by signing the credit agreements for the project with the Bank, the Government of Zambia will be required to abide by the involuntary resettlement policy of the Bank.
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CHAPTER FOUR 4 COMMUNITY CONSULTATION AND PARTICIPATION This section describes the consultation and participation method adopted for community consultations which includes open discussions with the relevant local institutions at provincial and district level, Headmen, representatives from NGO’s and community based organisations and residents from communities living along the project road. During the ESIA survey the ESIA team collected the views expressed by project affected persons and how these views were taken into account in preparing this resettlement action plan. A review of the resettlement alternatives presented and choices made by PAPs, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as part of pre-existing communities, and to retaining access to cultural property (e.g., places of worship, cemeteries, etc.). Description of procedures Source: Mpika ESIA Scoping Meeting, Source: for redress of grievances by project ASCO (Z) ESIA 2012 affected people shall be accessible throughout the planning and implementation.
The RAP team also collected the views expressed by project affected persons and these views have been taken into account in preparing this resettlement action plan. A review of the resettlement alternatives and choices made by PAPs was assessed, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as part of pre-existing communities, and to retaining access to cultural property (e.g., places of worship, cemeteries, etc.). Description of procedures for redress of grievances by project affected people shall be accessible throughout the planning and implementation. The PAPS were informed that in many instances the project will simply relocate the PAPs backwards away from the road reserve and will stay within their existing land to give way for construction works and there may not be household resettlements to other new places.
It is understood that the project affected persons involvement in the project provides them with greater understanding of the project, the resettlement issues and gives them opportunities to voice out their concerns about the project, and may offer alternatives and compromises that tend to promote implementation. The mechanism for community entry, consultation and participation of PAPs is addressed in this RAP and will be defined in the detail RAP studies with cultural prescriptions which would be carefully studied and adhered to in each affected community. The mechanism includes meetings with project affected persons during the survey, providing information to PAPs and communities and interagency committees.
4.1 Meetings Meetings with Community leaders, utility agencies, NGOs, and PAPs as individuals (during the survey) and in their groups. At the meeting with the project-affected persons, the RAP team explained the various resettlement issues so that they are aware of what it is like; for instance, cash compensations, alternative land or building, or group resettlement whatever the case might be, although it is anticipated that there will be no major household resettlement in this project. In the case group resettlement, this ensures that social networks and community
RDA 15 August 2017 RESETTLEMENT ACTION PLAN ROAD DEVELOPMENT AGENCY Serenje to Mpika Road institutions are not disintegrated and is appropriate for projects affecting whole settlements or sites. PAPs were also briefed on the compensation/resettlement process and each affected person was given the chance to air their views on resettlement plan on issues of concern.
4.2 Involvement in Site Preparation Participation will also be fostered through use of local know-how and materials; the contractor will be encouraged to use local people to supply materials and goods needed for the sub-project implementation. a. Group formation: using existing groups or assisting PAPs to form groups provides institutional framework for participatory resettlement b. Involvement in resettlement committees and monitoring teams: participation in committees would be one of the key mechanisms for involving the PAPs in the planning, implementation and monitoring of the RAPs. c. The role of traditional, political and cultural leaders, including the community elders, in the participation strategy will be important. The RAP team shall ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures. Furthermore, the project will sensitize communities and the public at large on involuntary resettlement. In addition, village committees will continue to provide land for implementation of projects.
4.3 Data Collection Phase Consultations during preparation, in particular, the collection of background information, and the social survey or social assessment, are critical for successful data collection. Levels of consultation vary from households to community groups. In the detailed RAP the team will design questionnaires for survey of the households, organizations, and institutions that will validate their effectiveness through feedback. Focus group meetings with women, farmers’ associations, individuals who own farms, etc, as well as primary and/or secondary schools, health centers, and agricultural cooperative unions will a good source for establishing community baseline situations.
4.4 Implementation Phase During implementation, PAPs will be informed about their rights and options. The grievance mechanism will continue to operate and all grievances will be recorded. Participation of local leaders and PAPs in disseminating information and resolving disputes will be important once RAP implementation starts. A dynamic participatory approach involves PAPs in decision making about livelihood and community development programs. 4.5 Organizational Arrangement for Implementation of Resettlement Action Plan
At the time of implementing the resettlement programme, it is imperative that roles and responsibilities of all the relevant stakeholders are clearly defined and outlined. Stakeholders in this document are defined as individuals, groups or institutions that are involved and affected by or that are believed to be affected by the project; and individuals or groups that can play a significant role in shaping the project, either positively or negatively. It is recommended that the implementation of the resettlement programme for the displaced households should be done based on the following organizational arrangement.
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RDA will be responsible for funding and technical support to RAP implementation, as well as external monitoring of RAP implementation as summarized below. Funding of the implementation of resettlement programme; Technical support for RAP implementation, and External monitoring of RAP implementation The District Councils shall be responsible for overall coordination and implementation of resettlement programme. The main focus of the District Councils shall therefore include: Overall co-ordination of Resettlement Programme implementation; Planning of the implementation of resettlement programme; Addressing grievances. District level: A District Development Co-ordinating Committee at District drawing its membership from local leaderships, affected community, relevant government departments and civil society which are presented in Table 3, shall be responsible for coordinating the implementation of the RAP programme. The main focus of this committee shall be: Monitor the disbursement of funds; Guide and monitor the implementation of resettlement programme; Coordinate activities between the various organizations involved in resettlement; Monitor resettlement activities; Review progress reports and report to DDCC; and Serve as a pool of technical expertise for resettlement For effective execution of these mandates, the District Councils shall ensure that the capacity of this committee is built. The civil society in the area shall be engaged into dialogue aimed at supplementing efforts of this committee especially in the area of livelihood restoration. District Sub-committee level: This committee will act as a sub-committee for the District Development Co-ordinating Committee (DDCC). This committee shall also be used in the grievance redress system if need arises. The main focus of this sub-committee shall be: Serve as a channel for grievance redress • Monitoring the day to day implementation of RAP activities • Negotiating for compensation • Link for community to district office • Serve as a channel for on-going RAP disclosure to the community Community level: At community level, a sub-committee reporting to the coordinating committee and drawing its membership from the affected community, host community and local leadership shall be formed and should be responsible for spearheading the actual implementation of the
RDA 17 August 2017 RESETTLEMENT ACTION PLAN ROAD DEVELOPMENT AGENCY Serenje to Mpika Road resettlement plan. The committee is expected to play a pivotal role when negotiating for compensation on behalf of the affected people as well as monitoring the day to day implementation activities of the resettlement programme. The main focus of this committee will include: Act as representative body for the affected community; Monitor the implementation of programme at community level; Serve as a channel of communication for grievances of the affected community by processing and channeling grievances to the main committee Negotiate for compensation on behalf of the affected community; and Serve as a channel of on-going disclosure of RAP implementation status to the affected community The capacity of this committee shall be built by District Councils for easy articulation of issues pertaining to implementation of resettlement programme. Table 3: Summary of Roles for Respective Key Stakeholders
No. Key Stakeholder Roles in RAP Implementation 1. RDA Funding Technical support for RAP implementation External monitoring of RAP implementation 3. District Development Co- Monitor the disbursement of funds ordinating Committee (DDCC) Guide and monitor the implementation of resettlement; Coordinate activities between the various organizations involved in resettlement Review progress reports; and Address resettlement grievances Serve as a pool of technical experts for Addressing Resettlement Issues 2. District Council Co-ordination of programme implementation Disbursement of compensation and other entitlements to the affected people 4 Sub – Committee Serve as a channel for grievance redress Monitoring the day to day implementation of RAP activities Negotiating for compensation Link for community to district office Serve as a channel for on-going RAP disclosure to the community
4.6 Key Issues and Concerns from the Community Consultations A community consultation was undertaken as part of the ESIA process and the results of the consultation have been applied for this RAP preparation. During the scoping stage, the ESIA team held consultative meetings with the local communities and gave presentations on the project and also received the questions/concerns from the community on issues that should be considered and addressed. These discussions were centred on the following key issues:
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a. The road and its surroundings (land-use, natural resources, water, etc.) b. The most important features (market places, gathering sites, schools, clinics, quarries, borrow pits, access and feeder roads, etc.) c. Sensitive areas (protected areas, graveyards, historical sites, etc.) d. Where should construction materials be taken from/or not taken from? e. Employment opportunities f. Traffic accidents and where are the black spots? g. Benefits (increased trade and transport) and inconveniences (illegal timber trade, poaching, increased traffic) h. Positive or negative experiences with other contractors 4.6.1 Community Concerns The key community concerns from the consultative meetings are summarized below. a. Resettlements and compensation, b. Poaching of wildlife, c. Safety of school going children, d. Involvement of stakeholders in road monitoring, e. Sensitization of communities on environmental issues, f. Health and sanitation at and around contractor camps, g. Road Traffic Accidents due to narrowness of the road, h. Dust during construction, 4.6.2 Submissions from the Community a. The community wanted to know whether they will be resettled to other areas b. The community wanted to know whether the project will compensate the affected persons for loss of properties and other livelihood opportunities c. The community wanted to know the criteria being used to determine the affected properties. d. The community felt the road need widening/broadening to reduce Road Traffic Accidents e. The community felt due to extent of damage of the road, the entre stretch should be resurfaced or completely rehabilitated and not pothole patching. f. The community felt there is need for humps in all densely populated areas which includes shopping areas and schools. g. The community felt there is need for more lay byes in settlement areas to enhance roadside businesses. 4.7 Grievance Redressing Mechanism
Even with an adequate implementation of the RAP and a fair compensation, some PAPs will still believe that they were treated inadequately or unfairly. As a result, it is necessary to provide an accessible and credible means for PAPs to pursue any grievances, which will then decrease the likelihood of resistance to the project. A Grievance Redress Mechanism (GRM) as illustrated below will therefore be put in place. a. A concerned PAP will either communicate his/her grievance verbally or in written form. b. The PAP will submit his/her complaint to the Village Headman for resolution. The complaint should be resolved within 7 days. c. In the event that the complaint is beyond the resolution of the Village Headman, the complaint will be escalated to the District Grievance Redress Committees (DGRC) that will be formed in all the three affected districts in the project area. The committees will comprise the following representatives: Village Headmen RDA Representative
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Council Secretaries PAP Representative NGO Representative Land Officer Community Development Officer Valuation Surveyor Agriculture Officer
The complaint should be resolved within 30 days.. d. Should the PAP not be satisfied with the response by the DGRC, the matter will be referred to ESMU of RDA for resolution. The complaint is expected to be resolved within 7 days. e. Should the PAP not be satisfied with the response from the ESMU, the matter will be referred to the Director and Chief Executive Officer of RDA for a resolution. The complaint is expected to be resolved within 7 days. f. In the event that a resolution fails with the Director and Chief Executive Officer, the PAP will be free to seek legal redress in the formal court system. This mechanism will be made effective by: a. The disclosure of information to the affected PAPs including the existence of the GRM; b. Swiftly attending to the concerns raised by the PAPs; c. Continuous engagement of the PAPs throughout the RAP implementation process; and d. Keeping a database of the grievances raised and how such grievances were addressed.
The establishment of DGRC and public sensitization on their establishment will be done by RDA in collaboration with respective district councils before compensation payments.
Figure 2: Grievance Redress Mechanism
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CHAPTER FIVE 5. CENSUS AND SOCIO-ECONOMIC SURVEYS According to the Zambian “Public Roads Act, CAP 12 of 2002, the Serenje-Mpika Road requires a road reserve of 100m (i.e. 50m on both side of the existing centreline) and this is what will be adopted for the whole road section. Important to note however is that a road reserve of 100m has been adopted for much of the rural sections while the urban/built up areas such as Mpika, Chilonga, Lukulu, Kalonje, Pensulo and Mansa turn off will have a road reserve of 36m in line with the Act. All affected property owners within the road reserve areas as described above were identified and will be compensated accordingly for their lost structures.
5.1 Household Socio-economic Characteristics The following are the salient socio – economic characteristics of the households/property owners that will be affected by the project. These include household size, age, gender, marital status of the household head/property owner and income sources. 5.1.1 Demographic Characteristics The average family size of the PAPs along the project area was ranging from 6 to 10 members which is slightly higher than the national average household size of 5.5. The PAPs household survey results showed that the majority of the head of household (66%) are married while only 4.3% were single. Only 1.6 % of the PAPs stated that they were widowed in the while the remaining 28% of PAPs’ marital status was not identified.
For the entire road section, it was discovered that about 78% of the affected persons were aged between 30 and 66 years, while 20% were aged between 17 and 29 years. About 2% were aged above 61 years. It was further established that about 70% of the households were male headed, about 24% were female headed and the remaining 6% was not known.
Table 4: Gender Distribution of Household Heads Project Road Male Female Unidentified Sex
Serenje-Mpika 70% 24% 6%
5.1.2 History of Community/Settlements and Land Titles Land is normally assigned/informally sold to a new household by the traditional/community leader or informally bought from another land occupier. However, these occupiers are not recognised by law as being formal landowners unless they obtain a formal land title (or provide proof of legal purchase), which is not only a lengthy process but also an expensive one. Furthermore, according to the Public Roads Act of 2002 monetary compensation for land is only payable to landowners with land title or proof of legal purchase.
In addition, approximately 80.8% of the family members interviewed responded that they have been living in the same location for more than 15 years. This means that the majority of the respondents are not only well established in their community and particularly in the current locations but have also developed intricate social networks of support with their neighbours and other family members. It is with this background that the PAPs have preferred to remain within the same villages and communities. They will however move backwards to leave the road reserve free from encroachments upon receiving their compensation. 5.1.3 Household Education According to the survey administered among the PAPs along the road section, the majority of PAPs have had some sort of formal education with approximately 49% having undertaken
RDA 22 August 2017 RESETTLEMENT ACTION PLAN ROAD DEVELOPMENT AGENCY Serenje to Mpika Road primary schooling, 14% basic education, about 12% Secondary school, while 25% of the affected households stated they did not have any formal education It is important to take into consideration this low level of literacy in the project area as it can affect not only the compensation process but also the public consultation process. For example, people with low literacy levels will have more difficulties in managing a bank account and the details of compensation entitlements received and will need additional guidance. In addition, the way information is presented for informative and/or discussion purposes should be geared towards more visual/oral means rather than written communications.
5.1.4 Household Health The main diseases affecting the members of the households in the last three years were malaria and diarrhoea. Nevertheless, quite a significant percentage of interviewed PAPs were found physically and mentally health. Most of the houses have toilets which gives a good picture on the sanitation issues as presence of toilets minimizes the chances for transmitted diseases. It was also noted that in most of the villages along the road corridor there is a health facility which can be accessed by the community members. Others visit local traditional healers for their medication. Furthermore, there was no mention of HIV/AIDS from the PAPs, which might suggest lack of information regarding HIV/AIDS or an unwillingness to discuss it because of the associated stigma.
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CHAPTER SIX 6. INSTITUTIONS AND IMPLEMENTATION ARRANGEMENT According to the AfDB, the failure of many resettlement operations is more due to the inability to implement the RAP adequately in order to attain the project objectives, than the quality of the RAP itself. This is particularly true when the organisations responsible for the implementation do not understand the RAP, as they were not involved in its preparation and may lack an understanding of its objectives.
This chapter provides guidance on the roles and responsibilities of institutions implementing the RAP as well as the schedule of the implementation. It will follow the African Development Bank’s Involuntary Resettlement Policy (IRP), which stipulates that the analysis of the institutional framework must cover the following areas: a. Identification of agencies responsible for resettlement activities and NGOs; b. An assessment of the institutional capacity of such agencies; and c. Any steps proposed to enhance the institutional capacity of agencies and NGOs responsible for implementation. 6.1 Organization Units The Serenje-Mpika road project is likely to be implemented in two (2) lots (i.e. Serenje–Lukulu as Lot 1 (108km) and Lukulu–Mpika as Lot 2 (130km)). RDA will make use of its existing institutional structure to implement the RAP. The RDA structures will be assisted by District Authorities in Serenje, Chitambo and Mpika, Traditioanl Authorities in the project area and the Provincial Administration based at Chinsali. 6.2 Overview of Implementation Organizations RDA will utilise the following institutional structures to implement the Serenje–Mpika RAP. Please refer to Figure 2 and 3. Figure 3: RAP Implementation Chart
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6.2.1 Environmental and Social Management Unit This is a unit within RDA that is responsible for the integration of environmental and social concerns into road construction activities. It will be the responsibility of ESMU to ensure that all deserving PAPs receive their entitlements as per the provisions of the RAP and specifically the valuation report. 6.2.2 Finance Department This is a department of RDA that oversees the management of RDA funds. The Finance department will facilitate the mobilisation of the required funds to pay the PAPs and make arrangements that all the PAPs receive their payments. Muchinga Province RDA Regional Office based in Chinsali. The regional office has within its structure an Accountant who will be used to help in the disbursements of funds due to the PAPs. 6.2.3 Local Authority Offices at Serenje – Chitambo and Mpika Districts Officials from the three local authority offices will be called upon to be part of the RAP implementation process within the areas of their jurisdictions. The District Council Secretaries from Serenje, Chitambo and Mpika will be requested by RDA to assign officers who will work closely with ESMU staff in the RAP implementation process.
6.2.4 Compensation payments The modalities of compensation will be decided and agreed upon between ESMU and the Finance Department of RDA prior to effecting payments to the PAPs. This will basically involve agreeing on the amounts that will be disbursed as cash, cheques or bank transfers. The agreement will be reached at least two (2) months before any payments are made. According to the compensation principle of this RAP it holds that project affected people (PAP) should at least be as well off and/or ideally, better off after displacement and compensation. This principle implies use of basis of valuation called “current market value,” which is equivalent to full (un-depreciated) replacement cost. In valuation surveying, this basis means that PAPs will receive the worth of their assets in involuntary displacement given what they could get if they themselves at their own time and will were to move voluntarily from one place to another. During the interactions with the PAPs, they stated that their preferred method of compensation is cash payments rather than the physical replacement of the lost properties.
In addition, the following activities will be undertaken: Community meetings will be organised through which PAPs will be informed about the modalities of payments and amounts due to them at individual level as per the Valuation Report. In the case of married couples, the project shall involve both wife and husband mainly in the disclosure of amount to be paid and means to be used in paying out. The project shall ensure that during payment both the wife and husband are made available. In addition, PAPs will also be informed of the available Grievance Redress Mechanism system should they have an issue to raise. Staff from the ESMU, RDA Regional Office at Chinsali and staff from the respective Local Authorities will handle this task. A grievance Redress Committee shall be set up to handle all PAPs issues raised. In the event of a PAP having died before receiving his/her compensation benefit, the compensation will be paid to the appointed Estate Administrator or any individual as agreed by the community. PAPs that will receive cheques and money through bank transfers will be requested to open bank accounts with banks of their choice in their respective districts. In certain instances, RDA will make arrangements with banks to facilitate the payments to some PAPs that will be unable to open their own bank accounts due to varying reasons such as low levels of literacy and worries of bank charges.
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Payments will be made at site for those that will receive cheques or cash. Appropriate acquittal forms for accountability will be prepared by the RDA Finance Department. Photographs may be taken of the PAPs receiving their cheques/cash to guard against fraud or future fraudulent claims. However, the taking of photographs will not be a must as some people especially in the rural areas may not take kindly to such an action. Production of recognised national identification documents will be utilised before effecting payments to the PAPs. Copies of such national identification documents will be retained by RDA. 6.2.5 Payment Record A Finance department will be responsible for keeping records of all payments that will be made. ESMU will obtain and keep copies of the payment records.
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CHAPTER SEVEN7. ELIGIBILITY CRITERIA FOR AFFECTED PERSONS Any persons who will suffer loss or damage to an asset, business, trade or loss of access to productive resources, as a result of the Serenje–Mpika road rehabilitation project road and specifically the enforcement of the 100-m road reserve in the rural sections and 36 m road reserve in the built-up sections of Serenje, Chitambo and Mpika districts will be considered eligible for compensation and/ or resettlement assistance.
Project Affected Persons will be individuals/Households whose properties are located in the road reserve areas. All activities being carried out in the road reserve which existed prior to their being marked for dislocation are to be compensated for. Those eligible for compensations will be the owners of the affected properties. The following categories are eligible for compensation: a. People who shall lose properties/structures that are located in the road reserve and working areas; b. People with land under Title that will be affected; c. People with land under traditional terms but without legal title; d. Persons losing temporary or permanent access or rights to services; e. Persons losing business or residential property; f. Landlords owning only cultivated land that is affected by the road reserve; g. People who rent land for cultivation (sharecroppers) and their crops or trees are to be removed or damaged due to land acquisition activities; h. People that will lose economic tress such as fruit trees; i. People that will have been captured as affected persons at the conclusion of the census (baseline survey) of affected people; j. Any other group of persons that has not been mentioned above but is entitled to compensation according to the laws of Zambia and AfDB policies; k. Public or community facilities such as churches, schools and water points; and l. All properties affected by the road reserve or construction and rehabilitation activities have been valued and assessed according to laid down procedure. Owners of the affected properties will be notified prior to the payment of compensation due to them for their affected properties. 7.1 Cut-Off Date The cut-off date for being eligible for compensation and/ or resettlement assistance will be determined at the last day of the full socio-economic survey. The completion of the census and evaluation of affected properties represents a provisional cut-off date for eligibility for resettlement assistance, 6 August, 2017, for this exercise. Sufficient public awareness of the cut- off date will be given to the community through community meetings organized at local levels. However, should there be a significant time lag (i.e. more than 2 years) between the completion of the census/valuation and implementation of the RAP, a repeat census may be necessary to accommodate some dynamics such as the expansion/improvement of structures by the affected people, population movements, natural population increase and the expansion of land use. Although concessions should be made for enumerator errors and omissions, and cater for inflation after a significant lapse of time; as a rule people moving into the project area after the cut-off date should not be entitled to compensation. Nevertheless, individuals or groups who were not present at the time of registration and have a legitimate claim to membership in the affected community can be accommodated for compensation on a case by case basis. To ensure that disputes are minimised, the Bank requests the implementing agency should submit revised RAP and compensation tables with amounts o be paid out.
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7.2 Proof of Eligibility Proof of eligibility for compensation will mainly focus on the following factors: a. Names of the affected persons appearing in the Valuation Reports; b. Documentations such as land title registration certificates, letters of offers, court documents, tenancy agreements, building and planning permits and business operating licenses among others may be used to indicate proof of eligibility; and c. Witnessing or evidence as provided by recognized traditional authority, customary heads, community elders, family heads and elders and the general community.
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CHAPTER EIGHT
8. VALUATION AND COMPENSATION FOR LOSSES 8.1 Valuation Methodology and Principles The exercise to assess the loss of the assets by the affected communities was preceded by the sensitisation of the communities by the Consultants and the RDA Staff that was conducted in August 2017. The Team met with staff from the local Authorities of Mpika and the affected communities by holding one to one meetings and focused group discussions. The discussions mainly focused on the explanation of the proposed project, the issue of the road reserve as provided for in the law and the compensation to people whose properties will be removed from the road reserve areas of 100m in the rural sections and 36 m in the urban/built up sections of the road corridor. Queries from the affected people were addressed during these discussions. The assessments for both permanent and semi-permanent structures were based on direct replacement cost. Adequate notice of about six (6) months will be served to the affected persons to vacate the project corridor. 8.2 Public Disclosure Public information of the compensation will be carried out by RDA before the disbursement of the compensation funds. The PAPs will sign against the amount proposed in the evaluation report. The individual household database will be updated after individual compensation disclosure although this will largely depend on the time that could have passed from the time the RAP was conducted. However, prior to the individual disclosures, the RDA-ESMU will hold meetings with the district authorities and traditional leadership. The second stage disclosure meetings will be at village level with individual households during which the results of the property assessment will be disclosed to them. Family members through their household heads and spouses will be expected to express their consent at this level as required by Section (10) of the Land Acquisition Act Chapter 189 of the Laws of Zambia. If the arrangement is agreeable to both parties a Consent Certificate will be signed. 8.3 Compensation Process The RDA – ESMU will draw up a payment plan and conduct verification before the actual payment takes place depending on whether the PAP has a bank account or not, and who the witnesses shall be. 8.4 Payment Procedure It is recommended that a cash/cheque/Electronic Funds Transfer ceiling be set at ZMW5,000. This will imply that payments less than ZMW5, 000 are made in cash while the compensation amounts above ZMW5,000 are paid by cheque or Electronic Funds Transfer through Commercial Banks. As few of the affected households have bank accounts, they will have to open accounts in a local bank before payment can be made if banks are close enough s not to be a burden. All the PAPs that will receive payments will sign for it on the necessary acquittal sheets that will be prepared by RDA in conjunction with the banks that will be engaged to disburse the funds to the PAPs. To track payments, photographs of all the PAPs may be taken, which will be entered into the compensation database. RDA will provide full upfront payment before commencing the construction of the proposed road upgrade and ensure no works begin before PAPs have been resettled or compensaion.
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8.5 Exceptional Situations 8.5.1 Deceased Owners i. An heir or representative of the deceased appointed by the courts will receive compensation on behalf of a deceased person. During RAP disclosure, PAPs will be informed of documentation required for this purpose. 8.5.2 Disputed Ownership i) In case of property disputes, ownership of a property has to be verified by a letter from the area chief. Ownership of a disputed property is resolved by the area chief and leadership of the village in which the property is located. Modalities and processes for resolving such disputes are already in place within the traditional administration system. As regards titled properties, the procedure shall take legal process of resolving disputes in addition to the Grievance Redress Mechanism committee. 8.6 Compensation and Rehabilitation Assistance 8.6.1 Disturbance to Sources of Income The disturbance to sources of income of the affected people is not expected to arise for the following reasons. - The PAPs will be paid their full compensation prior to the commencement of civil works - The PAPs will be given adequate notice of about 3 months to re-construct their shops/kiosks - PAPs will be re-constructing their new shops/kiosks whilst doing business in their existing shops/kiosks. - Land is readily available for the PAPs to re-construct their shops/kiosks behind their current shops/kiosks. 8.6.2 Additional Support to the PAPs It is proposed that the PAPs should be getting additional support through preferential access to employment as per their willingness and capabilities to work in road construction. The PAPs will be employed in a construction project with a high priority. 8.6.3 Transport Support to PAPs From the survey that was conducted it was noted that majority of PAPs will shift backwards within their current localities. However the project will provide transport support to all the PAPs that will decide to shift to different locations from where they are currently residing. This support may be in the form of physical transport or cash payment calculated on the basis of reasonable mileage. 8.6.4 Support to Vulnerable persons The project will pay an extra 30% of the total compensation amount of the affected property to supporting a vulnerable person in his/her in relocation. 8.6.5 Compensation for Land Loss According to the Public Roads Act of 2002, the PAPs are not entitled to compensation for loss of land since they are currently located in the road reserve areas, however the project will pay a flat rate of ZMW 1,500 as compensation for “lost” land to all the PAPs to facilitate them acquiring alternative land in accordance with the AfDB safeguard policy measures. The field assessment did not come across any titled land. The affected properties are located on customary land. 8.6.6 Opening of Bank Accounts For households who do not currently have bank accounts, but would prefer compensation not to be made in cash, the Project will facilitate their opening of bank accounts by giving them appropriate recommendation letters by RDA.
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8.6.6 Transport Refund when Collecting Compensation The project will provide cash compensation in advance as transport fare to the payment stations for the collection of compensation. This will be in the amount of ZMW100 per household, based on prevailing average transport costs in the project areas.
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CHAPTER NINE
9. IMPLEMENTATION SCHEDULE The implementation of the RAP will have to be completed before the start of civil works in the various road sections. A works and compensation schedule will be prepared to outline the process of paying the PAPs in the various road sections. RAP implementation schedule is given in Table 3.
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Table 5: RAP Implementation Plan
2017 2018 2019 2020 Responsible No. ACTIVITIES Task/Activity 2017 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1. Prepare a Compensation Schedule. RDA-ESMU 2. Formation of Grievance Redress Committees RDA/Ministry of Infrastructure and Housing 3. Disclosure of compensation entitlements to RDA-ESMU the affected PAPs and the payment modalities. 4. Collection of missing National Registration RDA-ESMU Card (NRC) information and any possible name adjustments of the PAPs. 5. Addressing grievances raised by the PAPs. RDA-ESMU, RDA Management and the Local Administrative Structures, Valuation Consultant, Government Valuation Department 6. Effecting amendments to the Valuation Report RDA-ESMU, arising from tasks/activity 3 and 4 above. Valuation Consultant 7. Make arrangements with a local Bank to RDA-Finance department facilitate payments to the PAPs that may not be in a position to open their own bank accounts. 8. Apply for compensation funds from the RDA-ESMU, National Road Fund Agency (NRFA) as per the RDA-Finance department prepared compensation schedule under activity 1 above. 9. Payment of compensation to the affected RDA-ESMU, PAPs. RDA-Finance department and Local Bank 10. Notification of PAPs/community regarding the RDA-ESMU demolition of affected structures. 11. Demolition of affected structures and land RDA-ESMU, acquisition. PAPs 12. Replacement of affected community facilities RDA-ESMU, (e.g boreholes) RDA-Construction department, Contractor 13. Performance monitoring X RDA-ESMU
14. External evaluation AfDB
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CHAPTER TEN 10. RAP Costs The total estimated cost for the compensation payments is Nine Million One Hundred and Ninety Nine Thousand and Three Hundred and -Sixty Five Zambian Kwacha and Zero Ngwee (ZMW9,199,365.00) as per the breakdown below:
Table 6: Costs and budget USD EQUIVALENT ITEM DESCRIPTION of Item TOTAL AMOUNT AMOUNT No. (ZMW) (USD $)
1 Stand Alone Residential houses 3,941,700.00 437,966.67
Combined Residential and 2 1,218,000.00 135,333.33 Commercial Structures
Stand Alone Commercial 3 2,177,500.00 241,944.44 Structures
4 Community Structures 230,500.00 25,611.11
5 Borrow Pits +Camp Sites 100,000.00 11,111.11
6 RAP and ESMP Implementation 500,000.00 55,555.56
Transport for the relocation of 7 556,500.00 61,833.33 PAPs shifting to new locations
Transport for the collection of 8 37,100.00 4,122.22 payments by the PAPs.
A. Sub total 8,761,300.00 973,477.77
9 Administrative cost (5%) 438,065.00 48,673.89 B. Grand Total 9,199,365.00 1,022,151.66
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CHAPTER ELEVEN
11. MONITORING AND EVALUATION Monitoring is a crucial element for the success of any resettlement project as it is important to accurately verify the information related to implementation of the Resettlement Plan, and should be planned and costed as early as possible in the project. The monitoring will provide feedback to project management which will help keep the programs on schedule and successful. A monitoring schedule is presented below in Table 12-1. 11.1 Monitoring Process In order to comply with AfDB requirements the overall internal monitoring procedures will be as follows: 11.1.1 Internal Performance Monitoring Internal performance monitoring will be based on the resettlement implementation plan and will check that physical progress has been made in execution of required actions. Narrative reports on progress will be produced on a monthly basis. The main performance milestones to be checked will be: a. Public consultation meetings held; b. Census, assets inventories, assessments and socio-economic studies completed; c. Grievance and redress procedures in place and functioning; d. Compensation payments disbursed; e. Relocation of people completed; f. Income restoration activities initiated; and g. Monitoring and evaluation reports submitted. 11.1.2 Impact Monitoring The impact monitoring will be used to assess the effectiveness of the RAP and its implementation in meeting the needs of the affected population. It will use socio- economic data and census information gathered at the beginning of the project as baseline information. Reporting will be conducted on an annual basis. The methodology for impact monitoring will involve the following checks: a. Payment of compensation and timing of payments; b. Preparation and adequacy of resettlement sites; c. Housing construction; d. Provision of employment and income levels; e. Adequacy of training and other support provided; f. Infrastructure relocation or replacement; g. Enterprise relocation, compensation and its adequacy; h. Grievances raised and their resolution; and i. Standard of living of the affected people after the implementation of Resettlement.
11.1.3 Final External Evaluation According to the AfDB, RDA must supplement its internal monitoring with “independent monitors as considered appropriate by the Bank”. External Evaluation is important to
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safeguard against the vested interest of reporting the smooth implementation of the RAP by the internal monitors. External evaluation will assess whether compensation and other measures to restore the living standards of project-affected persons have been properly designed and carried out. It will verify in the field some of the quantitative information submitted by the internal monitoring agency as well as using some of the impact indicators. Entities such as NGOs, research institutions, consultancy firms and others that qualify as an appropriate external monitoring agency can be engaged. However, these entities should have the following essential requirements: (i) Experience in AfDB projects dealing with resettlement issues (ii) Monitoring and evaluation of socioeconomic projects (ii) experience in socio-economic studies using quantitative and qualitative methods (iii) experience in livelihood restoration. Experience in working in Zambia is preferable but not essential.
The ESMU and the monitoring agency will discuss and agree upon a methodology for the external monitoring for the RAP.
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Table 7: Internal Monitoring Schedule Monitoring Objective Source of information Responsibility for Data Frequency of Reports Activities collection, and Audience of analysis and Reporting reporting Performance Assess the progress of the RAP Consultation with affected RDA-ESMU -Monthly narrative Monitoring implementation in terms of the people. RDA-Finance department reports executions of the Narrative reports on Monthly financial recommended actions. progress of RAP reports Measurement of input implementation. Annual Reports indicators against proposed Financial reports regarding timelines and budget. RAP implementation.
Impact Assessment of the effectiveness Qualitative and quantitative RDA-ESMU Annual Reports Monitoring of the RAP and its surveys of PAPs implementation in meeting the Grievance mechanism needs of the affected reports. population including PAP satisfaction with inputs.
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External Measurement of output Annual Reports Contracted external agency Annually for a period of Audit indicators such as restoration of Monthly Reports two years after the living standards and the Consultations with affected completion of the RAP development impact against the people implementation. baseline. Independent Survey Reports Verification in the field of some of the quantitative information submitted by the internal monitoring.
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Annex 1: Commonly Found Properties along the Serenje-Mpika Road Reserve
Hand Pump in the back ground is a shelter housing an Hammermill House with iron sheets
Apostolic Church House with iron sheets
Shop Pit Latrine
Cooking Shelter Kiosk
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Annex 2: Serenje - Mpika Road PAPS & Properties Affected
RDA 41August 2017