RP1059 V9

THE REPUBLIC OF Public Disclosure Authorized

MINISTRY OF LANDS, HOUSING, AND URBAN DEVELOPMENT

Public Disclosure Authorized Kenya Informal Settlements Improvement Project CREDIT No: 4873-KE

MH/KISIP/CS/004/2011-2012: CONSULTANCY SERVICES FOR SOCIO ECONOMIC SURVEYS, INFRASTRUCTURE UPGRADING PLANS, AND DETAILED ENGINEERING DESIGNS IN INFORMAL SETTLEMENTS

Public Disclosure Authorized Resettlement Action Plan Report For Swahili Informal Settlement in County

Submitted By

Consulting Engineers and Environmentalists

Public Disclosure Authorized Rhapta Road (Westlands) Nelleon Place P.O Box 20023—00200, E-mail: [email protected]

May 2014 Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

ACKNOWLEDGEMENT This RAP report acknowledges the contributions of the local community of Swahili Informal Settlement, in particular the Project Affected Persons, for their open participation in the data collection and draft report review process. Acknowledged as well is the support given to the data collection and draft report review process by: Swahili Informal Settlement SEC members; KISIP team of the Ministry of Land, Housing and Urban Development; KISIP Team; Mr. Kiamba, Senior Technical Supervisor, Machakos Sub-County; and, the Area Chief’s Office. Other persons whose assistance is truly recognised are two research assistants who are residents of Swahili Informal Settlement. These research assistants not only assisted in collecting data, but in their effort to do a good job, assisted in disseminating to their resident community, facts on the study. Distinct contribution is also acknowledged of one SEC member, Mr Omar Khamisi. He committed himself to actively participate in the data collection process. He supervised the research assistants, to ensure efficiency in data collection. Additionally, he dedicated time to alleviate the Project Affected Persons concerns, and explaining to them, whenever required to, the significance of openly participating in the data collection process. He also assisted in mobilising PAPs and other community members to attend community consultative meetings, one of the techniques used in the census survey with the specific objectives of: a) creating awareness on the study and ultimately the Project; b) collecting qualitative data toward development of this report; and, c) reviewing the draft report toward ensuring ownership.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

TABLE OF CONTENTS ACKNOWLEDGEMENT ...... i LIST OF ABBREVIATIONS ...... iv DEFINITION OF TERMS USED IN THIS REPORT ...... v SUMMARY ...... vii 1.0 INTRODUCTION ...... 1 2.0 BACKGROUND ...... 2 2.1 Kenya Vision 2030 ...... 2 2.1.1 Municipal Council of Machakos ...... 2 2.1.2 Urbanisation in Kenya and Machakos Municipality ...... 4 2.1.3 Well-Being in Machakos County ...... 7 2.1.4 Proliferation of Informal Settlements in Kenya ...... 7 2.2 Kenya Informal Settlements Improvement Project ...... 8 2.2.1 Informal Settlements in Machakos Identified to Benefit from KISIP ...... 10 2.2.2 Consultancy Services for Detailed Design, Bid Documentation and Works Supervision ...... 10 3.0 OBJECTIVE OF THE RESETTLEMENT ACTION PLAN ...... 12 4.0 LEGAL FRAMEWORK THAT GUIDED THE DEVELOPMENT OF THIS RESETTLEMENT ACTION PLAN ...... 13 4.1 Background ...... 13 4.2 Interests on Land in Kenya: An Overview ...... 13 4.3 The Laws of Kenya Reviewed toward Ensuring this RAP Report is Compliant with the Legal Framework of Kenya ...... 14 4.4 World Bank Operational Policy 4.12 ...... 16 4.4.1 Kenyan Law Vis-à-Vis World Bank Operational Policy 4.12 ...... 17 5.0 SWAHILI INFORMAL SETTLEMENT ...... 18 5.1 Introduction ...... 18 5.2 Existing Road, Water and Sanitation Infrastructure Facilities in Swahili Informal Settlement ...... 19 6.0 KISIP SUPPORT TO SWAHILI INFORMAL SETTLEMENT ...... 20 7.0 ACTION PLAN ...... 22 7.1 Study Assessing the Sites Selected to Construct the Proposed Infrastructure ...... 22 7.2 Potential Impacts of the Project ...... 23 7.2.1 Evaluation of the Impacts of the Project ...... 23 7.2.2 Potential Impacts of New Re-Installation Site ...... 37 7.3 Eligibility ...... 46

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

7.4 Valuation and Compensation for Losses ...... 46 7.5 Resettlement Measures ...... 47 7.6 Site Selection, Site Preparation and Relocation ...... 49 7.7 Housing Infrastructure and Social Services ...... 49 7.8 Environmental Protection and Management ...... 50 7.9 Community Participation ...... 50 7.10 Integration with Host Population ...... 50 7.11 Grievance Procedures ...... 51 7.11.1 Proposed Structure ...... 51 7.11.2 Proposed Average Timeline to Address Grievances ...... 51 7.11.3 Reporting of Grievances ...... 51 7.12 Organisational Responsibilities ...... 52 7.13 Implementation Schedule ...... 53 7.14 Monitoring and Evaluation ...... 56 7.15 Cost and Budget ...... 61 8.0 ANNEX ...... 62 8.1 Interview Guide Used to Collect Data on Project Affected Persons ...... 62 8.2 Details of Project Affected Persons ...... 62 8.3 List of Participants to the Last Community Consultative Meeting Held in the Settlement ...... 62 8.4 Notes on the Last Community Consultative Meeting Held in the Settlement ...... 62 8.5 Layout Map of the Planned Improvement in Swahili Informal Settlement ...... 62 8.6 List of Research Assistants That Participated in the Study ...... 62 8.7 List of SEC Members That Were Actively Engaged at Supervisory Role in the Study 62 8.8 Proposed Draft Monitoring Framework ...... 63 8.9 Sample Compensation Agreement Form ...... 71

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LIST OF ABBREVIATIONS Abbreviation Full Name DPs/PAPs Displaced Persons/Project Affected Persons ESMF Environmental and Social Management Framework GoK Government of Kenya KENSUP Kenya Slum Upgrading Programme KISIP Kenya Informal Settlements Improvement Project NEMA National Environment Management Authority PDP Part Development Plan RAP Resettlement Action Plan RIC Resettlement Implementation Committee RPF Resettlement Policy Framework SEC Settlement Executive Committee TOL Temporary Allocation License WB World Bank

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

DEFINITION OF TERMS USED IN THIS REPORT The following terms shall have the following meanings, unless the context dictates otherwise1: Census: A field survey carried out to identify and determine the number of Project Affected Persons (PAP) or Displaced Persons (DPs) within the project area boundaries. The meaning of the word also embraces the criteria for eligibility for compensation, resettlement and other measures emanating from consultations with affected communities. Project Affected Person: This is a person affected by land use or acquisition needs of the Kenya Informal Settlements Improvement Project (KISIP). The person is affected because s/he may lose “title to land or right to its use”, and/or “title rights or other rights to structures constructed on the land” (thus s/he may lose, be denied, or be restricted access to economic assets, shelter, income sources, or means of livelihood). The person is affected whether or not s/he must move to another location. Compensation: The payment in kind, cash or other assets given in exchange for the acquisition of land including fixed assets thereon. Cut-off date: The date of commencement of the census of PAPs or DPs within the project area boundaries. This is the date on and beyond which any other person who occupies the land delineated for project use, will not be eligible for compensation. Effective cut-off date: The date of the meeting held at the conclusion of the census survey but before disclosure of the Resettlement Action Plan, when the list of Project Affected Persons identified from the census survey will be finalised, and all Project Affected Persons will be officially notified of intention for land acquisition. Displaced Person: A person who, for reasons due to involuntary acquisition or voluntary contribution of their land and other assets under the project, will suffer direct economic and or social adverse impacts, regardless of whether or not the said Displaced Person is physically relocated. The person will have his or her: standard of living adversely affected, whether or not the Displaced Person must move to another location; lose right, title, interest in any house, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood. Involuntary Displacement: The involuntary acquisition of land resulting in direct or indirect economic and social impacts caused by: loss of benefits from use of such land; relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether or not the Displaced Person has moved to another location or not. Involuntary Land Acquisition: This is the repossession of land by government or other government agencies for compensation, for the purpose of a public project against the will of the landowner. The landowner may be left with the right to negotiate the amount of compensation proposed. This includes land or assets for which the owner enjoys uncontested customary rights.

1 Water Supply and Sanitation Service Improvement Project (WaSSIP). 2007. Resettlement Policy Framework, RP 583. Government of the Republic of Kenya Repcon Associates. 2011. The Kenya Informal Settlements Improvement Programme: Resettlement Policy Framework. Ministry of Land, Housing and Urban Development – Government of the Republic of Kenya May 2014 v CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

Land: This refers to agricultural and/or non-agriculture land and any structures thereon whether temporary or permanent and which may be required for the Project. Land Acquisition: This means the repossession of or alienation of land, buildings or other assets thereon for purposes of the Project. Rehabilitation Assistance: This means the provision of development assistance in addition to compensation such as land preparation, credit facilities, training, or job opportunities, needed to enable a Displaced Person to improve their living standards, income earning capacity and production levels; or at least maintain them at pre-Project levels. Enterprise: An undertaking or a business concern whether formal or informal engaged in production of goods or provision of services2. Informal Enterprises: Enterprises that do not regularise their operations beyond the licensing requirements by Local Authorities (Kenya Economic Report 2009)3. When these enterprises operate outside the existing legislation, regulations and policies, they risk not receiving the public incentives, benefits and protection thereof4. Micro Enterprises: A firm, trade, service, industry or a business activity which employs less than ten people, has an annual turnover that does not exceed five hundred thousand shillings, and may be formal or informal5. Street Trader: A person carrying out trade in a public place that is not a shop premise approved by the local authority. The public place includes any road, street, foot pavement, footpath, park, open space, or lane. Public Road: All roads and thoroughfares reserved for public use6. Street: A highway, bridge, road lane, footway, courtyard, alley, square or passage or any lands reserved therefor, within the area of a local authority, used or intended to be used as a means of access to two or more premises or areas of land in different occupation, whether the public have a right of way over it or not, and includes all channels, ditches, drains, sidewalks, bridges, culverts and other works appurtenant thereto7.

2 Government of the Republic of Kenya. 2012. The Micro and Small Enterprise Act, No. 55 of 2012. National Council for Law Reporting. Nairobi. 3 Kenya Economic Report 2009. Kenya Institute for Public Policy Research and Analysis (KIPPRA), Nairobi 4 Kenya Economic Report 2010. Kenya Institute for Public Policy Research and Analysis (KIPPRA), Nairobi 5 Ibid; Kenya Economic Report 2009. Kenya Institute for Public Policy Research and Analysis (KIPPRA), Nairobi; Sessional Paper No. 2 of 2005 on Development of Micro and Small Enterprises for Wealth and Employment Creation for Poverty Reduction. Government of the Republic of Kenya 6 Public Roads and Roads of Access Act Chapter 399 of the Laws of Kenya. Government Printer, Nairobi 7 Streets Adoption Act Chapter 406 of the Laws of Kenya. Government Printer, Nairobi May 2014 vi CAS Consultants Consulting Engineers

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SUMMARY 1) INTRODUCTION Kenya, through its long-term development blue print, Kenya Vision 2030, aims at “providing the country’s population with adequate and decent housing in a suitable environment” by 2030. For this to be a reality, the blueprint document six challenges that need addressing. One challenge of particular interest to this report is “insufficient serviced land”. Against this challenge, a specific goal of the country by Kenya Vision 2030 is to improve livelihoods of slum dwellers through a Flagship Project, “Install physical and social infrastructure in slums in 20 urban areas to formalise slums, permit construction of permanent houses, and attract private investment”. Vis-à-vis, the Government of the Republic of Kenya is implementing a number of slum upgrading projects, one of which is “The Kenya Informal Settlements Improvement Project (KISIP)”. KISIP, [which is funded by the Government of Kenya (GoK), together with the World Bank (WB), the Swedish International Development Cooperation Agency (SIDA), and the French Development Agency (AFD)], has an overall objective of “improving living conditions in informal settlements in selected Kenyan municipalities. It is designed with four components. The component related to this report is, “Investing in infrastructure and service delivery”, which is designed to support investment in settlement infrastructure and, where necessary, extension of trunk infrastructure to settlements. A core design feature of KISIP is that proposed interventions are community targeted, and at a scale that allows for local operation and maintenance. KISIP has contracted CAS Consultants Ltd. to undertake consultancy services for socio- economic surveys, infrastructure upgrading plans, and detailed engineering designs in selected informal settlements in Nairobi, Machakos, and municipalities. In Machakos Municipality, the beneficiary informal settlements are , and Swahili; while in Nairobi they are Kayole Soweto and KCC (); and, in Naivasha they are Kihoto, Karagita, Kamere, and Tarabete/ informal settlements. As part of the consultancy, a Resettlement Action Plan (RAP) Report for Swahili Informal Settlement that is acceptable to KISIP, the WB, and NEMA is required. This report is in fulfilment of this output. The overall objective of the RAP Report is to present an entitlement resettlement assistance package that is aimed at adequately re-installing persons from the Informal Settlement that would be affected on implementation of KISIP in the Settlement - an action which is reasoned necessary toward effective implementation of KISIP. This is undertaken with the overall intent of minimising and reversing negative effects of the losses and disruptions brought upon these people. Toward development of this RAP report, a census survey of Project Affected Persons (PAPs) was undertaken. Reference was in addition made on The Resettlement Policy Framework (RPF) for KISIP, as well as other reports on the settlement the consultant has completed and handed over to KISIP as per ToR, namely: Inception Report; Conceptual Design Report; Detailed Design Report; Draft ESIA Report; and, Draft Socio-Economic Report. Also considered were the requirements of: a) The laws of Kenya with regard to land tenure, development, usage, and compulsory acquisition; and, b) World Bank Operational Policy (OP) 4.12 on compensation.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

2) BRIEF ON THE DISRUPTIONS AND LOSSES LIKELY TOWARD EFFECTIVE IMPLEMENTATION OF THE PROJECT, AND PROPOSED MITIGATION MEASURES From the census survey carried out on the Settlement between 19th October and 7th November 2013, the number of PAPs was estimated at 224. Majority (≈ 54.46%) of the PAPs were observed as property owners; and, an estimated 32.14% were residential tenants, 13.9% were business tenants. Less than 4% of PAPs can be claimed to have legal rights to be on the land targeted for use by the Project, and these are basically with respect to service provision. The rest were identified as encroachers to public land. However, there is a PAP that justifies being an encroacher, and would like the Project to treat him, and similarly affected PAPs, differently. Respecting assets, the survey observed that which are expected to be affected, and in decreasing order of incidence, are: residential rooms (house), kiosk (or Kibanda or business room), veranda, stair case, electricity poles, fences, sewer lines, manhole, toilet, pillars, and water tank. Slightly less than half of the assets were observed to be of temporary construction material. Additionally, about 48.70% (count: 56) of affected structures are structures for housing, an estimated 94.64% (count: 53) of which are let. Findings of the survey also indicate there is potential impact of adverse disruption of movement of pedestrians and vehicles to and from households, businesses, and neighbouring areas within and outside the settlement. This was of particular concern to: a) business owners, whose worry was loss of or reduced revenues as well as loss of clientele; and, b) persons confined to wheel chairs, whose worry was movement through the construction zone. Other disruptions observed, which are likely on implementation of the Project, were interruption to electricity supply and, water and sanitation services. In connection to water and sanitation services, the disruption would be as a result of damage to verandas, sewer pipelines, manholes, toilet, water distribution lines, and water tank. Damage to these water and sanitation structures, without provision of adequate mitigation measures, was further observed may result to impacts with adverse potential effects on the health and safety of PAPs, as well as residents from the beneficiary community. Toward effective implementation of the Project, also as observed from the survey was likely: a) disruptions to family and community values due to persons from outside migrating into the beneficiary community in response to income opportunity; and, b) damage to property located adjacent to construction sites as a result of construction activities. Against each of the observations made from the census survey, this RAP Report proposes most feasible mitigation measure, which is guided by recommendations from PAPs, RPF, and other stakeholders. Compliance with the laws of Kenya, as well as World Bank Policy on involuntary resettlement was also taken into consideration. The table below “This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated” gives a summary of the proposed mitigation measure against an observed disruption. 3) OTHER This RAP Report, in addition, proposes the activities to be undertaken toward adequately re- installing PAPs. Proposed as well are: a) the grievance mechanism; b) organisational responsibilities; c) implementation schedule, giving the timelines against the activities; d) monitoring and evaluation framework of the activities proposed be undertaken toward adequately re-installing PAPs; e) valuation and compensation process; and, d) the RAP budget which is estimated at Ksh. 16,339,905.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

Table: This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated

Type of a Affected Asset Proposed Mitigation for Project Affected Assets

-

for for

-

wner)

ncome tenantvalue (for

cost atcost 25% compensationof (for

sanitation services

-

gratia 50%at compensationof

-

months advance notice tovacate

Cash compensationat replacement cost (calculated without depreciation structure owners) Alternative accommodation where possible tenants (for and occupiers) owner PAP allowed tomaterialsalvage all Two Where partialloss structureof but residual viable: is repair unaffected section propertyowner) exOr amount towards house building allowance property (for o One time shiftingallowance Ksh. of 2500 tenants(for and owner occupiers) Subsistence allowance equivalenttosix (6) months landlords) rental income (for Relocation toother siteinformal (for enterprises) Individual connection to improved (formal) be To replaced improvedwith pavement one KISIP's of deliverables the for Settlement Shift pole/pillar/service Taken care in of the proposed Project design the for Settlement Housingallowance three for (3) months equivalent rental i owner or occupier) Total (Count): Number Affected of Assets House/ Room 56 56 56 56 56 56 56 *53 0 0 0 0 0 56 56 Kiosk (or Kibanda or Business Room) 14 7 24 24 12 7 7 20 17 0 0 0 0 7 24 Veranda 0 0 22 22 22 0 0 0 0 0 22 0 0 0 22 Fence 3 0 3 3 3 0 0 0 0 0 0 0 0 0 3 Sewer line/ sewer pipeline 0 0 *1 2 0 0 0 0 0 **1 0 0 ***1 0 2 Stair case 0 0 2 2 2 0 0 0 0 0 2 0 0 0 2 Toilet 0 0 2 2 0 0 0 0 0 2 0 0 0 0 2 Electricity pole(s) 0 0 0 ***2 0 0 0 0 0 0 0 ****2 0 0 ***2 Pillars 0 0 2 2 0 0 0 0 0 0 0 2 0 0 2 Manhole 0 0 1 1 0 0 0 0 0 1 0 0 0 0 1 Water tank 0 0 1 1 0 0 0 0 1 0 0 0 0 0 1 Total (Count): No. of Responses 73 63 114 117 95 63 63 73 18 4 24 4 1 63 115 Notes:

Proposed mitigation for type **PAP is not a service *** and **** PAPs are service providers, and their facilities are on, respectively, of affected structure provider, and is one 1 and 2 of the identified routes to improve infrastructure in the Settlement *Of the ≈ 56 structures for housing affected, 53 are let (i.e. 3 are owner Refer to Annex 8.2 which provides the detailed entitlement by PAP

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement occupier)

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

1.0 INTRODUCTION This is a Resettlement Action Plan (RAP) report for Swahili Informal Settlement, which is located in Township Sub-Location of Machakos Central Location in Machakos Town Constituency, Machakos County. The RAP report is in part fulfilment of a consultancy service under the Kenya Informal Settlements Improvement Project (KISIP), to undertake socio-economic surveys, infrastructure upgrading plans, and detailed engineering designs in Swahili Informal Settlement; and, the lead implementing agency is the Ministry of Land, Housing, and Urban Development. KISIP is funded by the Government of Kenya (GoK), together with the World Bank (WB), the Swedish International Development Cooperation Agency (SIDA), and the French Development Agency (AFD). Through KISIP, the infrastructure upgrading plans proposed for Swahili Informal Settlements, and for which the detailed designs are complete, is with respect to roads, storm water drainage, street and security lighting, solid and liquid waste management, and water supply. The detailed designs developed for infrastructure upgrading of the Informal Settlement largely makes use of land use planning done on the Settlement, which provides for roads and way leaves. These roads and way leaves have been encroached on - there are structures constructed on them, and in some instances, structures are absent, but there are persons utilising sections of the public spaces to generate income. Anticipated on implementation of the infrastructure upgrading plans proposed for the Informal Settlement is losses and disruption in connection to displacement from the public land identified for use by the Project. Anticipated as well are losses and disruption in connection to displacement from part parcels of land that persons claim to have legal rights to occupy and use. In line with the WB Policy on Resettlement concerning projects funded by the Bank, and as stated by KISIP’s Resettlement Policy Framework (RPF), persons with i) no recognisable legal rights or claim to the land they are occupying, using or getting their livelihood from, and ii) they occupied this land earmarked for project activities prior to the cut-off date, are determined under the Project as eligible for resettlement assistance in lieu of compensation. Persons under this class include encroachers and illegal or bona fide occupants. Additionally, persons with i) formal or no formal legal rights to the land they are occupying, using or getting their livelihood from, and ii) they occupied this land earmarked for project activities prior to the cut-off date, are determined under the Project as eligible for compensation, resettlement and rehabilitation assistance. In respect, this RAP Report documents the encroachers and non-encroachers from Swahili Informal Settlement that would be affected towards effective implementation of KISIP, as well as the losses and disruptions these persons would suffer. The Report additionally proposes mitigation measures to minimise on the impact of the losses and disruptions that would be experienced. The proposed mitigation measures are informed by consultations held with the affected persons, as well as the guidelines provided by the Project’s RPF. The overall objective of this RAP report is thus to present an entitlement resettlement assistance package that is aimed at adequately re-installing the Project Affected Persons from Swahili Informal Settlement that would be affected on implementation of KISIP in the Settlement - an action which is reasoned necessary toward effective implementation of KISIP. This is undertaken with the overall intent of minimising and reversing negative effects of the losses and disruptions brought upon these people.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 2.0 BACKGROUND 2.1 Kenya Vision 2030 Kenya Vision 2030 is Kenya’s long-term development blueprint. It documents by sector, challenges that need addressing to transform Kenya into a middle income country by the year 2030. On housing and urbanisation, it documents six challenges that need addressing toward “providing the country’s population with adequate and decent housing in a suitable environment” by 2030. These challenges are: 1) inadequate capacity for urban and regional planning; 2) insufficient serviced land; 3) concentration of property development in the high income category; 4) legal and administrative reforms; 5) supply of affordable finance for mortgages and property development; and, 6) lack of adequate construction capacity. Of particular interest to this report is the challenge “insufficient serviced land”. Against this challenge, a specific goal of the country by Kenya Vision 2030 is to “improve livelihoods of 200,000 slum dwellers under Kenya Slum Upgrading Programme (KENSUP); and, service 10,000 plots through Public Private Partnerships (PPPs)”. This is to be achieved through a Flagship Project, “Install physical and social infrastructure in slums in 20 urban areas to formalise slums, permit construction of permanent houses, and attract private investment”8.

2.1.1 Municipal Council of Machakos9 From the August 2009 census results, Kenya had 215 urban centres. One of these centres, and which is related to this report, is Machakos Municipality. As Figure 1 illustrates, the Municipal Council of Machakos is located southeast of the capital city of Kenya, i.e. Nairobi; and, it covers an estimated 519 Km2, most of which is rural. Approximately 12 Km2 of the Municipality is urbanised10. The Municipal Council of Machakos is home to Machakos Town. This Town is located approximately 64 Km from Nairobi; and, its history dates back to 1889 when Imperial British East Africa Company (IBEA), the predecessor of the British Colonial Authority in Kenya, established its first upcountry capital and centre of operation in the Town11. Evident of Machakos Town is a Central Business District (CBD) and peri-urban commercial centres. The peri-urban commercial centres are: Mutituni, Kimutwa, Kaseve, Kithaayoni, Katoloni, Miwani and, Kenya Israel. Machakos Municipality is not home to many industries, a major discouraging factor being water shortage. However, it has a sizeable informal economy. Regarding its commercial and non-commercial activities, these are concentrated in the CBD of Machakos Town. As Figure 1 illustrates, Machakos Municipality is one of 15 independent local authorities that constitute the Nairobi Metropolitan Region (NMR). The NMR boundary covers 15 independent local authorities found within a radius of 40 kilometres of Nairobi City. The CBD of Machakos Municipality is in Machakos Town Constituency, Machakos County. Machakos County is located in Eastern Region of Kenya, and it has eight constituencies.

8 Government of the Republic of Kenya. 2007. Vision 2030: A Globally Competitive and Prosperous Kenya. Ministry of Planning and National Development and, National Economic and Social Council (NESC), Nairobi, Kenya 9 On the first elections under the new Constitution of Kenya (2010), the 10 Municipal Council of Machakos. 2008. Municipal Council of Machakos Strategic Plan 2008-2012; http://www.machakosmunicipal.or.ke/council 11 ibid May 2014 2 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

Figure 1: Machakos Municipality Relative to Other Municipalities Comprising the Nairobi Metropolitan Region

Source: GoK. 2011. Draft Plan: Development of a Spatial Planning Concept for Nairobi Metropolitan Region

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 2.1.2 Urbanisation in Kenya and Machakos Municipality a) Urbanisation in Kenya Kenya has urbanised rapidly. For example, as Table 1 illustrates, in 1962 it had an estimated urban population of 747,651 individuals, comprising about 8.66% of the total population of Kenya. By the August 1999 national census results, this population had grown to an estimated 5,360,917 individuals, covering about 18.70% of the total population of Kenya. Between August 1999 and August 2009 national census results, it grew by approximately 255.96%, to an estimated 13,722,069 (males: 6,882,620; and, females: 6,839,449) individuals, to constitute about 35.54% of the total population of Kenya. Table 1: Urban Population Trend in Kenya by 1962 to 2009 Census Results12 Year Population: Census Results % Urban to Total Inter-Census Urban Total Urban Total Kenya Kenya Population Population Growth (%) 1962 747,651 8,636,263 8.66 144.44 1969 1,079,908 10,956,501 9.86 214.43 1979 2,315,696 15,327,061 15.11 167.50 1989 3,878,697 21,448,774 18.08 138.21 1999 5,360,917 28,660,534 18.70 255.96 2009 13,722,069 38,610,097 35.54 Table 2: Pattern of Urbanisation in Kenya by Province, 1962 to 199913 Province Urban Population Share as % Intercensal of National Growth Rate (%) Urban Population 1962 1969 1979 1989 1999 1989 1999 1979-89 1989-99 Nairobi 343,500 506,286 827,775 1,324,570 2,087,668 34 39 5 5 Central 35,407 45,955 128,932 309,821 354,017 8 7 9 1 Coast 195,834 283,652 406,991 588,470 894,311 15 17 4 4 Eastern 28,746 37,965 233,316 354,359 265,280 9 5 4 3 Nyanza 28,068 43,829 207,757 352,527 423,183 9 8 5 2 Rift Valley 112,517 148,576 341,696 672,177 940,311 17 18 7 3 Western 3,939 10,645 105,743 186,049 270,503 5 5 6 4 North 63,486 90,724 125,644 2 2 4 3 Eastern Total: Urban 747,651 1,079,908 2,315,696 3,878,697 5,360,917 100 100 5 3 Population As Tables 2 and 3 illustrate, the largest share of urban population and functions in Kenya is in Nairobi, and this primacy position is expected to be sustained and strengthened in the

12 Kenya National Bureau of Statistics, Government of Kenya. 2002. Kenya 1999 Population and Housing Census: The Population Dynamics of Kenya Analytical Report Vol. III. Kenya National Bureau of Statistics, Nairobi. Kenya National Bureau of Statistics, Government of the Republic of Kenya. 2009 Kenya Population and Housing Census: Volume I C – Population Distribution by Age, Sex and Administrative Units 13 Kenya National Bureau of Statistics, Government of Kenya. 2002. Kenya 1999 Population and Housing Census: The Population Dynamics of Kenya Analytical Report Vol. III. Kenya National Bureau of Statistics, Nairobi. May 2014 4 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement coming years, due to Nairobi’s market attractiveness as a centre of economic activity. Nairobi is the Capital City of Kenya. b) Urbanisation in Machakos Municipality Of the 215 urban centres of Kenya recorded during the August 2009 national census, Machakos Municipality is documented by the census results as one of the most populous urban centres in Kenya, ranking number thirteenth (as Table 5 shows). Its population by the August 2009 census results was estimated at 150,041 individuals (core urban population: 53,846; and, peri-urban population: 108,124). Tables 3 and 4 illustrate the urban population trend in Machakos Municipality, dating from 1979. Observable, the Municipality’s urban population has grown over the years. As indicated by the inter-census growth rates given under Table 3, the rate of growth of the urban population of Machakos Municipality has declined between the 1979 and 2009 census. However, despite the decline, the rate of growth of the urban population of the Municipality has been high, registering at three digit figures. Between the 1979 and 1989 census, the inter- census growth rate was estimated at 137.2%; and, between the 1989 and 1999 census, it was about 123.20%. Respecting between the 1999 and 2009 census, this rate was approximately 104.72%. This growth in urban population of Machakos Municipality, as is with the rest of Kenya, has taken place against poor urban planning. Table 3: Estimated Population of Machakos Municipality, 1979 to 200914 Year Population: Census Results % Total Urban Inter-Census Machakos Municipality Total Urban Total Total To Total To Total Urban Urban Machakos Urban Kenya Urban Kenya Machakos Population Municipality Municipality Growth (%) Growth (%) 1979 84,320 2,315,696 15,327,061 3.64 0.55 *137.92 **167.50 1989 116,293 3,878,697 21,448,774 3.00 0.54 123.20 138.21 1999 143,274 5,360,917 28,660,534 2.67 0.50 104.72 255.96 2009 150,041 13,722,069 38,610,097 1.09 0.39 Notes: Examples illustrating how the inter-census growth rates in Table 5 were computed. * Calculated as follows [(116,293 ÷ 84,320) x 100% = 137.92%] **Calculated as follows [3,878,697 ÷ 2,315,696 x 100% = 167.50]

Table 4: Estimated Household Population of Machakos Municipality, 1989 to 200915 Year 1989 1999 2009 Population 116,293 143,274 150,041 Households 22,596 32,131 *39,444 Note: where the total population is given as 156,377

14 Central Bureau of Statistics. Kenya Population Census 1989. Central Bureau of Statistics. 1999. Population and Housing Census: Volume II – Population Distribution by Administrative Areas And Urban Centres Kenya National Bureau of Statistics. 2010. 2009 Kenya Population and Housing Census 15 ibid May 2014 5 CAS Consultants Consulting Engineers

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Table 5: Fifteen Most Populous Urban Centres In Kenya Urban Status Core-Urban Population Peri-Urban Population Rural Population Total Population Centre Male Female Total Male Female Total Male Female Total Male Female Total 1. Nairobi City 1,602,104 1,531,414 3,133,518 1,602,104 1,531,414 3,133,518 2. City 473,433 441,668 915,101 12,775 10,255 23,030 486,208 451,923 938,131 3. City 131,062 128,196 259,258 62,816 66,237 129,053 10,356 11,261 21,617 204,234 205,694 409,928 4. Municipality 145,038 141,373 286,411 10,843 10,736 21,579 155,881 152,109 307,990 5. Municipality 127,808 124,253 252,061 18,788 18,531 37,319 146,596 142,784 289,380 6. Kehancha Municipality 15,143 14,966 30,109 110,795 115,182 225,977 125,938 130,148 256,086 7. Municipality 118,143 118,818 236,961 1,004 893 1,897 119,147 119,711 238,858 8. Kikuyu Town 93,036 97,172 190,208 21,321 21,702 43,023 424 398 822 114,781 119,272 234,053 Council 9. - Town 6,544 6,812 13,356 101,424 103,777 205,201 107,968 110,589 218,557 Tala Council 10. Municipality 41,911 42,239 84,150 17,281 16,834 34,115 43,887 45,101 88,988 103,079 104,174 207,253 11. Naivasha Municipality 45,253 46,740 91,993 39,604 37,545 77,149 6,514 6,310 12,824 91,371 90,595 181,966 12. Municipality 10,338 10,081 20,419 43,321 45,828 89,149 22,082 24,246 46,328 75,741 80,155 155,896 13. Machakos Municipality 20,448 21,469 41,917 53,846 54,278 108,124 74,294 75,747 150,041 14. Municipality 68,254 68,322 136,576 154 187 341 1,289 1,647 2,936 69,697 70,156 139,853 15. Mavoko Municipality 59,393 51,003 110,396 15,463 11,352 26,815 1,200 969 2,169 76,056 63,324 139,380 Total (15 most populated 2,957,908 2,844,526 5,802,434 398,640 398,155 796,795 196,547 205,114 401,661 3,553,095 3,447,795 7,000,890 urban centres) Source: https://opendata.go.ke/Population/Population-Distribution-by-Sex-in-Urban-Centres-an/yc6j-ekrh

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2.1.3 Well-Being in Machakos County The “National Report Exploring Kenya’s Inequality: Pulling Apart or Pooling Together, (2013)” estimates that 42.6% of the population of Machakos County lives below the poverty line. Table 6: Poverty Index by Constituency in Machakos County16 Constituency Headcount index: Poverty gap Severity of Area in Total Percent of as Percent poverty as Km2 population individual living of poverty Percent of below poverty line poverty line line 1. Masinga 61.3 15.8 5.3 1,402.90 125,222 2. Yatta 54.0 13.2 4.3 1,057.30 145,039 3. Matungulu 49.8 11.9 3.9 577.50 123,588 4. Kangundo 48.4 10.4 3.1 177.30 93,770 5. Mwala 43.3 9.2 2.7 1,018.00 161,682 6. Machakos Town 34.5 7.1 2.1 669.70 194,848 7. Kathiani 30.7 5.6 1.4 207.00 103,868 8. Mavoko 22.8 5.1 1.6 843.20 136,112 MACHAKOS COUNTY 42.6 9.7 5.3 5,952.90 1,084,129 The Report estimates the poverty incidence in this County is least in Mavoko Constituency, followed by Kathiani and Machakos Town constituencies respectively. It also estimates that, amongst the 47 , Machakos County is neither amongst the top ten, nor bottom ten counties when ranked by poverty indicators. Poverty in this report is measured using estimated consumption expenditures. The poverty line threshold measurement it uses, i.e. the poverty line below which people are deemed poor, is based on the monetary poverty line used by the Integrated Household Budget Survey 2005/06. This poverty line is determined and based on the expenditure required to purchase a food basket that allows minimum nutritional requirements to be met (set at 2,250 calories per adult equivalent per day) in addition to the costs of meeting basic non-food needs such as education, health, transportation and rent (KNBS, 2008). The 2008 Constituency Report on Well-Being in Kenya estimated this poverty line to be about Ksh. 2,331 for rural areas and Ksh. 6,673 for urban areas17. The National Report Exploring Kenya’s Inequality: Pulling Apart or Pooling Together (2013) basis its analysis on the 2009 Kenya housing and population census.

2.1.4 Proliferation of Informal Settlements in Kenya As the foregoing discussion illustrates, Kenya has urbanised rapidly, and so has Machakos Municipality. This however has been against poor urban planning, which has resulted in the proliferation of informal settlements. These informal settlements are generally of two types: squatter settlement, and illegal sub-division of either government or private land. Characteristic of these settlements is: (a) they are located in proximity to areas with employment opportunities; (b) they are located on insufficiently serviced land – land

16 Kenya National Bureau of Statistics (KNBS); and, Society for International Development – East Africa (SID). 2013. National Report Exploring Kenya’s Inequality: Pulling Apart or Pooling Together?. Nairobi, Kenya Independent Electoral and Boundaries Commission (IEBC). 2012. Final Report of Boundaries of Constituencies and Wards Gazetted on 07/03/12 17 Government of Kenya. 2008. Constituency Report on Well-Being in Kenya (Based on the Integrated Household Budget Survey 2005/06). Kenya National Bureau of Statistics. Nairobi, Kenya May 2014 7 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement wanting on infrastructure such as roads, water, electricity, and sanitation; (c) they are overcrowded; (d) poor housing; (e) they have insecure land tenure status; (f) a number are located on land that is inappropriate for habitation; and, (g) residents are within the bracket of low income earners, with limited Figure 2: An Informal Settlement in Nairobi resources. These residents are mainly occupied in low skilled occupations either as employed or self-employed. The employed are either in casual or permanent labour: in occupations such as security guards, domestic servants, construction workers, factory production and office support workers. The self-employed residents are of two types: those engaging in non-farm activities and those in farming. Their 4B Informal Settlement: It is on public (Government of Kenya) land level of operation is largely micro in scale, and oriented to serving the resident community. The non-farm activities are more on retailing of goods and services. The farming activities are undertaken by few residents, and include activities such as pig, cow, chicken, rabbit and some vegetable farming18. Also characteristic of the informal settlements in Kenya is discrimination, particularly along ethnic lines. The result is that most ethnic groups in these settlements live in (sub) communities of their own ethnic background19. In Nairobi County, to which Machakos County is adjacent to the southeast, the 2009 census results estimated it had over 200 informal settlements scattered across it. Collectively these settlements were resident to approximately 44% of the City’s population; and, they occupy about 2% of the City’s land. The challenges of inadequate housing in Nairobi County are spilling over into Machakos County as the Nairobi Metropolis takes shape. The situation is expected to deteriorate in the absence of proper planning, especially with the implementation of Konza Techno City. Konza Techno City is a Kenya Vision 2030 flagship project, aimed at fostering the growth of the technology industry in Kenya. This City will be located on 5000 acres of land about 60 Km southeast of Nairobi; and it is being marketed by the Government of Kenya, through the ICT Board as the “African Silicon Savannah”. The first phase of Konza Techno City is expected to create over 20,000 direct and indirect jobs. Implementation of Konza Techno City shall definitely scale up the demand for adequate housing in and around Machakos County20.

2.2 Kenya Informal Settlements Improvement Project Towards improving the livelihoods of households in informal settlements of Kenya, the Government of Kenya is implementing a number of projects. One of these projects, and

18 Government of the Republic of Kenya. 2007. Vision 2030: A Globally Competitive and Prosperous Kenya. Ministry of Planning and National Development and, National Economic and Social Council (NESC), Nairobi, Kenya http://www.ucl.ac.uk/dpu-projects/Global_Report/cities/nairobi.htm Runji & Partners Consulting Engineers & Planners Ltd. 2013. Resettlement Action Plan for Sanitation Component for Kayole Soweto Informal Settlement, under the Water and Sanitation Service Improvement Project of Kenya: Nairobi Informal Settlements. Athi Water Services Board, Nairobi 19 http://www.ucl.ac.uk/dpu-projects/Global_Report/cities/nairobi.htm 20 http://www.konzacity.co.ke/about-konza/ ; and, http://www.konzacity.co.ke/about-konza/history/ May 2014 8 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement which is related to this report, is the Kenya Informal Settlements Improvement Project (KISIP), under the Kenya Slum Upgrading Programme (KENSUP). KISIP’s overall objective is to “improve living conditions in informal settlements in selected Kenyan municipalities”. The selected Kenyan municipalities, which are 15, are: Embu, Eldoret, , , Kisumu, Kitui, , Machakos, Malindi, Mombasa, Nairobi, Naivasha, Nakuru, , and Thika21. The overall objective of KISIP is to be achieved through priority interventions in the following areas22: a) Institutional strengthening; b) Improving security of land tenure and investing in infrastructure in informal settlements based on plans developed in consultation with communities; and, c) Support to proactive planning to better anticipate population growth and help develop options to dampen formation of new slums. Vis-à-vis, KISIP is designed with four components: Component 1: Strengthening Institutions and Project Management - which is designed to support institutional strengthening and capacity building of the Ministry of Land, Housing and Urban Development, and the participating municipalities. It is also designed to finance the management activities associated with Project implementation and establishment of a monitoring and evaluation system. Component 2: Enhancing Tenure Security – which is designed to support systematisation and scaling-up of on-going efforts to strengthen settlement planning and tenure security in urban informal settlements. Component 3: Investing in Infrastructure and Service Delivery - which is designed to support investment in settlement infrastructure and, where necessary, extension of trunk infrastructure to settlements. Component 4: Planning for Urban Growth – which is designed to support planning and development of options that facilitate the delivery of infrastructure services, land, and housing for future population growth. A core design feature of KISIP is that proposed interventions are community targeted, and at a scale that allows for local operation and maintenance. Of the four components of KISIP, that which is related to this report is Component 3. KISIP is funded by the Government of Kenya (GoK), together with the World Bank (WB), the Swedish International Development Cooperation Agency (SIDA), and the French Development Agency (AFD).

21 Kenya Informal Settlements Improvement Project. 2012. Consultancy Services for Socio-Economic Surveys, Infrastructure Upgrading Plans, and Detailed Engineering Designs in Informal Settlements (Nairobi, Naivasha, and Machakos): Credit No. 4873-KE; Contract No. MH/KISIP/CS/004/2010 – 2011. Ministry of Land, Housing and Urban Development: Government of the Republic of Kenya. Nairobi Repcon Associates. 2011. The Kenya Informal Settlements Improvement Programme: Resettlement Policy Framework. Ministry of Land, Housing and Urban Development – Government of the Republic of Kenya 22 ibid May 2014 9 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 2.2.1 Informal Settlements in Machakos Identified to Benefit from KISIP As discussed above, KISIP is targeting specific municipalities. In these municipalities, it is also targeting specific informal settlements. Machakos is one of fifteen (15) municipalities to benefit from KISIP. Two of the specific informal settlements in Machakos that are beneficiaries of KISIP are Kariobangi Informal Settlement and Swahili Informal Settlement. Figure 3: Location of Swahili and Kariobangi Informal Settlement in Machakos Municipality

Source: Socio-Economic Survey undertaken as part of the consultancy

2.2.2 Consultancy Services for Detailed Design, Bid Documentation and Works Supervision CAS Consultants Ltd. has signed a contract with KISIP to undertake consultancy services for socio-economic surveys, infrastructure upgrading plans, and detailed engineering designs in selected informal settlements in Nairobi, Machakos, and Naivasha municipalities. The selected informal settlements are: a) in Nairobi Municipality: Kayole Soweto, and KCC (Embakasi); b) Machakos Municipality: Kariobangi, and Swahili; and, c) Naivasha Municipality: Kihoto, Karagita, Kamere, and Tarabete/Kasarani. The tasks of the consultancy, which are to cover each assigned settlement, are grouped into two Phases and are as follows: Phase 1: a) Undertaking socio-economic study (i.e. a sample survey of resident households); b) preparing a preliminary settlement upgrading plan, including proposed infrastructure; c) conducting community level consultations to determine infrastructure investment priorities of residents; d) preparing estimated cost based on the preliminary design and proposal for packaging of works contracts in consultation with Ministry of Lands, Housing and Urban Development; e) preparing a baseline for the set of indicators in the Results Framework in the Project Appraising Document, including an environmebnt and socio-economic profile of the settlement (using data from the socio-economic survey and the preliminary settlement upgrading plan); and, f) preparing a draft Settlement Upgrading Plan (SUP) in close consultation with the community. Phase 2: a) Developing a detailed engineering design of prioritised infrastructure; b) preparing a phasing plan for implementation in each municipality; c) preparing an Evironmental Impact Assessment (EIA) report for approval by NEMA; d) developing an

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Environmetal Management Plan (EMP), and guidelines, where applicable, to manage identified impacts; e) preparing a Resettlement Action Plan in accordance with the Environment and Social Management Framework (ESMF) and the Resettlement Policy Framework (RPF); f) preparing an operations and maintenance manual of the facilities, including a Community Environment Management Plan; g) preparing engineers estimate/confidential cost estimate; h) preparing bidding documents; and, i) supporint KISIP in evaluation and preparation of evaluation report(s) for selection of contractors. Vis-à-vis, outputs expected of the consultancy, and by Phase are: Phase 1: Draft Settlement Upgrading Plan for each settlement, which includes: a) results of the socion-economic survey; b) indicators; baseline and estimated post-intervention values; c) report on priorities identified by the community and design decisions taken as a result of the community consultations; d) preliminary design and cost estimates for prioritised infrastructure; e) design criterial and packaging of works contract report; and, f) Environment and Social Screening Report; and, Phase 2: Final Settlement Upgrading Plan for each settlement, which includes a final version of the socio-economic report and detailed design of prioritised infrastructure in the main report. To be contained as Annexes to the main report are: a) Operations and Maintenance manual of the facilities; b) Environmental Impact Assessment (EIA) report for approval by NEMA; c) Environmental Management Plan (EMP) (inclusive of contract clauses to be included in the bidding documents); d) Resettlement Action Plan (RAP); e) bidding document based on WB guidelines dated May 24th revised October 2006 and May 2010 for procurements of works and goods; f) Engineer’s estimate/confidential cost estimates; and, g) Bid Evaluation Report for section of contractors. This report is in fulfilment of the consultancy task under Phase 2 and its related output: preparing a RAP in accordance with the Environment and Social Management Framework (ESMF) and the Resettlement Policy Framework (RPF) of the Project. It is a RAP report for Swahili Informal Settlement. Other documents this RAP has made reference to, which are outputs of the consultancy for the selected informal settlement and had been completed and handed over to KISIP by July 2013, are: Inception Report; Conceptual Design Report; Detailed Design Report; Draft ESIA Report; and, Draft Socio-Economic Report. The sections that follow are focused on the Resettlement Action Plan for Swahili Informal Settlement.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 3.0 OBJECTIVE OF THE RESETTLEMENT ACTION PLAN KISIP is a development project. It involves improvement in infrastructure as described in Section 2.2. above. As a development project, its implementation may disrupt previous production systems and way of life of affected persons. In connection, KISIP has an obligation to the affected persons (henceforth referred to as Project Affected Persons, abbreviated PAPs), to observe fair practice in awarding compensation. This is the backbone of this RAP report. Thus, the overall objective of this RAP report is to present an entitlement compensation package, put together and, consisting of a set of provisions to be funded by KISIP, with an aim at adequately re-installing PAPs in Swahili Informal Settlement. This is undertaken with the overall intent of minimising and/or reversing negative effects of compulsory acquisition of assets as well as displacement. The specific objectives of this RAP Report are: 1) To present the different types of assets and their count, which are observed would be affected toward effective implementation of KISIP in the beneficiary settlement; 2) To present the different categories of PAPs and their count, that are observed would require re-installation which is as a direct result of implementing KISIP in the beneficiary settlement; 3) To present the potential disruptions to PAPs, which are observed would be necessary toward effective implementation of the Project; 4) To present the feasible mitigation measures that are observed would adequately re- install the identified PAPs, taking into consideration compliance to the WB policy and the legal framework of Kenya on involuntary resettlement as a result of development Projects; 5) To present an entitlement compensation package, and other provisions, to be funded by KISIP, with an overall aim of cost effectively and adequately re-installing the identified PAPs. In the preparation of this RAP report, considered were the requirements of: a) The laws of Kenya with regard to land tenure, development, usage, and compulsory acquisition; b) World Bank Operational Policy (OP) 4.12 on compensation; and, c) KISIP’s RPF.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 4.0 LEGAL FRAMEWORK THAT GUIDED THE DEVELOPMENT OF THIS RESETTLEMENT ACTION PLAN

4.1 Background This section gives a short description of the legal framework of Kenya governing the developments proposed under KISIP. Discussed in brief also is the WB OP 4.12. The section thereafter concludes with a comparison between the regarded legal framework of Kenya and WB OP 4.12, to identify the gaps and state how the gaps shall be resolved during implementation of the RAP. The significance of reviewing the different frameworks during preparation of this RAP Report was in ensuring the Report is compliant with the requirements of both the GoK and the development partner in connection to displacement and relocation due to development project.

4.2 Interests on Land in Kenya: An Overview Interests on land in Kenya broadly fall into two groups, namely:

Rights that are held through Rights that are maintained through laws enacted by the traditional African System national parliament a) Generally known as customary a) Generally known as statutory tenure. tenure b) Refers to: b) Refers to: Land ownership practices by Freehold tenure, which confers the greatest interest in certain communities. Kenya is a land called absolute right of ownership or possession of diverse country in terms of its ethnic land for an indefinite period of time, or perpetuity. A composition. Thus, it has multiple freehold title generally has no restriction as to the use customary tenure systems, which vary and occupation but in practice there are conditional mainly due to different agricultural freeholds, which restrict the use for say agriculture or practices, climatic conditions, and ranching only cultural practices. Leasehold tenure, which is an interest in land for a However, most customary tenure definite term of years, and may be granted by a systems exhibit a number of similar freeholder usually subject to the payment of a fee or rent, characteristics as follows: and is subject also to certain conditions which must be i.) Individuals or groups by virtue of observed, e.g. relating to development and usage their membership in some social Leaseholds in Kenya are granted by the government for unit of production or political government land, community for community land, and community have guaranteed by individuals or organisations owning freehold land rights of access to land and other Public tenure, which is where land is owned by the natural resources; and, government for her own purpose. It includes unutilised ii.) Individuals or families thus can government land reserved for future use by the claim property rights by virtue of government itself or may be available to the general their affiliation to the group public for various uses. c) Secured and expressed through the c) Secured and expressed through national law, namely: national law, namely: The Constitution The Constitution of Kenya (2010); The Land Act, 2012 of Kenya (2010), and soon to be (Act No. 6 of 2012); and, The Land Registration Act, 2012 enacted law relating to community (Act No. 3 of 2012) land pursuant to Article 63 of the Constitution of Kenya (2010)

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These interests on land in Kenya are subject to certain conditions relating to usage, development, and compulsory acquisition. The conditions are expressed through national law; and, they broadly fall into three groups, namely: a) Public Trust Doctrine: Where common property resources such as rivers, forests and parks are held by the state in trust for the general public. Consequently, the state cannot alienate these resources or use them in a way detrimental to public interest. This is the doctrine that would ensure that public land cannot be alienated or committed to waste to the detriment of public interest. b) Police Powers: The statutory framework for land ownership in Kenya is heavily influenced by common law jurisprudence on land ownership – the owner’s rights include the rights of use and abuse. In Kenya, however, the development of physical planning legislation has vested in the state the cumulative rights over other land owners. This regulatory power is referred to as police power. c) Eminent Domain: Where the government is the ultimate owner of all property. The government can acquire property for the public good. Compulsory acquisition has been used for eminent domain.

4.3 The Laws of Kenya Reviewed toward Ensuring this RAP Report is Compliant with the Legal Framework of Kenya KISIP is a development project, and its implementation will cause direct losses and disruptions to persons referred to as PAPs. In connection, KISIP has an obligation to these affected persons to observe fair practice in awarding compensation; and, this should be within the legal framework of Kenya on connected purposes. The laws of Kenya that were observed applicable are, and their provisions have been considered in this resettlement instrument were:

Reviewed Law Why

The Constitution of Kenya (2010): The supreme law of Implementation of KISIP touches on Kenya. Specific focus was on the following Chapters: human rights, land and environment, Chapter 4 – The Bill of Rights; Chapter 5 – Land and and leadership and integrity. How Environment; and, Chapter 6 – Leadership and Integrity. should the Project address potential concerns related to rights, land and environment, and leadership and integrity while ensuring compliance with the constitution of Kenya (2010)? The Land Act 2012 (Act. No. 6 of 2012): An ACT of The project targets to use specific land Parliament to give effect to Article 68 of the within the informal settlement. What Constitution, to revise, consolidate and rationalise land land tenure system does the land fall laws; to provide for the sustainable administration and under? Will the Project compulsorily management of land and land based resources, and for acquire land? How should the project connected purposes comply on related concern observed of the land it targets to use? The Land Registration Act 2012 (Act. No. 3 of 2012): There are persons utilising or An ACT of Parliament to revise, consolidate and occupying part or whole parcels of land rationalise the registration of titles to land, to give effect targeted for use by the Project. These to the principles and objects of devolved government in persons will be displaced. What land registration, and for connected purposes legitimate record do these persons have to claim rights to use or occupy this land? Vis-à-vis, how should the Project

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Reviewed Law Why respond to ensure compliance? The Prevention, Protection and Assistance to Implementation of the Project will Internally Displaced Persons and Affected result to displacement and disruptions Communities Act (No. 56 of) 2012: This Act makes to affected persons. In connection, how further provision for the prevention, protection and should the Project behave? What are the provision of assistance to internally displaced persons compliance concerns that should be and affected communities, and gives effect to the Great adhered to? Lakes Protocol on the Protection and Assistance of Internally Displaced Persons, and the United Nations Guiding Principles on Internal Displacement and for connected purposes. According to the Act, displacement and relocation due to development projects or interests shall only be lawful if justified by compelling and overriding public interest; and, where the displacement and relocation cannot be averted, the Act guides on provision of mitigation measures that are durable and sustainable, and derived through active participation of the affected. Urban Areas and Cities Act 2011, which is a legislative The Project will be implemented in an framework providing for: a) classification of areas as urban area. How should the Project urban areas or cities; b) governance and management of behave to avert potential conflict urban areas and cities; c) participation by residents in between it and the managers and the governance of urban areas and cities; and, d) other affected persons of the urban area? matters for the attainment of the objects provided for in “a” and “c”. Trust Land Act Cap. 288: Under this Act, all land that is The beneficiary of the Project is an not registered under any Act of Parliament is vested in informal settlement. In Kenya, informal local authorities as Trust Land. In these Trust Lands, a settlements are generally of two types: person may acquire leasehold interest for a specific squatter settlement, and illegal sub- number of years. The local authorities retain the powers division of either government or private to repossess such land for their own use should the need land. Is the informal settlement arise. By invoking the provisions of this Act, it will formalised? If not, is it on trust land? If ensure proper use of such land within the provisions of yes, how should the Project legally the Act. handle displacement concerns vis-à-vis trust land? The Public Health Act Cap 242, which regulates Increase of morbidity is a potential activities detrimental to human health. It safeguards undesirable effect on implementation of against environmental nuisances that affect human the Project. With respect to health, their introduction as well as their levels. An displacement, how can the Project environmental nuisance is defined in the Act as one that safeguard against this? What does the causes danger, discomfort or annoyance to the local related law say? inhabitants or that is hazardous to human health. Physical Planning Act Cap 286, which stipulates Has the beneficiary informal settlement development control measures. It deals with all matters a physical development plan? Is the relating to preparation of all kinds of physical plan approved? What is the relationship development plans and sub-divisions. Through the Act: between the displaced persons and the physical planners are empowered to carry out all settlement’s physical development planning issues on all categories of land; planning plan? Will relocation of PAPs be problems between boundaries of two local authorities compliant with this Act? What are the are dealt with; and, encouraged is involvement of varied other related concerns the Project

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Reviewed Law Why expertise in planning. should watch out for, and how should it handle them? Environmental Management and Coordination Act, A Resettlement Action Plan that meets No. 8 of 1999, which provides for the establishment of the approval of NEMA is a must for an appropriate legal and institutional framework for the Projects such as KISIP. What are the management of the environment and for matters compliance issues that the Project connected therewith and incidental thereto. By this Act, should observe to ensure development regulated is how projects or activities should behave of this RAP, and its approval for prior to, during and, on their implementation. It subjects implementation? these projects or activities to environmental audits through which, potential impacts and their mitigation measures are enumerated for compliance. An environmental audit and compliance is vital for a licence from NEMA. The Micro and Small Enterprise Act, No. 55 of 2012, On the land targeted for use by the which provides for the establishment of a legal and Project are micro-enterprises. These will institutional framework for the: a) promotion, be displaced toward effective development, and regulation of micro and small implementation of the Project. This law enterprises in Kenya; b) the establishment of the Micro regulates on micro-enterprises. How and Small Enterprises Authority; and, c) connected should the Project respond to displacing purposes. micro-enterprises? The Water Act, 2002, which provides for the Toward effective implementation of the establishment of a legal and institutional framework for: Project, some existing water and a) the management, conservation, and control of water sanitation structures will be displaced. resources, and for the acquisition and regulation of What does the related legal framework rights to use water; b) the regulation and management say? How can the Project ensure of water supply and sewerage services; and c) related compliance with the law? purposes Other laws reviewed, particularly in connection to loss of access to protected area or natural resources, include: 1. The Forests Act 2005, which provides for the establishment of a legal and institutional framework for the management of forest land and connected matters. 2. The Wildlife (Conservation and Management) Act, Cap 376, which establishes the legal and institutional framework for the protection, conservation and management of wildlife in Kenya, and related purposes. 3. The National Museums of Kenya Act: National Museums of Kenya is a state corporation charged with research, management and documentation of historical sites, archaeological sites and site of natural and national heritage and monuments. 4. The Mining Act: All un-extracted minerals (other than common minerals) under or upon any land are vested in the government, subject to any rights in respect thereof which, by or under this Act or any other written law, have been or are granted, or recognised as being vested, in any other person.

4.4 World Bank Operational Policy 4.12 The WB’s Safeguard Policy OP 4.12 applies to some components of KISIP, and to all economically and/or physically project displaced persons, regardless of the number of people affected, the severity of impacts, and the legality of land holding. According to the

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Policy, particular attention should be given to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, indigenous groups, ethnic minorities, and other disadvantage persons. The Bank’s Policy requires that the provision of compensation and other assistance to PAPs is carried out prior to the displacement of people. In particular, repossession of land for project activities may take place only after compensation has been paid. Resettlement sites, new homes and related infrastructure, public services and moving allowances must be provided to the affected persons in accordance with the provisions of the Bank’s Policy.

4.4.1 Kenyan Law Vis-à-Vis World Bank Operational Policy 4.12 Table 7 summarises the comparison between Kenyan law and the WB OP 4.12 as regards compensation. The main difference between the two is that the Kenyan system recognises only title holders as bona fide property owners; while under the WB OP 4.12, lack of a legal title does not bar in extending assistance and support to those affected by development projects. With respect, the measure this Project will take to resolve this gap, and is reflected in the relevant sections, is the WB OP 4.12 shall prevail. Table 7: Comparison of Kenyan Law and World Bank OP 4.12 Regarding Compensation Category of PAP Kenyan Law WB OP 4.12 & Type of Assets Land owners Just cash compensation based upon market Recommends land for land value as prescribed under statute. compensation. Other On agreement with PAP, land compensation is at replacement compensation not exceeding in value the cost amount of cash compensation considered would have been awarded. Land tenants Entitled to just compensation based on the Project Affected Persons are amount of rights they hold upon land entitled to some form of under relevant laws. Illegal tenants not compensation whatever the legal entitled to compensation or illegal recognition of their occupancy. Land users Entitled to just compensation for crops and Whatever the legal recognition, any other economic assets. Illegal land entitled to compensation for crops, users not entitled to compensation may be entitled to replacement land and income must be restored to at least pre-project levels. Owners of Entitled to just cash compensation based on Entitled to in-kind compensation temporary market value (as prescribed under statute) or cash compensation at full buildings or entitled to new housing on authorised replacement cost including labour land under government (state or local) and relocation expenses, prior to housing programmes. displacements. Owners of Entitled to just cash compensation based on Entitled to in-kind compensation permanent market value as prescribed under statute. or cash compensation at full buildings On agreement with PAP, land replacement cost, including labour compensation not exceeding in value the and relocation expenses, prior to amount of cash compensation considered displacement would have been awarded. Perennial crops Cash compensation based upon rates As per specifications of the RPF. calculated as an average net agricultural income.

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5.0 SWAHILI INFORMAL SETTLEMENT 5.1 Introduction Swahili Informal Settlement is situated in Township Sub-Location, Machakos Central Location of Machakos Town Constituency in Machakos County. The Settlement started around the year 1910, soon after the establishment of Masaku Urban Council as the up- country capital and centre of operation of Imperial British East Africa Company (IBEA). The first group of settlers came from the Kenyan coast while others came in from Pemba, Zanzibar, and Mogadishu Somalia. They created temporary mud houses roofed with grass and started opening small businesses. In 1928, the colonial government relocated the market next to Swahili village with the intention of relocating the Village elsewhere. The relocation was opposed by the local community and the Settlement remained where it is to-date. The colonial government through the local Native Council allocated each family a plot at the Settlement. These plots were surveyed, beaconed and there is an approved cadastral plan (F/R NO. 111/83). Although the central area of Machakos Town has seen a lot of development both in buildings and infrastructure since its elevation to urban status in 1954, to town council in 1973, and Municipality in 1980, the structures in Swahili Village have relatively remained the same old/derelict ones built over fifty years ago. In 1974, the Municipal Council of Machakos, with assistance from National Housing Cooperation Housing Research and Development unit of , and the Physical Planning Department, were involved in joint efforts to improve Swahili Village through preparation of development plans for the area. Some plots have changed hands, while others have been properly developed for commercial use, and some plots have the same mud and wattle houses roofed with flattened tin sheets. Figure 4: Boundary Map of Swahili Informal Settlement23 Swahili Settlement borders Kariobangi Settlement and has a fairly flat to rolling terrain. The main access road has an existing pavement unlike the streets running through the settlement, which have earth roads and have been severely encroached upon. Its proximity to the town centre puts in a wanting situation because of its poor infrastructure24.

23 CAS Consultants Ltd.; and, IPE Global Private Ltd. 2012. Socio-Economic Survey of Informal Settlements in Nairobi (KCC and Kayole Soweto). Kenya Informal Settlements Improvement Project, Ministry of Land, Housing and Urban Development – Government of the Republic of Kenya. Nairobi, Kenya 24 ibid May 2014 18 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 5.2 Existing Road, Water and Sanitation Infrastructure Facilities in Swahili Informal Settlement About 45.54% of households in Swahili Informal Settlement have their access roads as either paved (brick or stone) or tarmac; and for the rest, it is not paved: being either (earth) road or gravel (murram) road. On water supply, as per results of the socio-economic study undertaken as part of this consultancy, only an estimated 4% of households in the informal settlment have private piped connection into household as their main source of water. As Figure 6 illustrates, about three-quarters of households in the Settlement rely on water kiosks as a main source of water. Figure 5: Two of the Roads in Swahili Informal Settlement Targeted for Improvement

Figure 6: Main Source of Water for Households in Swahili Informal Settlement

Bottled Private Water Share Borehole/ (mineral) piped Neighbours tanker/ Water kiosk Total connection share well water connection vendor Count 1 7 10 12 16 27 230 303 Percentage 0.3 2.3 3.3 4 5.3 8.9 75.9 100 Source: Socio-Economic Survey undertaken as part of the consultancy Respecting main mode of human waste disposal, according to the socio-economic study undertaken as part of this consultancy, an estimated 76.51% of households in the Informal Settlement use the main sewer. Of this, an estimated 78.95% are formally connected to the main sewer: the rest are illegally connected.

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Figure 7: Main Mode of Human Waste Disposal for Households in Swahili Informal Settlement

Septic tank/ soak Informal connection Formal connection Pit latrine Total pit to public sewer to public sewer Count 16 48 54 180 298 Percentage 5.4 16.1 18.1 60.4 100 Source: Socio-Economic Survey undertaken as part of the consultancy

6.0 KISIP SUPPORT TO SWAHILI INFORMAL SETTLEMENT Through KISIP support, The Ministry of Lands, Housing and Urban Development’s plan for Swahili Informal Settlement involves: a) Improving on the Settlement’s roads, storm water drainage, and street and security lighting; and, b) Improving on the Settlement’s water supply and solid and liquid waste management: in specific, construction of water and sewer main pipelines on the basis of individual connections. Under this plan, compulsory acquisition of privately owned land and assets thereon is to be avoided, and where it is not possible to avoid, minimised. To the extent possible, the plan’s preference is utilisation of public land (to improve on the roads, storm water drainage, street and security lighting, and solid and liquid waste management): in specific, utilisation of existing roads, access road reserves and public passageways. This strategy is favoured to minimise disruptions in the Settlement.

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Figure 8: Layout of Proposed Kariobangi and Swahili Informal Settlement Infrastructure Improvement

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7.0 ACTION PLAN

7.1 Study Assessing the Sites Selected to Construct the Proposed Infrastructure From 19th October 2013 to 7th November 2013, a census survey assessing the roads and road reserves selected for placement of the proposed infrastructure facilities was conducted. The overall objective of the census survey was to identify and assess the potential adverse economic and social impacts that would be as a result of involuntary taking of land and assets thereon, and involuntary restriction of access to protected areas, which is toward effective implementation of the Project; as well as, facilitate identification of most feasible mitigation measures of the adverse impacts observed. Findings of the survey were to be used to prepare an acceptable RAP Report of the Project. The specific objectives of the census study were: 1. To raise awareness of the Project and its consequences, particularly to persons directly affected; 2. To identify, quantify and document the different types of assets that will be affected toward effective implementation of the Project; 3. To identify, quantify and document the different categories of PAPs that will require re- installation; 4. To document the potential disruptions on production systems and ways of life of each identified PAP, and which will be as a result of implementing the Project; 5. To establish and document the potential disruptions that will be due to restriction of access to protected areas, and which will be as a result of implementing the Project; 6. To engage the different categories of PAPs on mitigation matters, (to obtain their opinion, suggestions and consent), an action that is considered necessary toward effective implementation of the Project; and, 7. To develop a RAP Report of the Project that: a) presents an entitlement compensation package, with an overall aim of cost effectively and adequately re-installing the identified PAPs; and, b) is compliant with GoK legal framework governing the industry and involuntary resettlement due to development Projects, as well as the WB OP on involuntary resettlement as a result of implementing a development project. An interview guide was prepared for this purpose. Annex 8.1 gives the interview guide used. Prior to proceeding with the report from this point, three details need mention: a) October 19th 2013 represents the cut-off date. b) On 3rd March 2014, a final community meeting was held in which the draft RAP report was extensively discussed to ensure ownership. c) Should a large amount of time lapse between the cut-off date and implementation of engineering works of the Project, it is likely that at the time to implement the engineering works of the Project: i.) New development may have taken place on the way leaves identified to locate the sewer lines. Knowledge of the public nature of the land selected for infrastructure development has in the past not deterred residents from utilising the land, and this behaviour is not

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expected to change immediately, even with threats that utilising the land is at one’s own peril. ii.) A PAP identified under the study may have relocated outside the Project area, and his/her place taken over by another PAP. iii.) A PAP identified under the study may have been evicted from the encroached land s/he occupied and utilised, and has moved to an area outside the Project Area. Respecting concern given under paragraph b (ii) and (iii), this report recommends verification of PAPs be a continuous process, be made a part of implementation of the engineering works of the Project. Overall, this report, in its subsequent sections, proposes mitigation measures that could be adopted. Notwithstanding the details, the facts obtained provide adequate guide to development of this report.

7.2 Potential Impacts of the Project 7.2.1 Evaluation of the Impacts of the Project To make possible evaluation of the impacts of KISIP support on Swahili Informal Settlement, the guidelines provided by the Resettlement Policy Framework (RPF) for KISIP was made use of. Generally, the design for infrastructure improvement in Swahili Informal Settlement envisages the following disruptions and losses. Proposed against each anticipated disruption and loss is its mitigation measure(s). a) Number of Project Affected Persons The study conducted in Swahili Informal Settlements estimated the number of PAPs to be 224. Slightly more than half of these (as Table 8 illustrates) were property owners, and majority were letting out to tenants: both residential and business tenants. The residential tenants were estimated at nearly a third of PAPs. Table 8: Estimated Number of PAPs Category of PAP Count (N) % Cumulative % Business tenant 30 13.39 13.39 Residential tenant 72 32.14 45.54 Property owner 122 54.46 100.00 Total 224 100.00 Table 9: PAPs That May Be Legally Utilising the Identified Route Legally Q. No Road Category of PAP Full names of PAP Type of affected asset label 651 R 3001 Property owner Machakos Water and Sewer line/ sewer pipeline Sewerage Company 766 R1002 Property owner K.P.L.C 11 Electricity pole(s) 773 R 3001 Residential tenant Alfred Munyua of Sewer line/ sewer pipeline Tel: 0723372042; & ID 24192799 Property owner Issah Miamo of ID 2523129 782 R 3001 Property owner Habib Twalib of Manhole Tel: 0728861143; & ID 25728935 Property owner Twalib Ismail 805 R 2007 Property owner K.P.L.C 6 Electricity pole(s) 816 R 3001 Property owner Machakos Water and Water tank (of 800 litres) Sewerage Company Source: Field survey May 2014 23 CAS Consultants Consulting Engineers

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The study established that slightly over 96% of PAPs that were utilising the identified routes to improve infrastructure in the Settlement were encroachers. The non-encroachers were basically with respect to service provision, as Table 9 above illustrates. b) Loss of Land and Proposed Mitigation Measures From the survey, all the land the Project design proposes it be utilised towards effective implementation of the Project was established to be of public tenure. However, there is one form of observation that was made from the field survey that is significant. It was brought out by one affected Property Owner (read also “landowner” with legal rights to the land). According to this “landowner”, he was forced to encroach on the road reserve. An implementing agency compulsorily acquired one end of his land to construct a public storm water drainage adjacent to his plot. The implementing agency (of the public storm water drainage) did not compensate him for compulsorily acquiring part of his land. In response, this PAP extended outwards the opposite end of his land with an objective of maintaining the same land length (of his land) as prior to the involuntary acquisition (by the implementing agency of the public storm water drainage). For this reason, he claims that the Project should consider his case differently, and that this should be applied to other PAPs in similar circumstances as he. Additionally, according to this PAP, land in Swahili Informal Settlement is prime due to its relative location to the CBD of Machakos Municipality. Subsequently, there is likely to be strong resistance to resettle landowners [with legal rights to their land] to new land areas outside the Settlement, and particularly if the new land area is further from the CBD than is Swahili Informal Settlement. Vis-à-vis, as per this PAP, one probable mitigation measure the Project could take, [and which if considered feasible is highly recommended by this report], is rewarding a PAP in a similar situation as him as follows: “As KISIP is improving, among other infrastructure items, the drainage system of the Settlement, and its design for the Settlement obliterates the abovementioned (existing) public storm water drainage, KISIP could reclaim this land occupied by the abovementioned (existing) public storm water drainage, and award it to the PAP. This would restore the size of this PAP’s (and other similarly affected PAPs’) land to its original form - a form which, the PAP states, would ensure effective implementation of KISIP in the Settlement.” c) Loss of Structures and Proposed Mitigation Measures There are assets on the existing routes identified to implement the proposed infrastructure facilities in Swahili Informal Settlement. The description of these assets is as presented in Tables 10 to 13. A large share of affected assets is structures for housing, in specific rooms. They accounted for nearly half of the cases counted. Observed as well, nearly half of the affected structures are temporary. A temporary structure was defined as one with a combination of wall and roof construction materials as follows: a) The wall is NOT constructed from concrete, stone, brick and/or cement; and, b) The roof is constructed from iron sheets, grass/reeds, plastic paper or nothing. For example, as Table 12 illustrates, about two-thirds of the affected structures for housing were established as temporary.

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Table 10: Type of Affected Assets Type of affected structuresa Response: Count (N) % of Cases House/ Room 56 48.7 Kiosk (or Kibanda or Business Room) 24 20.9 Veranda 22 19.1 Fence 3 2.6 Sewer line/ sewer pipeline** 2 1.7 Stair case 2 1.7 Toilet 2 1.7 Electricity pole(s)* 2 1.7 Pillars 2 1.7 Manhole 1 .9 Water tank 1 .9 Total 117 101.7 Notes: a. Group; *The count given is with respect to the No. of roads on, and not the No. of structures they are. **One count is with respect to the service provider Machakos Water and Sewerage Company. Respecting, it is given for the route, and not the number of sewer pipelines. Case Summary Type of Affected Structurea Cases Valid Missing Total N % N % N % 115 98.3 2 1.7 117 100.0

Table 11: Examples of Affected Structures by Construction Material of Roof and Wall Type of Type of wall Type of roof construction material of Total affected construction material affected structurea structurea of affected structure Iron sheets Metal Bars/Mesh Wire Count % of Case Kiosk (or Iron sheets 1 0 1 5.00 Kibanda or Grass/reeds 1 0 1 5.00 Business Mud/earth/clay 6 0 6 30.00 Room) Wood 5 1 6 30.00 Concrete/stone 6 0 6 30.00 Total (count) 19 1 20 100.00 Toilet Mud/earth/clay 1 1 50.00 Concrete/stone 1 1 50.00 Total (count) 2 2 100.00 House/ Room Mud/earth/clay 34 34 61.82 Wood 2 2 3.64 Concrete/stone 19 19 34.55 Cement 1 1 1.82 Total (count) 55 55 100.00 Source: Field survey

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Table 12: Nature of Affected Structures Type of affected structuresa Classification of affected structuresa Total Temporary Semi- Permanent Count % of Cases Permanent House/ Room 34 2 21 56 48.70 Kiosk (or Kibanda or 17 0 8 24 20.87 Business Room) Veranda 1 0 22 22 19.13 Fence 3 0 0 3 2.61 Sewer line/ sewer pipeline** 0 0 2 2 1.74 Stair case 1 0 2 2 1.74 Toilet 1 1 0 2 1.74 Electricity pole(s)* 0 0 2 2 1.74 Pillars 1 0 1 2 1.74 Manhole 0 0 1 1 0.87 Water tank 0 0 1 1 0.87 Total Count 56 3 58 115 % 48.70 2.61 50.43 Notes: a. Group: Percentages and totals are based on respondents. *The count given is on the No. of routes located on, and not the No. of structures they are; & **One count is on the service provider Machakos Water and Sewerage Company: given for the route structure is on Case Summary Type of affected Cases structure* Classification Valid Missing Total of affected structure N Percent N Percent N Percent 115 98.3% 2 1.7% 117 100.0% Source: Field survey

Table 13: Description of Construction Material of Affected Structures by Structure DESCRIPTION OF CONSTRUCTION MATERIAL OF WALL OF AFFECTED STRUCTURE Type of wall Type of affected structure Total construction Veranda Sewer line/ Kiosk (or Kibanda Toilet House/ (Count) material sewer pipeline or Business Room) Room Iron sheets 2 1 1 0 0 4 Grass/reeds 0 0 1 0 0 1 Mud/earth/clay 0 0 6 1 34 41 Wood 0 0 6 0 2 8 Concrete/stone 3 0 6 1 18 28 Cement 0 0 0 0 1 1 Total (count) 5 1 20 2 55 83 DESCRIPTION OF CONSTRUCTION MATERIAL OF ROOF OF AFFECTED STRUCTURE Type of roof Type of affected structure Total construction Veranda Sewer line/ Kiosk (or Kibanda Toilet House/ Pillars (Count) material sewer or Business Room) Room pipeline Iron sheets 6 0 20 2 55 1 84 Cement 0 1 0 0 0 0 1 Metal Bars/ 0 0 2 0 0 0 2 Mesh Wire Total (Count) 6 1 22 2 55 1 87

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DESCRIPTION OF CONSTRUCTION MATERIAL OF FLOOR OF AFFECTED STRUCTURE Type of Type of affected structure Total floor Veranda Sewer Kiosk (or Water Stair Toilet House Fence (Count) construction line/ Kibanda or tank case / material sewer Business Room pipeline Room) Iron sheets 0 0 0 0 0 0 0 2 2 Mud/earth/ 0 0 2 0 0 1 1 0 4 clay Concrete/ 0 0 1 0 0 0 1 0 2 stone Cement 20 1 18 1 2 1 54 0 97 Total 20 1 21 1 2 2 56 2 105 (count) Source: Field survey Figure 9: Example of Affected Structures in Swahili Informal Settlement Notes: 1. Project Affected Toilet

4 2. Project Affected Pillars 3. Project Affected Veranda 1 3 2 4. Project Affected Roof

Respecting mitigation measures the Project could take against an affected structure, please refer to Table 20 (Table 20: This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated). The proposals are shaped by the guidelines provided by the Project’s RPF. d) Loss of Revenue and Proposed Mitigation Measures The field survey conducted in the beneficiary Settlement established that, as Figure 11 illustrates, undertakings of income generation are on an estimated 35 sites that would be affected toward effective implementation of the Project. These undertakings are generally micro-enterprises, employing between one (1) and ten (10) persons:- with slightly over half (i.e. ≈ 53.6%), having only one (1) employee. Observed, undertakings on cooked food employed the highest number of persons. Besides this sort of revenue generation activities is another: letting of residential rooms. Of the estimated 56 structures for housing that would be affected by the Project, an estimated 94.64% (count: 53) are let. Respective tenants make rent payments that range from Ksh. 1000 to Ksh. 10,000 per month. Approximately 91.30% of the tenants pay less than Ksh. 5000. Of these, about 77.78% pay between Ksh. 1000 and Ksh. 2500. The calculated average rent is Ksh. 2405 per month. On the mitigation measures the Project could take with respect to the affected businesses, please refer to Table 20 (Table 20: This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated). The proposals are shaped by a combination of the guidelines provided by the Project’s RPF, and suggestions from the PAPs.

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Table 14: Examples of Business Types Being Undertaken by Project Affected Structures Business type being undertaken Type of affected structurea Total on location of Project Affected Veranda Kiosk (or Kibanda or Stair case (Count) Structure Business Room) Hair dressing 1 1 0 2 General retail shop/shop 7 4 0 10 Selling vegetables and/or fruits 0 1 0 1 Tailoring and dressmaking 0 1 0 1 Cooked food kiosk/ hotel 0 3 0 3 Fish cooking and selling 0 1 0 1 Chips cooking and selling 0 1 0 1 Miraa selling 0 4 1 5 Total (Count) 8 16 1 24 Percentages and totals are based on respondents. a. Group Table 15: Total Number of Employees in the Business, Excluding Let Residential Rooms Total Number of Frequency: Number of Percent Valid Cumulative Employees per Businesses with Total Number Percent Percent Business of Employees 1 15 12.8 53.6 53.6 2 5 4.3 17.9 71.4 3 4 3.4 14.3 85.7 4 1 .9 3.6 89.3 5 1 .9 3.6 92.9 6 1 .9 3.6 96.4 10 1 .9 3.6 100.0 Total 28 23.9 100.0 Missing System 89 4.5 Total 117 100.0 Notes: Descriptive Statistics N Minimum Maximum Mean Std. Deviation Total number of employees in the business 28 1 10 2.21 2.025 Valid N (listwise) 28 Source: Field Survey Table 16: Average Net Business Income (Profit) Per Day For Businesses Excluding Let Residential Rooms Average net business income (profit) per Cumulative Frequency Valid Percent day (Ksh) Percent To 500 1 3.3 3.3 From 501 to 1000 1 3.3 16.7 From 1001 to 1500 6 20 36.7 From 1501 to 2000 7 23.3 60.0 From 2001 to 2500 1 3.3 63.3 From 2501 to 3000 5 16.7 80.0 From 3501 to 4000 2 6.6 86.7 From 4501 to 5000 2 6.7 93.3 From 5501 to 6000 1 3.3 96.7 Actual: 30,000 1 3.3 100 Total (valid) 30 100 Missing: System 87 Total 117

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Table 17: Average Area of Business Premise by Affected Business Type Business type1 Area Total Average net Rent paid for covered number of business income premise per month (m2) Employees per day (Ksh) (Ksh) Chips cooking and selling 8.71 1 Fish cooking and selling 2.26 1 3,000 6000 Cooked food kiosk/ hotel 20.18 6 11,333 6,000.00 General retail shop/shop 4.92 2 2,510 4,230.00 Hair dressing 9.76 2 1,350 3,750.00 Miraa (khat) selling 10.82 2 2,060 3,000.00 Selling vegetables and/or 4.7 2 1,500 4500 fruits Tailoring and 18.08 3 2,000 3000 dressmaking Average(s) 9.93 2 3,393.33 4,354.29

Figure 10: An Example of an Affected Micro-Enterprise in Swahili Informal Settlement

Encroached Area

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Figure 11: Project Affected Structures from Which Undertakings of Income Generation are On Location

Kiosk (or Sewer Kibanda line/ Water House/ Electricity Total Manhole Toilet Pillars Stair case Fence Veranda or sewer tank Room pole(s) (Count) Business pipeline Room) Yes: An Income Generating Activity is on location 0 0 0 0 0 0 0 1 1 10 24 35 No: An Income Generating Activity is not on location 2 1 1 2 56 2 2 1 2 12 0 80 Total (Count) 2 1 1 2 56 2 2 2 3 22 24 115 Notes: Percentages and totals are based on respondents. a. Group Source: Field survey

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement e) Re-Installation of Population, and Proposed Mitigation Measures. Established from the field survey conducted on the beneficiary Settlement, on implementation of the proposed infrastructure design for the Settlement, it is estimated 56 structures for housing would be affected. All these structures are built on encroached land. As Table 18 illustrates, about 94.64% (count: 53) of these structures are let. As Table 19 demonstrates, the number of persons that live in an affected structure for housing was determined to range from one to five, with majority (≈78.18%) having not more than three persons. Ascertained, the general composition of a household with three persons was two adults (man and wife), and one child. Table 18: Type of Affected Structure by Category of Project Affected Person Type of Affected Structure Category of Project Affected Person Total Property Residential Business Count % of owner tenant tenant Cases House/ Room 3 53* 0 56 48.70 Kiosk (or Kibanda or Business Room) 3 1 19 23 20.00 Veranda 3 10 9 22 19.13 Fence 0 3 0 3 2.61 Sewer line/ sewer pipeline 1 1 0 2 1.74 Toilet 0 2 0 2 1.74 Electricity pole(s) 2 0 0 2 1.74 Pillars 0 2 0 2 1.74 Manhole 1 0 0 1 0.87 Water tank 1 0 0 1 0.87 Stair case 0 0 1 1 0.87 Total Count 14 72 29 115 % 12.17 62.61 25.22 100.00 Notes: *Equal count of Property Owners is affected. So, the estimated count of PAPs on structures for housing is (53 Residential Tenants + 53 respective Property Owners + 3 Property Owners = 109 PAPs) Case Processing Summary Type of structure * Category of Cases Project Affected Person Valid Missing Total N Percent N Percent N Percent 115 98.3 2 1.7 117 100.0 Source: Field Survey Table 19: Total Number of Persons that Live in Household Located on the Land Targeted for Use by the Project, by Category of Project Affected Person Total number of Number of affected structures for Total persons that live housings (House/ Room) with the number in the affected of household members by category of PAP structure for Property owner Residential tenant Count % of Cumulative housing Cases % 1 1 21 22 40.00 40.00 2 1 12 13 23.64 63.64 3 0 8 8 14.55 78.18 4 1 8 9 16.36 94.55 5 0 3 3 5.45 100.00 Count 3 52 55 100.00 Total % 5.45 94.55 100.00

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

On the mitigation measures the Project could take respecting the affected structures for housing, please refer to Table 20 (Table 20: This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated). The proposals are shaped by a combination of the guidelines provided by the Project’s RPF, and suggestions from the PAPs. Besides the mitigation measures made reference to through Table 20, an additional mitigation measure is, where permanent alternative accommodation of households is necessary, highly recommended, to the extent possible, is re-settlement within the Informal Settlement. This is vital to avoid disruptions associated with relocation to new land areas outside the Project beneficiary areas. Examples of associated disruptions were given as interference of the established social network, and ease of movement to and fro the CBD. f) Disruptions to Vehicle Movement and Pedestrian Access through the Settlement When Work Is Underway, and Proposed Mitigation Measures. Highly recommended under this Report, as discussed above, to the extent possible, is re- installation of PAPs within the Informal Settlement. Discouraged is re-installation to new areas outside the beneficiary settlement. Subsequently, the potential impact of disruption of movement (i.e. access) of vehicles and pedestrians to and from premises and adjoining areas of land, both within and outside the beneficiary Settlement, is examined under this RAP Report within the boundaries of the beneficiary Settlement. The disruption is expected during construction period, and it is anticipated to be upsetting as well as potentially dangerous. It is potentially dangerous particularly in the event of an emergency, and emergency vehicles (e.g. ambulances, fire trucks and police cars) are unable to access the site of emergency. It is potentially upsetting, a particular concern raised with respect to impact to: i.) Businesses, where business owners’ worries were observed as: a) loss of or reduced revenue; and, b) loss of clientele; and, ii.) Physically disabled persons, in particular those using wheel chairs and clutches, whose worries were movement through the construction site. Respecting, the mitigation measures this RAP report proposes is for the contractor to draw an engineering works schedule that provides for all works proposed for the Settlement to be staggered by short distances along a road, as well as be accomplished by specific geographical groups. That is, all upgrading plans proposed for the Settlement should be grouped, first by road, next by smaller distances along the road. Thereafter, engineering works along the length of the road should be sequenced by the smaller geographical grouping, and coordinated in such a way that: a) provided is movement of vehicles through the Settlement when work is underway, and maintained is pedestrian access through the construction zone; and, b) disruption to vehicle and pedestrian access through the Settlement is minimised to the extent possible. These mitigation measures proposed should be implemented alongside the environment and social management plan developed under the ESIA Report of the Project.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Table 20: This RAP Report’s Proposal of How Project Affected Person Is to be Compensated/Mitigated

Type of a Affected Asset Proposed Mitigation for Project Affected Assets

-

for for

cost atcost 25%

-

-

(3) (3) months

)

ngallowance (for

nection to improved (formal)

to salvage all tomaterialsalvage all

gratia 50%at compensationof amount

-

x

Cash compensationat replacement cost (calculated without depreciation structure owners) Alternative accommodation where possible tenants(for and owner occupiers) PAP allowed monthsTwo advance notice tovacate Where partialloss structureof but residual is viable: unaffectedrepair section compensationof property(for owner) e Or towards house buildi propertyowner) One time shiftingallowance Ksh. of 2500 (for tenants and owner occupiers Subsistence allowance equivalenttosix (6) months rental incomelandlords) (for Relocation toother siteinformal (for enterprises) Individual con sanitation services be To replaced improvedwith pavement one KISIP's of deliverables the for Settlement Shift pole/pillar/service Taken care in of the proposed Project design thefor Settlement Housingallowance three for equivalent rental income tenantvalue (for or owner occupier) Total (Count): Number Affected of Assets House/ Room 56 56 56 56 56 56 56 *53 0 0 0 0 0 56 56 Kiosk (or Kibanda or Business Room) 14 7 24 24 12 7 7 20 17 0 0 0 0 7 24 Veranda 0 0 22 22 22 0 0 0 0 0 22 0 0 0 22 Fence 3 0 3 3 3 0 0 0 0 0 0 0 0 0 3 Sewer line/ sewer pipeline 0 0 *1 2 0 0 0 0 0 **1 0 0 ***1 0 2 Stair case 0 0 2 2 2 0 0 0 0 0 2 0 0 0 2 Toilet 0 0 2 2 0 0 0 0 0 2 0 0 0 0 2 Electricity pole(s) 0 0 0 ***2 0 0 0 0 0 0 0 ****2 0 0 ***2 Pillars 0 0 2 2 0 0 0 0 0 0 0 2 0 0 2 Manhole 0 0 1 1 0 0 0 0 0 1 0 0 0 0 1 Water tank 0 0 1 1 0 0 0 0 1 0 0 0 0 0 1 Total (Count): No. of Responses 73 63 114 117 95 63 63 73 18 4 24 4 1 63 115 Notes:

Proposed mitigation for type of **PAP is not a service *** and **** PAPs are service providers, and their facilities are on, affected structure provider, and is one respectively, 1 and 2 of the identified routes to improve infrastructure in the Settlement

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement *Of the ≈ 56 structures for housing affected, 53 are let (i.e. 3 are owner occupier) Refer to Annex 8.2 which provides the detailed entitlement by PAP

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement g) Loss of Access to Natural Resources and Health Facilities , Water and Sanitation, and Energy, and Proposed Mitigation Measures Highly recommended under this Report, as discussed above, to the extent possible, is re- installation of PAPs within the Informal Settlement. Discouraged is re-installation to new areas outside the Project beneficiary settlement. In the Project beneficiary area, established from the field survey carried out in late October and early November 2013: 1) Loss of access to natural resources, and health facilities are not anticipated. The land on which the proposed infrastructure improvements will be carried out is largely public land reserved for roads and way leaves. On this land: no health facility was observed to be constructed on it; no part of the land was observed to be a protected area that takes the complete ban on the exercise of private rights; and, no part of the land was observed to have a predominant land use comparable to a park. The predominant land use of the informal settlement is residential. 2) Temporary disruption to electricity supply to the Settlement is anticipated.

On the roads targeted for improvement Table 21: Number of Electric, and Flood Light Poles under the Project, as Tables 9 and 21 by Road to be improved illustrates, are electricity poles with electricity Type of Road Number of Poles lines supplying electricity to households in Structure on the Road the Informal Settlement. Towards effective 1. R 1002 11 Electricity implementation of the Project, the electricity 2. R 2007 6 Poles poles have to be shifted (relocated). This will Total 17 necessitate disconnection of power supply to Figure 12: Example of a Power Interruption Notice the Settlement, thus interrupting electricity Circulated in a Daily Newspaper with Wide supply to the Settlement. The situation is Circulation in Kenya expected to be temporary. In connection, this RAP report finds it necessary to propose mitigation measures. Vis-à-vis, the Project shall: a) Work in close collaboration with the network service provider responsible for electrical energy transmission, distribution and retailing throughout the Settlement b) Ensure that sufficient notice of power disruption to the Settlement is given, as per the laws and regulations of Kenya governing the industry. c) Ensure that disconnection of power supply to the Settlement, and which is as a result of Project activities, should take place during the day only, and preferably on a day that will have the lowest impact on businesses, such as a Sunday. By nightfall, power supply should be restored.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement d) Ensure the total number of hours of power interruption should be as small as possible. This is critical, in particular not to deteriorate security in the Settlement. 3) Temporary interruption with respect to water and sewerage services in the Informal Settlement is expected. On the road reserves targeted for use by the Project, as Table 9 illustrates, are: manholes, sewer pipelines, and water tank. These will be affected during construction. To minimise on the magnitude of disruptions, the mitigation measures proposed by this Report are: a) Undertaking of group jobs as described under “f” (Disruptions to Vehicle Movement and Pedestrian Access through the Settlement When Work is Underway, and Proposed Mitigation Measures). b) Regarding disruption on water supply: During construction, the Project shall ensure households whose individual or yard tap water connection is affected shall be supplied with water. Three probable ways of ensuring water supply to these affected households are, through use of: a) water tanker(s); or, b) temporary service pipes called “high-lines”; or c) both as is appropriate. “High-lines” are temporary service pipes installed above ground and attached by a rubber hose to the affected households or plots water meter. Should the option of “high-lines” be taken, their installation shall be undertaken in close collaboration with the water and sewerage company responsible for water and sewerage services within the local authority. As the “high-lines” are placed above ground, the Project shall create awareness to the community to exercise caution around them. For added safety, the Project shall reinforce protection of the “high-lines” where they pass driveways and high traffic areas. When the “high-lines” break or leak, the Project shall immediately repair them to prevent contamination. Removal of the “high-lines” shall only be on completion of construction of the formal water pipeline infrastructure, and after this infrastructure has been tested and approved, and individual connections to households has been effected as proposed in the Project’s infrastructure improvement initiatives for the Settlement. The strategy of using and removing of “high-lines” can be staggered by group jobs so as to minimise on adverse potential impacts. c) Regarding interruptions to sewerage services through damage of manholes and sewer pipelines, the options the Project could apply are: i. If possible, not damage the existing system; ii. If it is not possible to undertake works without damage, consider putting in place a temporary diversion system which discharges to the main sewer line; iii. Alternatively, provide temporary toilet facilities; and, iv. On completion of construction of the formal sewer infrastructure in the Settlement, and after this infrastructure has been tested and approved, effect individual connections to all households in the Settlement as proposed in the Project’s infrastructure improvement initiatives for the Settlement. h) Increase of Morbidity, and Proposed Mitigation Measures Highly discouraged under this Report, as discussed above, is re-installation of PAPs to new areas outside the beneficiary settlement. Subsequently, the potential impact of increase in

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement morbidity as a result of implementation of the Project is all expected to be within the boundaries of the beneficiary Settlement. In the Project beneficiary Settlement, during the engineering works phase, expected are negative impacts with potential undesirable effects on the health and safety of residents from the beneficiary community. As noted from the foregoing discussion, there are structures that will be damaged toward effective implementation of the Project. Of particular interest to this section are verandas, manholes, water distribution lines, drainages, water tanks, septic tanks, sewer pipelines, and toilets. Damage to these structures without providing adequate mitigation measures will result to impacts with adverse potential effects on the health and safety of PAPs as well as residents from the beneficiary community. In connection, for the mitigation measures to follow to alleviate the adverse potential impact of increase of morbidity, refer to the relevant sections above, which discuss them in-depth. Figure 13: Affected Water Tank and Solid Waste that has accumulated over Time in Swahili Informal Settlement Affected water tank belonging to Machakos Water and Sewerage Company

Solid waste accumulated over time

Additional effects of Project activities on the health and safety of PAPs as well as beneficiary community, and the proposed mitigation measures, are addressed by the Environmental and Social Management Plan (ESMP) developed for the Settlement through the ESIA Study. This plan covers these in details. Thus, implementation of the mitigation measures proposed in this RAP report toward alleviating the adverse potential impacts of increase in morbidity as a result of Project activities, should be undertaken alongside those proposed under the ESMP developed for the Settlement through the ESIA Study. This is critical in ensuring the investments that will be undertaken are socially, environmentally and economically acceptable. i) Disruption of Family and Community Values, and Proposed Mitigation Measures A probable outcome of the Project is temporary increase in the population of the Settlement as a result of persons from outside the beneficiary community migrating into the Project area in response to income opportunities. The population from outside may disrupt established community values with possible undesirable effects. A most viable mitigation measure is for the project to get its manual labour, to the extent possible, from the beneficiary community. j) Damage To Property Located Outside the Land Identified for Infrastructure Improvement During Construction, and Proposed Mitigation Measures During construction, should activities of the Project result to damage of property located outside the land identified for infrastructure improvement, the Property Owner shall contact the Project through the Informal Settlement’s grievance redress mechanism (which is discussed further under section 7.8: Grievance Procedure) to provide information and initiate the

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement claims process. The contractor shall be obliged to make the repairs needed prior to exiting from the job. Timing of the repairs may be determined by the Project Engineer, on behalf of the Project.

7.2.2 Potential Impacts of New Re-Installation Site As discussed above, the Project’s design is deliberately conceived toward largely utilising existing roads, road reserves and public passageways, (and minimising on compulsory acquisition of land). Noted also from the foregoing discussion: 1) There are structures on the identified road reserves and passageways. 2) Some of the structures are structures for housing and commercial use. 3) As the mitigation measures recommended illustrate, highly discouraged, particularly in connection to households, is new re-installation to sites outside the Settlement. For these reasons, potential impacts of new re-installation site are expected to be none, or if present, may be low. Where re-installation is eminent, highly recommended under this RAP Report is re-installation of affected populations within their pre-project settlements. This strategy is bound to significantly minimise on the potential impacts associated with new re- installation sites as discussed under Tables 22 and 23.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Table 22: Summary of the Evaluation of the Impacts of KISIP on Swahili Informal Settlement Element Yes/ No/ Result Mitigation and Attenuation N/A Does the Project entail: 1) The loss of land? Yes The number of PAPs in Swahili Informal Settlement is With respect to the PAPs forced to encroach on public land in lieu of estimated at 224. Slightly over 96% of these PAPs were compensation toward development of a public infrastructure that established as encroachers – i.e., they had no legal KISIP’s current upgrading plans for the Settlement: a) Obliterates, and; rights to the land occupying, which was established to b) Suggests it will not utilise the land on which is located the be of public tenure. The non-encroachers were basically obliterated public infrastructure:- with respect to service provision. The proposed mitigation measure KISIP could take is, reclaim this However, among the slightly over 96% of encroachers land occupied by the obliterated public infrastructure, and award it is a PAP that acknowledges he has encroached on to the eligible PAP. This would restore the size of this PAP’s (and public land, but justifies this. According to this PAP: other similarly affected PAPs’) land to its original form - a form a) In the recent past, the local authority (whose which, the PAP states, would ensure effective implementation of jurisdiction covers the Settlement) constructed a storm KISIP in the Settlement. water drainage in the settlement. To do so, it had to compulsorily acquire land. However, it did not compensate him. In response, he extended his land in the opposite direction in a bid to retain its original land size. His effort resulted in encroaching on a road reserve. Note: This is explained in details under section 7.2.1. (b) on page 24 of the main text b) Current KISIP infrastructure design for the settlement: i) obliterates the existing storm water drainage constructed by the local authority; and, ii) proposes to use the road reserve that he encroached upon. c) And, there may be others in the Settlement with similar experience like him. 2) The loss of structures for: Housing? Yes The field survey conducted from the 19th October 2013 With respect, the Project could, as is appropriate by case: to 17th November 2013 established: a) For all – landlord, owner occupier and/or tenant: i) Two months a) Fifty-six (56) structures for housing would be advance notice to vacate; and, ii) PAP allowed to salvage material. affected. b) Additional for owner occupier and tenant: i) One time shifting b) All these structures are built on encroached land (i.e. allowance of Ksh. 2500; and, ii) Housing allowance for three (3) May 2014 39 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Element Yes/ No/ Result Mitigation and Attenuation N/A all the affected structures for housing fall under the months equivalent rental income value, or iii) Alternative term “squatter”). accommodation. c) About 94.64% (count: 53) of these structures are let, c) Additional for landlord and owner occupier: i) Cash compensation i.e. they are occupied by residential tenants who pay a at replacement cost (calculated without depreciation); ii) Ex-gratia at monthly rent to a landlord. 50% of compensation amount towards house building allowance; iii) d) And only three of the 56 structures for housing are Where partial loss of structure but residual is viable: repair unaffected owner occupier. section (cost at 25% of compensation) The number of persons that live in an affected structure d) Additional for landlord: i) Subsistence allowance equivalent to six for housing was determined to range from one to five, (6) months rental income with majority (≈78.18%) having not more than three Additionally, where permanent alternative accommodation of persons. Ascertained, the general composition of a households is necessary, highly recommended, to the extent possible, household with three persons was two adults (man and is re-settlement within the Informal Settlement. This is vital to avoid wife), and one child. disruptions associated with relocation to new land areas Note: Annex 8.2 gives the list of PAPs, by category, nature of disruption and proposed mitigation measure (for each PAP). Commercial use? Yes Undertakings of income generation are on an estimated With respect, the Project could, as is appropriate by case: 35 sites that would be affected toward effective a) For all – landlords, owner occupiers, business tenants: i) Two implementation of the Project: months advance notice to vacate; ii) PAP allowed to salvage all a) These undertakings are generally micro- material. enterprises, employing between one (1) and ten (10) b) For landlords and owner occupiers: i) Cash compensation at employees:- with slightly over half (i.e. ≈ 53.6%), replacement cost (calculated without depreciation); and, ii) Ex- having only one (1) employee. A high number of gratia at 50% of compensation amount towards house building employees per undertaking were observed in allowance (for property owner); iii) Or where partial loss of undertakings on cooked food; structure but residual is viable: repair unaffected section (cost at b) Owners of the undertakings are a mix of structure 25% of compensation) owners and tenants; and, c) For landlords: i) Subsistence allowance equivalent to six (6) c) All these undertakings are encroachers on public months rental income land. d) For owner occupiers and business tenants: i) Housing allowance Besides this sort of income generation undertakings, is for three (3) months equivalent rental income value; ii) One time another which is let of residential rooms. (As noted in shifting allowance of Ksh. 2500; iii) Relocation to other site or loss of structures for housing above), out of the estimated alternative accommodation where possible. 56 structures for housing that would be affected on

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Element Yes/ No/ Result Mitigation and Attenuation N/A implementation of the Project, about 94.64% (count: 53) are let. 3) Disruption to vehicle Yes It is potentially upsetting in the absence of a good Respecting, the mitigation measures this RAP report proposes is for movement and pedestrian traffic plan. Particular concerns raised, which are the contractor to draw an engineering works schedule that provides access through the settlement relevant to this RAP Report, are with respect to impact for all works proposed for the Settlement to be staggered by short to: distances along a road, as well as be accomplished by specific a) Businesses, where business owners’ worries were geographical groups. This should be in such a way that: observed as: a) loss of or reduced revenue; and, b) loss a) Provided is movement of vehicles through the Settlement when of clientele; and, work is underway, and maintained is pedestrian access through the b) Physically disabled persons, in particular those using construction zone; & wheel chairs and clutches, whose worries were b) Disruption to vehicle and pedestrian access through the Settlement movement through the construction site. is minimised to the extent possible. These mitigation measures proposed should be implemented alongside the environment management plan developed under the ESIA Report of the Project. 4) The loss of access to: Natural resources? N/A N/A. On the land on which the proposed infrastructure N/A improvements will be carried out, no part was observed to: a) Be a protected area that takes the complete ban on the exercise of private rights; and, b) Have a predominant land use comparable to a park. The predominant land use of the informal settlement is residential. Health facilities? N/A N/A. On the land on which the proposed infrastructure N/A improvements will be carried out, no health facility was observed to be constructed on it; and, when improvements on the Settlement’s road network commences, it will be undertaken in phases, which will allow movement in, out and within the Settlement. Water and Sanitation? Yes On the way leaves proposed to lay the pipelines are a) Undertaking of group jobs as described under “3” above.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Element Yes/ No/ Result Mitigation and Attenuation N/A manholes, sewer lines, and water distribution lines. b) On interruptions of water supply services: the Project shall ensure These provide service to households and businesses in affected households are supplied with water by use of either water the Settlement. They will be affected during tanker(s), temporary pipes called “high-lines”, or both as is engineering works phase of the Project. appropriate. In connection to the high-lines, the Project shall install them in close collaboration with the water and sewerage company responsible for these services in the Settlement; and, they shall only be removed after the affected households and plots have been connected to the formal system. c) Regarding interruptions to sewerage services: if possible, not damage the existing system; and, if this is not possible, consider having a temporary diversion system which discharges to the main sewer line. Alternatively, provide temporary toilet facilities. On completion of construction of the formal sewer infrastructure, the Project shall effect individual connections as proposed in the infrastructure improvement design for the Settlement. Energy? Yes 1. Implementation of the engineering works phase of The Project shall: a) work in close collaboration with the network the Project will affect: service provider responsible for electrical energy transmission, A total of 17 electricity poles, with electricity lines distribution, and retailing throughout the Settlement; b) ensure supplying electricity to households in the informal sufficient notice of power disruption is given, as per the laws and settlement. These were observed on 2 of roads regulations of Kenya governing the industry; c) ensure that targeted for infrastructure improvement; and, disconnection of power supply to the Settlement, and which is as a 2. These structures will be shifted toward effective result of Project activities, should take place during the day only, and implementation of the Project. Thus disconnection of preferably on a day that will have the lowest impact on businesses, power supply will be necessary, interrupting electricity such as a Sunday; and, by nightfall, power supply is restored; d) the supply to the Settlement. The situation is expected to be total number of hours of interruption shall be small as possible. This is temporary. critical, in particular not to deteriorate security in the Settlement. Other Flooding during rains, thus affecting both community a) Encouraging construction to take place during dry weather members and existing infrastructure such as residential conditions to reduce flooding; and, homes and roads. b) Providing appropriate alternative wastewater disposal method during construction process. 5) The loss of revenue? Yes Refer to 2 (The loss of structures for commercial use), Refer to 2 (The loss of structures for commercial use); and 3, and 3 (Disruption to vehicle movement and (Disruption to vehicle movement and pedestrian access through the

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Element Yes/ No/ Result Mitigation and Attenuation N/A pedestrian access through the settlement) settlement) 6) The re-installation of Yes Refer to 2 (The loss of structures for housing) Refer to 2 (The loss of structures for housing) populations? 7) Increased morbidity? Yes Damage to the following structures without providing a) Refer to 4 bullet 3 (Loss of access to water and sanitation). adequate mitigation measures is anticipated to result to b) Additional effects of Project activities on the health and safety of impacts with adverse potential effects on the health and PAPs as well as beneficiary community, and the proposed mitigation safety of PAPs as well as residents from the beneficiary measures, are covered by the environmental and social management community: verandas, manholes, water distribution plan developed for the Settlement through the ESIA Study. This plan lines, drainages, water tanks, septic tanks, sewer covers these in details, and it is the proposal of this RAP report that pipelines, and toilets. the mitigation measures in proposes under this subject be implemented alongside the environmental and social management plan towards ensuring that the investments under KISIP are socially, environmentally and economically acceptable. 8) Disruption of family and Yes Likely temporary increase in the population of the The Project, to the extent possible, to get manual labour from the community values? beneficiary settlement due to in-migration in response beneficiary community. to income opportunities. 9) Disruption of socio- Yes Similar to ‘6’ above Similar to ‘6’ above cultural or cultural values? 10) Damage to other property Likely is damage to property located outside the land The Property Owner shall contact the Project through the Informal during construction. identified for infrastructure improvement during Settlement’s grievance redress mechanism to provide information and construction initiate the claims process. The contractor shall be obliged to make the repairs needed prior to exiting from the job. Timing of the repairs may be determined by the Project Engineer, on behalf of the project.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Table 23: Potential Impacts at New Re-Installation Site Item Yes/ No/ Result Mitigation and Attenuation N/A 1) Is re-housing necessary? Yes An estimated fifty-six (56) structures for housing With respect, the Project could, as is appropriate by case: would be affected toward effective implementation of a) For all – landlord, owner occupier and/or tenant: i) Two months the Project. advance notice to vacate; and, ii) PAP allowed to salvage material. About 94.64% (count: 53) of these structures are let. b) Additional for owner occupier and tenant: i) One time shifting All the structures for housing are encroachments on allowance of Ksh. 2500; and, ii) Housing allowance for three (3) months public land: land whose use is provided for as road, equivalent rental income value, or iii) Alternative accommodation. road reserve or public passageway. c) Additional for landlord and owner occupier: i) Cash compensation The number of persons that live in an affected at replacement cost (calculated without depreciation); ii) Ex-gratia at structure for housing ranges from one to five, with 50% of compensation amount towards house building allowance; iii) majority (≈78.18%) having not more than three Where partial loss of structure but residual is viable: repair unaffected persons. Ascertained, the general composition of a section (cost at 25% of compensation) household with three persons was two adults (man d) Additional for landlord: i) Subsistence allowance equivalent to six and wife), and one child. (6) months rental income Additionally, where permanent alternative accommodation of households is necessary, highly recommended, to the extent possible, is re-settlement within the Informal Settlement. This is vital to avoid disruptions associated with relocation to new land areas 2) What persons are affected? Yes Refer to “1” above Similar to “1” above 3) Is there any loss of: i. Agricultural land? N/A The re-installation site highly recommended for an N/A affected person, to the extent possible, is the beneficiary Informal Settlement. And, the predominant land use, both regulated and unregulated, of the informal settlement is residential ii. Parks? N/A The re-installation site highly recommended for an N/A affected person, to the extent possible, is the beneficiary Informal Settlement. And, the informal settlement is not a protected area that takes the complete ban on the exercise of private rights; and, no part of it has a predominant land use comparable to a park May 2014 44 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Item Yes/ No/ Result Mitigation and Attenuation N/A iii. Trees? N/A N/A N/A 4) Is the new site difficult to N/A The re-installation site highly recommended for an N/A access or subject to affected person, to the extent possible, is the inundation? beneficiary Informal Settlement. This is attainable, and ensures maintenance of similar lifestyle 5) Does the new site improve N/A Similar to ‘4’ above N/A mobility of the populations? 6) Is: i. Solid waste generated? N/A The re-installation site highly recommended for an Improvement of solid waste management in the Settlement is one of the affected person, to the extent possible, is the interventions of the Project beneficiary Informal Settlement. Solid waste is generated in the beneficiary informal settlement. ii. There an appropriate N/A The re-installation site highly recommended for an Improvement of solid waste management in the Settlement is one of the disposal site? affected person, to the extent possible, is the interventions of the Project beneficiary Informal Settlement. Poor solid waste management is an observable problem within the beneficiary community. 7) Is: i. Liquid waste generated? N/A The re-installation site highly recommended for an Improvement of liquid waste management in the Settlement is one of affected person, to the extent possible, is the the interventions of the Project beneficiary Informal Settlement. Liquid waste is generated within the beneficiary Informal Settlement. ii. There an appropriate N/A The re-installation site highly recommended for an Improvement of liquid waste management in the Settlement is one of disposal system. affected person, to the extent possible, is the the interventions of the Project beneficiary Informal Settlement. Evident within the beneficiary community is poor liquid waste management. 8) Is there an adequate N/A The re-installation site highly recommended for an Improvement of sanitation services in the Settlement is one of the sanitation system in affected person, to the extent possible, is the interventions of the Project place? beneficiary Informal Settlement. The Project’s

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Item Yes/ No/ Result Mitigation and Attenuation N/A beneficiary area has an inadequate sanitation system 9) Is any soil erosion likely to N/A N/A N/A occur? 10) Are the drainage systems N/A The re-installation site highly recommended for an Improvement of drainage system of the Settlement is one of the adequate? affected person, to the extent possible, is the interventions of the Project beneficiary Informal Settlement. The Project’s beneficiary area suffers inadequate drainage. 11) Are groundwater N/A The re-installation site highly recommended for an One of the proposed interventions for the Settlement by the Project is to resources likely to be affected person, to the extent possible, is the minimise this threat by implementing improved systems of human polluted? beneficiary Informal Settlement. Threat to waste disposal, wastewater disposal, drainage, and solid waste groundwater sources is real within the beneficiary management. settlement at present due to the Settlement’s inadequate sanitation situation. 12) Is there likelihood of N/A The re-installation site highly recommended for an As discussed under Section 7.2 negative impacts on the affected person, to the extent possible, is the health of the displaced beneficiary Informal Settlement. This predisposes persons? these persons to the potential impacts of the Project as discussed under Section 7.2 13) Is there a plan for the N/A The re-installation site highly recommended for an Vis-à-vis, the Project’s RPF recommends, as part of Project maintenance of the site? affected person, to the extent possible, is the development, the beneficiary community be mobilised into Local beneficiary Informal Settlement. In this Project Action Committee to take charge of local management and security of beneficiary area, as cautioned in KISIP’s RPF, the assets financed under KISIP. gains made by implementing KISIP can easily be eroded through lack of maintenance and participatory management.

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7.3 Eligibility Eligibility in this report is used in the context of the person that is entitled to or qualifies for any of the following provisions: compensation, resettlement, and rehabilitation assistance. Under this report, a person is determined amongst those that have qualified for any of the identified provisions when s/he meets in full the following conditions: a) Part or whole parcels of his or her land is tagged for compulsorily acquisition for the effective implementation of the Project; b) S/he occupied this land earmarked for project activities, prior to the cut-off date. c) His or her rights or claim to the tagged land falls into any of the following categories: i. Formal legal rights to land as recognised by the national and customary Laws of Kenya. Persons considered here are those that hold leasehold land, freehold land and, land held within the family or passed on through generations. ii. No formal legal rights to the land or assets at the time the census begins, but has recognised claim of use of such land or ownership of assets through the national and customary Laws of Kenya. Persons taken into account here are those that come from outside the country and have been given land by the local dignitaries to settle, and or to occupy. iii. No recognisable legal rights or claim to the land s/he is occupying, using or getting his or her livelihood from. Persons allowed under this class include encroachers and illegal or bona fide occupants. An affected person who satisfies paragraph (a) and (b), and his or her land tenure complies with either sub-paragraph (i) or (ii), is determined under the Project as eligible for compensation, resettlement and rehabilitation assistance for the land, building or fixed assets on the land and building taken by KISIP. The compensation is in accordance to the conditions of KISIP’s RPF. An affected person who satisfies paragraph (a) and (b), and his or her land tenure complies with sub-paragraph (iii), is determined under the Project as eligible for resettlement assistance in lieu of compensation. In addition, s/he is allowed relocation assistance in accordance to the conditions of KISIP’s RPF. Slightly over 96% of PAPs in Swahili Informal Settlement satisfy paragraph (a) and (b), and their land tenure complies with sub-paragraph (iii). Vis-à-vis, they are determined under the Project as eligible for resettlement assistance in lieu of compensation. In addition, they are allowed relocation assistance in accordance to the conditions of KISIP’s RFP. The rest of the PAPs satisfy paragraph (a) and (b), and their land tenure complies with (ii). These PAPs are basically with respect to service provision. Annex 8.2 gives the list of PAPs by eligibility. 7.4 Valuation and Compensation for Losses The foregoing discussion informs that assets will be compulsorily acquired toward effective implementation of the Project. The nature of losses anticipated due to this action of the Project include: a) “title rights or other rights to structures constructed on the existing roads, road reserves and public passageways”; and, b) “non-corporal elements of commercial funds”. The duty of the Project is to promptly make just compensation to the affected persons for the losses incurred. Respecting:

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1. For losses falling under “title rights or other rights to structures constructed”: The just compensation value is an amount not less than the market value of the asset as at the time of the cut-off date. If payment of this compensation value is not made at the time the just compensation value is fixed, the Project will open a special account into which it shall pay interest on the amount awarded at the prevailing bank rates from the time the just compensation value was fixed until the time of payment. Thus the total amount paid at the time of payment will include the additional amount due to interest, which accounts for inflation over the period. Assets in Kenya are valued on the principal of ‘market value’. Under the Action described in this report, market value will be understood to mean an amount equal to or greater than the replacement value (calculated without depreciation) of the affected asset as at the time of the Project compulsorily acquiring the asset. 2. For non-corporal commercial loss: The compensation value is not less than the value of real benefits declared to fiscal authorities over the last year prior to cut-off date. Following, on the just compensation value, the Project could budget on a figure as presented in Table 26, and disaggregated by PAP as presented in Annex 8.2 and the valuation report presented together with this report. The compensation value presented in this report is fixed through a combination of consultations with the affected persons as well as beneficiary community and the Project’s appointed licensed valuer’s expertise.

7.5 Resettlement Measures The Project will ensure total compensation of PAPs takes place prior to commencement of its engineering works phase. Respecting, the Project will constitute a Resettlement Implementation Committee (RIC) prior to compensation, and as part of the resettlement implementation process of the Project. This RIC will be directly charged with managing the resettlement process, with an overall objective of easing the process of resettlement. The RIC will be based within the appropriate department of Machakos County Government, and the County Government will facilitate it to establish and maintain a Secretariat. This is in accordance to the guidance provided by the RPF of KISIP, that each beneficiary Municipality takes responsibility for local implementation of resettlement activities under KISIP. Specifically, the functions of the RIC may include, but not limited to: Ensuring all PAPs are duly registered; Protecting PAPs until adequately re-installed; Overseeing the efficient and effective management and use of the compensation fund provided under the Project; Incorporating an implementation schedule with popular backing, and which takes care of prejudices; Ensuring dissemination of accurate information on the Project to the public, and in particular on compensation matters; Monitoring and supervising resettlement activities under the Project; and, Preparing, as appropriate, reports relating to the fulfilment of its functions. This is significant for accounting purposes on the situation.

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The proposed composition of the RIC is, but not limited to, as follows:

Committee Member Role/Justification a) Representative(s) from the KISIP Team of Implementer of this resettlement instrument. the Local Municipality (Machakos County) b) Representative(s) from the KISIP Team of Provide overall supervision. The Project is housed the Ministry of Lands, Housing and Urban here. Development; c) Representative(s) from the National Lands Significant in providing advice, as well as Commission, and/or government recommending appropriate remedies on land matters, department responsible for matters relating as provided under Article 67 (2) of the Constitution of to land; Kenya (2010) d) Representative(s) from the Attorney Significant in providing advice, as well as General’s office, and/or government recommending appropriate remedies on legal matters. department responsible for matters relating Displacement and relocation raise legal issues which to justice and constitutional matters; need to be handled well. e) The Area Chief’s Office, which is taken to Significant with respect to facilitating security, represent the National Government Service; mobilisation, and conflict resolution f) Representative from the Kenya National This is a state organ that promotes respect, protection Human Rights and Equality Commission; and observance of: a) human rights; b) equality; and c) equity. It’s significant is providing advice, as well as recommending appropriate remedies on rights of PAPs as constitutionally provided, thus enhanced functioning of the Project. g) Representative from the government Significant in providing advice, as well as department responsible for matters relating recommending appropriate remedies on matters that to internal displacement; are raised with respect to internal displacement h) Representative from the local water and Significant with respect to handling the matters on sewerage network service provider water and sewerage services highlighted in this report i) Representative from the local network Significant with respect to handling the matters on service provider responsible for electrical electrical energy distribution highlighted in this report energy transmission, distribution & retailing in the settlement j) Two persons of the opposite gender Significant in ensuring PAPs issues are well nominated by PAPs from amongst their articulated number. The nomination of these persons should take into consideration representation of vulnerable persons; k) One (or two) persons from the non-state Significant in providing advice and recommendations actors, appointed by the implementing local that assist in deciding matters on PAP in the effective agency in collaboration with the KISIP manner. Team from the Ministry of Land, Housing

and Urban Development; l) Village Elder(s) (or Chairman or Chairlady) Significant with respect to representing PAPs, and the of the beneficiary informal settlement; community at large. These are persons elected by the community to represent them. m) The Chairman of the informal settlement’s Significant with respect to representing PAPs, and the Settlement Executive Committee (SEC), and community at large. The SEC is an institution

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Committee Member Role/Justification two other persons from the SEC, nominated established under KISIP at the community level to from amongst the committee members; facilitate various matters as may arise between the and, Project and the community. n) Representatives from other relevant stakeholders as appropriate Members of the RIC shall hold office for the period until all PAPs are adequately re-installed. No person shall be eligible to be a member of the Committee who does not fulfil the requirement of the integrity set out in Chapter Six of the Constitution of Kenya 2010; and, a member of the Committee may resign from office by notice in writing to the Committee. A member of the RIC may be removed from office, on recommendation of the RIC, if s/he is determined unable or unfit to discharge their functions. The RIC shall meet as often as is appropriate for the transaction of the business of the Committee. The quorum for the conduct of business of the Committee shall not be less than half the total number of members; and, a decision reached on any matter before the Committee shall be by a majority of votes of the members present and voting. On its constitution, the RIC may determine its own procedure and the procedure for any member of the Committee and for the attendance of other persons at its meeting.

7.6 Site Selection, Site Preparation and Relocation As discussed above, the Project’s design largely proposes utilisation of existing roads, road reserves, and public passageways so as to avoid displacement of populations to the extent possible. This was greatly achieved. However, parts of these public spaces have been encroached on. Observed on the encroached areas is a mix of structures, less than 4% of which it can be claimed have legal rights to be installed there, and they are basically with respect to service provision. About 48.70% (count: 56) of the affected structures are structures for housing, an estimated 94.64% (count: 53) of which are let. The foregoing discussion recommends mitigation measures the Project could undertake respecting associated PAPs. Emphasised, where permanent alternative accommodation of households is deemed necessary, highly recommended, to the extent possible, is re-settlement within the beneficiary Informal Settlement, which was established from the field survey conducted that it is achievable. This is vital to avoid disruptions associated with relocation to new land areas. Thus, new site selection, preparation and relocation is highly unlikely.

7.7 Housing Infrastructure and Social Services As discussed above, the Project’s design largely proposes utilisation of existing roads, road reserves, and public passageways so as to avoid displacement of populations to the extent possible. This was greatly achieved. However, parts of these public spaces have been encroached on. Observed on the encroached areas is a mix of structures, about 48.70% (count: 56) of which are structures for housing, an estimated 94.64% (count: 53) of which are let. The foregoing discussion recommends mitigation measures the Project could undertake respecting associated PAPs. Emphasised, where permanent alternative accommodation of households is deemed necessary, highly recommended, to the extent possible, is re-settlement within the beneficiary Informal Settlement. This is vital to avoid disruptions associated with relocation to new land areas. Thus, if the highly recommended mitigation measures are achieved, which is

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement highly likely, housing infrastructure and social services are aspects that will not be applicable under the proposed works for the Informal Settlement.

7.8 Environmental Protection and Management As discussed above, the Project’s design largely proposes utilisation of existing roads, road reserves, and public passageways so as to avoid displacement of populations to the extent possible. This was greatly achieved. However, parts of these public spaces have been encroached on. Observed on the encroached areas is a mix of structures, less than 4% of which it can be claimed have legal rights to be installed there, and they are basically with respect to service provision. About 48.70% (count: 56) of the affected structures are structures for housing, an estimated 94.64% (count: 53) of which are let. The foregoing discussion recommends mitigation measures that the Project could undertake. Emphasised in the recommendations is, where permanent alternative accommodation of households is deemed necessary, highly recommended, to the extent possible, is re-settlement within the beneficiary Informal Settlement. This is vital to avoid disruptions associated with relocation to new land areas. Thus, if the highly recommended mitigation measures are achieved, which is highly likely, concerns on environmental protection and management that are associated with relocation to new land areas outside the Project beneficiary areas are aspects that may not concern the Project.

7.9 Community Participation As discussed above, the Project’s design largely proposes utilisation of existing roads, road reserves, and public passageways so as to avoid displacement of populations. This was greatly achieved. However, observed from the field survey conducted in the Informal Settlement between October and November 2013, there are structures on these public spaces, slightly over 96% of which are considered encroachments. About 48.70% (count: 56) of these structures were observed as structures for housing, an estimated 94.64% (count: 53) were let. Highly recommended under this RAP Report is re-installation of households within the beneficiary Informal Settlement, which was established as highly possible. Discouraged is re-installation of PAPs to new land areas outside the beneficiary Informal Settlement. Community contributions that take place will therefore be limited to within the beneficiary Informal Settlement. In connection, the Project will encourage community contributions on: a) Determination of genuine PAPs; b) Determination of an adequate compensation as per the Laws of Kenya and WB OP 4.12; c) Drafting, reading and signing of resettlement and compensation agreements; d) Payment of compensation; e) Resettlement activities; and, f) Implementation of post-project community support activities, if any.

7.10 Integration with Host Population As discussed above, the Project’s design largely proposes utilisation of existing roads, road reserves, and public passageways so as to avoid displacement of populations to the extent possible. This was greatly achieved. However, parts of these public spaces have been encroached on. Observed on the encroached areas is a mix of structures, about 48.70% (count: 56) of which are structures for housing, an estimated 94.64% (count: 53) of which are let. The foregoing discussion recommends mitigation measures the Project could undertake respecting

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement associated PAPs. Emphasised, where permanent alternative accommodation of households is deemed necessary, highly recommended, to the extent possible, is re-settlement within the beneficiary Informal Settlement. This is vital to avoid disruptions associated with relocation to new land areas. Thus, if the highly recommended mitigation measures are achieved, which is highly likely, the host population will therefore be the same population the displaced persons will be from. Concerns with host population are therefore anticipated to be low if not nil.

7.11 Grievance Procedures

7.11.1 Proposed Structure The Project recognises grievances are inevitable and can be of different levels. It therefore will encourage fearless expression of grievances; and, will not restrict redressing of the grievances. In redressing of the grievances, as was recommended from consultations with the community and KISIP county team (and which is consistent with the laws of Kenya), the Project will encourage use of the existing community structure established under KISIP, i.e. the SEC, as the first forum. This it will do so in an attempt to resolve the grievances in an amicable manner. If this fails, the SEC may refer it to the RIC as the second forum. If this fails, the Project, on the recommendation of the RIC, may refer the matter for arbitration. And, where all these avenues are exhausted without arrival of an amicable solution or consensual decision, the Project will not restrict recourse being had with the judicial institutions in place, namely the law courts, whose decision will be final and binding. In this regard, the County Government is obliged to provide, in particular to vulnerable and disadvantaged groups, the requisite assistance enabling them to present their case to such decision-making organs of government.

7.11.2 Proposed Average Timeline to Address Grievances During consultations with PAPs and the community, it was recommended that the period from the time a grievance is lodged with the SEC to when it is resolved by RIC should be two (2) weeks. This recommendation was largely influenced by the experience of SEC in so far handling KISIP related community concerns.

7.11.3 Reporting of Grievances a) A grievance can be made in writing (either through a letter or e-mail), by phone or in person. b) The grievance can be made on plain paper. c) The grievance shall contain the name, complete contact information of the PAP, and the facts on which the PAP intends to be addressed. d) The grievance shall be registered in a register of grievances to be kept by both SEC and RIC. e) The grievance shall be acknowledged with a unique reference number. Vis-à-vis, a grievance shall be numbered consecutively in each month according to the order of its institution: i.e. the day of the month it was received, and the grievance number (e.g. 12th March 2014, Grievance No. 1). f) The aggrieved PAP shall be issued with the acknowledgement of his/her grievance. g) A final decision reached on a grievance at a respective level shall be written, dated and signed by each member that was involved. Reasons for the decision shall be contained in the signed record.

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Figure 14: Grievance Redress Procedure

Week 1 Grievance is Once a week, preferably on a saturday: PAP presents addressed 1. SEC holds a meeting to discuss non- grievance to SEC. immediately if it is an straightforward grievances presented to it SEC receives issue that is 2. SEC addresses grievances with PAPs in a grievance straightforward separate meeting.

Week 2 SEC presents to RIC RIC holds a meeting within the RIC addresses the grievance week to discuss grievances gievances it is unable to with the PAP resolve presented to it

Week 3

Grievance RIC is unable to address is presented Arbitrator addresses the grievance with PAP. If to arbitrator unable, the grievance is

The court when all the above avenues are exhausted withouth arrival of an amicable solution or consensual decision. Decision of the court will be final and binding.

7.12 Organisational Responsibilities In connection to the Action Plan described here, the Project, through the County Government, bears the primary duty of: 1) Administrator. 2) Notifying structure owners and the general public through the mass media (radio, television, and daily newspapers) and local administration of its intention to displace persons for the effective implementation of the Project. Added, a copy of this notice shall be served to each PAP – owners, occupiers and agents. This notice shall state: a) The Project’s proposal to displace persons; b) The public purpose for which the displacement is compelling; c) That the proposal or plan may be inspected at the implementing agency’s Headquarters or other appropriate office as the local implementing agency may determine; and, d) That any person affected may, by written notice, object to the transaction giving reasons for doing so, to the implementing agency within a period to be specified at the time of publication of the notice. 3) Taking and keeping thorough documentation, including of all holdings and assets affected by the Project.

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4) Observing to the greatest practical extent, fair resettlement and compensation practices, guarding against infringement of PAPs interests. Toward achieving this, among others, the Project through the local implementing agency: a) Shall bear the ultimate burden of resettlement and compensation; b) As appropriate, shall totally resettle and compensate PAPs prior to commencement of its works phase; c) Shall take into account the rights and freedoms of PAPs as set out in the Bill of Rights, and Articles 46 and 47 of the Constitution of Kenya (2010); d) Shall provide full information to PAPs on the procedures it applies and decisions it makes, including on valuation of their assets; e) Shall make all compensation payments in the presence of PAPs and a witness; and, f) May involve independent institutions to monitor related activities and report back on deviations. The independent institutions may either or not use their own funding, depending on the agreement entered with the Project. 5) Drawing resettlement and compensation agreements that will be signed by PAPs. 6) Monitoring and evaluating resettlement and compensation activities brought about by its implementation; and appropriately acting on the adverse effects observed.

7.13 Implementation Schedule As per the foregoing discussion, the implementation schedule of compensating PAPs will therefore be oriented to re-installing PAPs within the Project beneficiary areas. Its proposed broad components, respective timelines, and activities are as given under Table 24. The Project implementation team could improve on this, to make it as exhaustive and effective as possible.

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Table 24: Proposed Implementation Schedule Component Proposed Timeline Proposed Activities 1. Public Notice: 1. Base date: The date of publishing 1. Publish a public notice as per GoK regulations governing the industry, and deliver a copy of the notice to Notification to PAPs the notice. every person with interest on the Project affected asset. The person with interest on the Project affected asset 2. Timeline for component: Not should, in addition to the written notice, be orally notified. less than 30 working days 2. Publish the notice at the Area Chief’s Office as well as in at least two mass media publications with national circulation. Note: This component will be implemented as per the laws of Kenya (refer to Part VIII of the Land Act, 2012) 2. Public inquiry to: 1. Date from which a public 1. Determine the public inquiry date – which can be scheduled from the 31st working day of the base date. th th 1. Determine who are the inquiry can be scheduled: Not Proposed is the 46 to 50 working day of the base date. genuine PAPs – i.e. audit, before 30 working days from the 2. Publish a public notice as per GoK regulations governing the industry, giving the date of the public verify, and update the base date (the date of publishing inquiry. The notice: PAP register. the public notice under  Should be at least 15 days before the date of inquiry; 2. Receive representations/ Component No. 1)  Should call upon all with interest on the identified asset affected by the Project to present written objections on 2. Timeline: 30 working Days representations/objections on compensation before or on the date of the inquiry, and not later. compensation from those 3. Serve a copy of the notice (of the inquiry) to all persons with interest on the property with interest on the 4. Receive not later than the inquiry date written representations/objections on compensation project affected assets 5. Public hearing of representations/objections on compensation by persons with interest on the property. 6. Preparation of a written award report, in which made is a separate award of compensation to each person determined with a genuine interest on the asset affected by the Project. An award shall at the minimum contain:  The size of the asset to be affected;  The value of the asset as agreed from the Public Inquiry;  The amount of the compensation payable; and,  Where more than one person has an interest on the property, the shares payable to the persons. 7. Serve each person determined with an interest on the asset identified to be Project affected, with a notice of the award and offer of compensation (established to be due to them). Note: The public inquiry shall be conducted as per WB requirements and the applicable laws of Kenya (refer to the Land Act 2012) 3. Establishment of a 1. Date of commencement: After 1. Two days: Preparation Resettlement the public inquire (stated under 2. One day: The Project calls for a half to one day workshop attended by representatives of all stakeholders. Implementation Component 2) One of the agendas of the workshop would be refinement on the composition of RIC, and selection of Committee 2. Timeline: Three (3) working community representatives that would be part of the RIC. days 3. Note: Establishment of the RIC will be as per applicable Laws of Kenya - refer to Part IX [Settlement Programmes] of Land Act 2012 for guidance 4. Drafting, reading and 1. Date of commencement: After 1. One day: Drafting of the agreement by the Project. May 2014 55 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement Component Proposed Timeline Proposed Activities signing of resettlement establishment of the RIC (stated 2. One day: Presentation of the draft to RIC for their comments. and compensation under Component 3) 3. Two days: Reading of the draft resettlement and compensation agreements to or by persons with interest agreements 2. Timeline: Five (5) working days on the land; and, obtaining their comments 4. One day: Preparation of the final resettlement and compensation agreements Note: Annex 8.9 gives a sample of a draft agreement. It’s objective is to guide RIC to come up with one it agrees with 5. Payment of compensation 1. Date to commence: After 1. Signing of an agreement by a person with interest on the property in the presence of witnesses. preparation of final resettlement 2. Payment of compensation in accordance to individual awards established from the public inquiry process. and compensation agreements The awards will only be made to persons eligible to receive them (e.g. asset owner). (stated under Component 4) 3. Record of all payments of compensations 2. Timeline: Two (2) working days Note: The activities are spread over a period of five working days, or as determined by RIC as is best applicable; and, payment of compensation will be in accordance to the applicable Laws of Kenya and WB requirements. 6. Resettlement activities 1. Date of commencement: After 1. Serving all persons with interest on the property with a notice specifying date possession of the property payment of full compensation will vest in the Government, and by when PAP should vacate (stated under Component 5) 2. Field visits by a team constituted by the Project, preferably from the RIC, to monitor re-installation of 2. Timeline: Thirty (30) working PAPs. The Project will develop a checklist against which this activity apply to be useful days 3. Quarterly meetings, quarterly and annual reports 4. Other resettlement activities as may be determined by the Project Note: The activities will be implemented as per WB requirements and the applicable laws of Kenya 7. Implementation of post- 1. Date of commencement: Not 1. Evaluation – 2 working days: After completion of works phase, and probably after a year or a period the project community before completion of works phase Project may determine as appropriate, evaluation of how PAPs are settling in may be conducted. The results support activities, if any of the Project are not however envisaged to inform of massive disruptions of the PAPs lifestyle for reasons discussed 2. Timeline: Seven (7) working elsewhere in this report. Nonetheless, the Project has a duty to ensure that this does not occur, and should it days and it is ascertained it is a result of the Project, it has a duty to step in as appropriate and rectify the situation. The Project has a responsibility of ensuring PAPs enjoy the same or higher standards of living than before. 2. Implementation of the evaluation results – 5 working days 8. Grievances recording, Throughout the Project The Project will encourage PAPs to express their grievances at all times. The timeline for this component is reporting, and related therefore throughout the Project, from when PAPs are engaged to finish of the Project. Based on the mitigation action grievances reported, the Project can design mitigation measures

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7.14 Monitoring and Evaluation I. Brief on What is Monitoring and Evaluation Monitoring focuses on what is happening. It is a routine process of collecting and managing project data that provides feedback as pertains to the progress of a project. The process involves measuring, assessing, recording, and analysing the project information on a continuous basis, and communicating the same to those concerned25. On the other hand, evaluation focuses on what has happened. It is an episodic process that determines the impact of an intervention. The process involves reviewing both actions and assumptions behind an intervention, to determine as systematically and objectively as possible, the relevance, effectiveness, and impact in light of their objectives26. And, the relationship between monitoring and evaluation can be summarised as follows27: ITEM MONITORING EVALUATION a) Frequency Periodic, regular *Episodic (usually performed at the beginning, mid and end of an intervention cycle) b) Main action Keeping track or overview Assessment c) Basic purpose Improve efficiency, adjust work Improve effectiveness, impact, informed plans future programming d) Focus Inputs, outputs, process outcomes, Effectiveness, relevance, impact, cost- work plans effectiveness e) Information Routine systems, field observations, Same, plus surveys, studies sources progress reports, rapid assessments f) Undertaken **Project manager, and ***beneficiary **Project manager, ****supervisor, by community ****funders, external evaluators, ***beneficiary community g) Reporting to **Project manager, ***beneficiary **Project manager, ****supervisor, community, ****supervisors, ****funders, ***beneficiary community ****funders Notes: a) *The evaluation done at the beginning, which is referred to as a baseline survey, has been done and is presented in this resettlement instrument b) In the case of this resettlement instrument: ** Project manager is RIC ***Beneficiary community is SEC, PAPs, and the beneficiary community ***Supervisor and funders is the WB II. Objectives of Monitoring and Evaluation of this Resettlement Instrument From the foregoing discussion, it has been shown that on implementation of the engineering works phase of KISIP, PAPs will result. Toward effective implementation of the Project, these PAPs have to be adequately re-installed. This report, as per its preceding sections, presents the baseline conditions of the PAPs, (which were taken prior to engineering works of the Project),

25 Mulwa, Francis W; and, Simon N Nguluu. 2003. Participatory Monitoring and Evaluation: A Strategy for Organisation Strengthening (Second Revised Edition). PREMESE-Olivex Publishers, Nairobi, Kenya 26 ibid 27 ibid May 2014 57 CAS Consultants Consulting Engineers

Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement and proposes activities that are to be undertaken to ensure adequate re-installation of the PAPs. Implementation of the proposed activities is spread: some activities are applicable prior to engineering works phase of the Project, while others during the engineering works phase of the Project. It is significant to monitor and evaluate implementation of these activities as part “I” of this section (7.11) briefly justifies. The overall objective of monitoring and evaluating implementation of these activities is to ensure just re-installation of PAPs is achieved. Vis-à-vis, the specific objectives are: a) To assess whether the objectives of this resettlement instrument are realised; b) Where the assessment reveals that these objectives are not realised, follow-up measures are proposed and implemented; and, c) To ensure compliance with the instrument. As proposed under Section 7.5 above, the RIC will be responsible for the adequate monitoring and evaluation of the activities set forth in this resettlement instrument. Worth mentioning at this point, during preparation of this resettlement instrument, it was noted that KISIP has both a monitoring and evaluation unit, and an environmental and social safeguard team. These contributed in their different capacities in the preparation of this instrument. Thus, the capacity to undertake adequate monitoring and evaluation of this resettlement instrument exists within the borrower. In all this, the WB’s role will be to regularly supervise resettlement implementation to determine compliance with this resettlement instrument. III. Monitoring Plan of this Resettlement Instrument A monitoring plan indicates parameters to be monitored, institutes monitoring guidelines and provides resources including responsible persons or institutions, necessary to carry out the monitoring activities. Table 25 is a proposed monitoring framework that the Project could use. The “Key Activities” to be monitored under each “Specific Objective”, and their “Timeline”, are synonymous to the “Proposed Activities” and their “Proposed Timeline” under each “Component” as put in Table 24 (Table 24: Proposed Implementation Schedule). Successful completion of each proposed “Key Activity” marks as the indicator that clearly shows output of the activity has been achieved. To be noted, this monitoring plan takes into account the baseline conditions of PAPs prior to implementation of the engineering works phase of KISIP. Annex 8.2 gives the detailed baseline conditions for each of the PAPs. This is summarised in Tables 20 (This RAP Report’s Proposal of How Project Affected Person is to be Compensated/Mitigated), and 22 (Summary of the Evaluation of the Impacts of KISIP on Swahili Informal Settlement). This proposed monitoring framework could be improved on by the Project team/RIC as may be required, for a more comprehensive framework. Noteworthy, routine systems, field observations, progress reports and rapid assessments constitute the sources of information of action progress and indicator realisation of this monitoring framework. The frequency of reporting will be determined by RIC as is appropriate.

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Table 25: Proposed Monitoring Framework Specific Objective: Expected output: Public notice – notification to PAPs Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & by verification met to obtain the (in the way of (How difficulty or expected implementing conditions, type where (Of action expected results delivering the obstacle has been output) activity) including the count applicable) progress, and on schedule) expected addressed to where applicable) indicators) output) deliver on output)

Specific Objective: Expected output: Public inquiry to determine who are the genuine PAPs, and to receive representations/objections on compensation from those with interest on the affected assets Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

Specific Objective: Expected output: Establishment of a Resettlement Implementation Committee Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

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Specific Objective: Expected output: Drafting, reading and signing of resettlement and compensation agreements Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

Specific Objective: Expected output: Payment of compensation Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

Specific Objective: Expected output: Resettlement activities Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

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Specific Objective: Expected output: Grievances reporting Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly been (numbers output) Means of that have to be observed obstacles to attain responsible for show the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the by type where progress, and on schedule) expected addressed to count where applicable) indicators) output) deliver on output) applicable)

Specific Objective: Expected output: Post-project community support activities, if any Key Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties Addressing the Comments Activities (persons/ indicators (what has indicators (to achieve information/ (pre-conditions or obstacles difficulties or (to carry out institutions (that clearly show been (numbers output) Means of that have to be observed obstacles to attain responsible for the baseline achieved) achieved & verification met to obtain the (in the way of (How difficulty or expected implementing conditions, disaggregated (Of action expected results delivering the obstacle has been output) activity) including the count by type where progress, and on schedule) expected addressed to where applicable) applicable) indicators) output) deliver on output)

Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted On how to fill this framework, refer to Annex 8.8 Proposed Draft Monitoring Framework

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IV. Evaluation of the Resettlement Implementation The Project has a responsibility of ensuring PAPs enjoy the same or higher standards of living than before the Project. The risk of massive disruption of lifestyles of PAPs as a result of the Project is predicted to be low. However, evaluation of the impact of resettlement implementation is recommended to minimise and/or reverse the observed adverse impacts of the Project. In the middle of the resettlement implementation cycle, and upon completion of the Project, RIC will undertake respectively a mid-term evaluation and an end of project evaluation to determine whether the objectives of this resettlement instrument have been realised. The evaluations will take into account the baseline conditions presented here, and the results of resettlement monitoring. If the evaluations reveal that these objectives may not have been realised, RIC will propose follow-up measures. In this, the WB, as deems appropriate, will continue its supervision role. Table 23 provides an overall guide on the components to be evaluated under this resettlement instrument. Table 26: Guide to Evaluation of the Resettlement Implementation Proposed under this Resettlement Instrument Component Assessment Sources of Responsibility Frequency information Performance – Measurement of input Field observations, RIC, external Mid and end assessing efficiency indicators against progress reports evaluator, SEC, of the and accountability of proposed schedule and PAP, resettlement the resettlement budget beneficiary implementat implementation community ion cycle Impact – assessing Measurement of Field observations, RIC, external Mid and end successful re- adequate re-installation progress reports, evaluator, SEC, of the installation of each of PAPs taking into rapid assessments PAP, resettlement PAP account the baseline conducted during beneficiary implementat conditions monitoring community ion cycle

7.15 Cost and Budget The estimated value for the Action Plan is Ksh. 16,339,905 disaggregated as described under Table 26. Table 27: Proposed Budget for RAP in Swahili Informal Settlement BUDGET ITEM PROPOSED COST (KSH) 1. Notification to title holders and general public of intention to acquire land *2,800,000 2. Public inquiry 3,300,000 3. Payment of compensation 3,001,320 4. Resettlement activities 3,500,000 5. Implementation of post-project community support activities, if any 1,500,000 6. Total Costs 1 14,101,320 7. Resettlement Implementation Committee Activities (at 3% of the Total Costs 1) a) Establishment of a Resettlement Implementation Committee 423,040 b) Drafting, reading and signing of resettlement and compensation agreements c) Grievances redressing 8. Total Costs 2 14,524,360 9. Contingency (at 12.5% of the Total Costs 2) 1,815,545 10. GRAND TOTAL 16,339,905 Note: *Estimated for print, audio and television services

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement 8.0 ANNEX

8.1 Interview Guide Used to Collect Data on Project Affected Persons

Microsoft Word 97 - 2003 Document

8.2 Details of Project Affected Persons

Swahili Settlement - Entitlement

8.3 List of Participants to the Last Community Consultative Meeting Held in the Settlement

List of Participants to the Last Community Meeting

8.4 Notes on the Last Community Consultative Meeting Held in the Settlement

Notes on the last community meeting

8.5 Layout Map of the Planned Improvement in Swahili Informal Settlement

Adobe Acrobat Document

8.6 List of Research Assistants That Participated in the Study Name Phone Number 1. Khadija Ramadhan 0718132262 2. Moses Mbalu 0752335633

8.7 List of SEC Members That Were Actively Engaged at Supervisory Role in the Study Name SEC Official Title Phone Number 1. Omar Khamisi Committee Member 0722170393 2. 3.

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8.8 Proposed Draft Monitoring Framework Note: This framework can be improved on by the Project Team/RIC as may be required, for a more comprehensive framework Specific Objective: Expected output: Public notice – notification to PAPs Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain (persons/ (that clearly show the (what has been achieved) indicators (to achieve output) information/ (pre-conditions obstacles observed difficulties or expected output) institutions baseline conditions) (numbers achieved Means of that have to be met (in the way of obstacles responsible for & by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) 1. Submit a request to the KISIP – Machakos No request has been Request submitted No. of requests Prior to the base The request sent to National Land Commission County submitted submitted date - the date of the NLC (NLC) to acquire the land on publishing the the Project’s behalf. gazette notice.

2. Publish a gazette notice on KISIP – Machakos No gazette notice has Gazette notice No. of gazette Base date: The The gazette the land targeted for County in been published published notices date of publication with the compulsory acquisition collaboration with published publishing the gazette notice NLC gazette notice 3. Deliver a copy of the KISIP – Machakos No copy of notice has Copy of notice No. of copied Within 30 days Copy of delivery notice to the Registrar County in been delivered to delivered to Registrar delivered to of publishing the receipt collaboration with registrar Registrar gazette notice NLC 4. Deliver a copy of the KISIP – Machakos No copy of notice has Copy of notice No. of copies of Within 30 days Each affected notice to every person with County in been delivered to any delivered to all persons notice delivered of publishing the person signs on a interest on the land collaboration with person with interest with interest on the gazette notice delivery book NLC on the land land acknowledging receiving the notice 5. The person with interest KISIP – Machakos None of the persons All persons with No. of persons Within 30 days Chief baraza, and on the land should in County in with interest has interest orally notified with interest of publishing the any other that may addition to the written collaboration with been orally notified as well orally notified gazette notice be used to achieve notice, be orally notified. NLC the objective Publish the notice in at least KISIP – Machakos No copy of notice has Copy of notice No. of copies of Within 30 days Copy of the mass two mass media County in been published in at published in at least notice published of publishing the media publications publications with national collaboration with least two mass media two mas media and by media gazette notice in which the notice circulation. NLC publications with publications with was published national circulation national circulation 6. Submit a request to the KISIP – Machakos No request has been Request submitted to No. of requests Within 30 days Copy of the written National Land Commission County in submitted to NLC to NLC to acquire the land submitted to of publishing the request to acquire the land on the collaboration with acquire the land on on behalf of the Project NLC gazette notice Project’s behalf. NLC behalf of the Project Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Public inquiry to determine who are the genuine PAPs, and to receive representations/objections on compensation from those with interest on the project affected assets Key Activities Implementer Baseline Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain expected (persons/ indicators (what has been indicators (to achieve output) information/ Means (pre-conditions obstacles difficulties or output) institutions (that clearly show achieved) (numbers achieved of verification that have to be met (in the way of obstacles responsible for the baseline & by type of where (Of action progress, and to obtain the delivering the (How difficulty or implementing conditions) applicable) indicators) expected results on expected output) obstacle has been activity) schedule) addressed to deliver on output) 1. Determine the public inquiry KISIP – Machakos Public inquiry Public inquiry date Date of public Schedule from the 31st Minutes of meeting date County in date has not is determined inquiry working day of the determining the date collaboration with determined (inquiries). base date: Proposed NLC No. of public 46th to 50th working inquiries day of the base date 2. Publish a public notice as per KISIP – Machakos Public notice Public notice No. of public The public notice Copy of the gazette GoK regulations governing the County in giving the date giving the date of notices issued should be at least 15 notice, and the mass industry, giving the date of the collaboration with of the the public inquiry days before the date media used to widely public inquiry. NLC determined is published determined for the circulate it public inquire is public inquiry not published 3. Serve a copy of the notice (of KISIP – Machakos A copy of the A copy of the No. of copies of At least 15 days before Each person with the inquiry) to all persons with County in notice (of notice (of inquiry) the public notices the date determined interest on the interest on the property collaboration with inquiry) is not is served to all served for the public inquiry property signs on a NLC served to all with interest on delivery book with interest on the property acknowledging the property receiving the notice 4. Receive written KISIP – Machakos No written Written No. of Received not later than Copies of the written representations/ objections on County in representations/ representations/ presentations/ the inquiry date representations/ compensation collaboration with objections on objections on objections objections NLC compensation compensation are received & by received nature 5. Public hearing of KISIP – Machakos No public Public hearing of No. of public On the date Minutes of the public representations/objections on County in hearing of representations/ hearings to determined hearing compensation by persons with collaboration with representations/ objections representations/ interest on the property. NLC objections objections 6. Prepare a written award KISIP – Machakos No written A prepared No. of reports By the 5th working day Written award report report, in which made is a County in award report is written award written after the date of the containing at the separate award of compensation collaboration with prepared after report, which is public inquiry minimum: size of to each person determined with NLC the public informed by the affected asset, value a genuine interest on the asset inquiry public inquiry. of the asset as agreed affected by the Project. from the inquiry, amount of compensation payable, & where more than one person has an interest on the asset, the shares payable per person 7. Serve each determined PAP KISIP – Machakos No PAP is Each PAP is served No. of notices of By the 60th day, Each PAP that is with a notice of the award and County in served with a with a notice of award served, & starting to count from served signs on a offer of compensation collaboration with notice of award award and offer of by category of the base date delivery book (established to be due to them). NLC and offer of compensation PAP acknowledging compensation (established to be receiving their copy of May 2014 65 CAS Consultants Consulting Engineers

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Specific Objective: Expected output: Public inquiry to determine who are the genuine PAPs, and to receive representations/objections on compensation from those with interest on the project affected assets (established to due to them) notice of award and be due to them) offer of compensation (established to be due to them) Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

Specific Objective: Expected output: Establishment of a Resettlement Implementation Committee Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain expected (persons/ (that clearly show the (what has been achieved) indicators (to achieve output) information/ (pre-conditions obstacles difficulties or output) institutions baseline conditions) (numbers achieved Means of that have to be met (in the way of obstacles responsible for & by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) 1. Preparation KISIP – Machakos No representatives of Representatives of No. of By the 62nd Invitations send County stakeholder is invited stakeholders are representatives working day of toward establishment invited toward of stakeholders the base date of a Resettlement establishment of a RIC invited & by Implementation type of Committee (RIC) stakeholder 2. The Project calls for a KISIP – Machakos Representatives of A RIC is established – No. of By the 63rd Minutes of the half to one day workshop County stakeholders attend a it is constituted of representatives working day of workshop/ or the attended by representatives one day workshop elected representatives of stakeholders the base date workshop report of all stakeholders. One of Presented to the that attend the agendas of the representatives is a workshop & by workshop would be draft proposal of the type refinement on the composition of RIC, Composition composition of RIC, and as one of the agendas of RIC agreed selection of community Representatives of upon representatives that would RIC have not been No. of persons be part of the RIC. elected elected to RIC & by type of stakeholder and position Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Drafting, reading and signing of resettlement and compensation agreements Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain expected (persons/ (that clearly show the (what has been indicators (to achieve output) information/ (pre-conditions obstacles difficulties or output) institutions baseline conditions) achieved) (numbers achieved & Means of that have to be met (in the way of obstacles responsible for by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) 5. Drafting of the RIC No agreement has Agreement is No. of agreements By the 68th Drafted resettlement and been drafted drafted working day of agreement(s) compensation agreement the base date. Note: Drafting of the agreement can be done within a day 6. Presentation of the draft Drafters selected Draft agreement has Draft agreement has No. of committee By the 70th Reviewed to RIC for their comments. from RIC not been circulated to been circulated to members draft working day of agreement(s) other RIC members the rest of RIC for agreement is the base date. for their comments their comments circulated to, & by type of member No. of comments received from committee member & by nature 7. Reading of the draft RIC No PAP has PAPs have reviewed No. of PAPs that By the 72nd PAPs written resettlement and reviewed the the agreement, and have reviewed the working day of comments compensation agreements agreement(s) given their written draft agreement & the base date to or by persons with comments to the by category interest on the land; and, RIC No. of comments obtaining their comments received from PAPs, & by nature of comment 8. Preparation of the final RIC Final agreement(s) Final agreement(s) No. of agreements By the 73rd Prepared final resettlement and not prepared prepared preparared working day of agreements compensation agreements the base date Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Payment of compensation Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain (persons/ (that clearly show the (what has been indicators (to achieve output) information/ (pre-conditions obstacles difficulties or expected output) institutions baseline conditions) achieved) (numbers achieved Means of that have to be met (in the way of obstacles responsible for & by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) 4. Signing of an agreement RIC No agreement has Signed agreements by No. of signed By the 75th Signed agreements by a person with interest been signed by any persons with interest agreements working day of on the property in the person with interest on the property. The No. of the the base date. presence of witnesses. on the property signed agreements are signed witnessed agreements that are witnessed 5. Payment of RIC No compensations Compensations No. of PAPs By the 75th Signed records compensation in has been made have been paid in compensated & working day of proving accordance to individual accordance to by category and the base date compensation has awards established from individual awards type of award been paid to the public inquiry process. established from the persons eligible to The awards will only be public inquiry receive the made to persons eligible to process. compensation; and, receive them (e.g. asset The compensations The records show owner). have been made to that the persons eligible to compensation paid receive them (e.g. is in accordance to asset owner) individual awards established from the public inquiry process 6. Record of all payments RIC No records of Records of payments By the 75th Record of all of compensations payments of of compensation exist working day of payments of compensations the base date compensation Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Resettlement activities Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain (persons/ (that clearly show the (what has been achieved) indicators (to achieve output) information/ (pre-conditions obstacles difficulties or expected output) institutions baseline conditions) (numbers achieved Means of that have to be met (in the way of obstacles responsible for & by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) 5. As appropriate, serving RIC, SEC No PAP has been All PAPs have been No. of notices Notice by when The notices, all persons with interest on served with a notice served with a notice by served, & by to vacate can be minutes of the the property with a notice by when to vacate when to vacate category of PAPs issued chief’s barazas if specifying by when to immediately they were used to vacate after the 75th disseminate the working day of information the base date 6. Field visits by a team RIC, SEC No field visits have Periodic field visits No. of periodic Within 30 Progress reports, constituted by the Project, been made to have been made to fields made working days of PAPs preferably from the RIC, to objectively monitor objectively monitor re- payment of monitor re-installation of re-installation of installation of PAPs compensation. PAPs. The Project will PAPs The number of develop a checklist against visits could be which this activity apply to two, at the mid be useful and end of the 30 day period 7. Meetings and other RIC Meetings held No. of meetings Minutes of the resettlement activities as & of any other meetings, and other my be determined by the resettlement documentations as Project activity may be available, undertaken PAPs Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Grievances reporting Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain (persons/ (that clearly show the (what has been indicators (to achieve output) information/ (pre-conditions obstacles difficulties or expected output) institutions baseline conditions) achieved) (numbers achieved & Means of that have to be met (in the way of obstacles responsible for by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and indicators) schedule) addressed to deliver on output) Grievances recording, RIC, SEC, Chief, No grievance has Grievances have No. of grievances Reporting and Records of reporting, and related PAPs been reported, been reported, received & by nature recording: grievances and how mitigation action recorded, and recorded, and No. of grievances Throughout the they have been redressed redressed resolved & by nature resettlement addressed, minutes No. of the implementation of the grievance grievances cycle redress meetings addressed at SEC Addressing a held, PAPs level, at RIC level, at grievance: arbitration level, & at Within two Court level weeks of being Time taken to reported redress the grievances at the various levels Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted

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Specific Objective: Expected output: Post-project community support activities, if any Key Activities Implementer Baseline indicators Output Performance Time line Sources of Assumptions Difficulties or Addressing the Comments (to carry out to attain (persons/ (that clearly show the (what has been achieved) indicators (to achieve output) information/ (pre-conditions obstacles difficulties or expected output) institutions baseline conditions) (numbers achieved Means of that have to be met (in the way of obstacles responsible for & by type where verification to obtain the delivering the (How difficulty or implementing applicable) (Of action progress, expected results on expected output) obstacle has been activity) and/or indicators) schedule) addressed to deliver on output) 1. Midterm evaluation RIC, External A midterm A midterm evaluation No. of reports Middle of the Survey report, RIC, (optional) evaluator evaluation has not has been done resettlement PAPs been done implementation cycle 2. End of resettlement RIC, External No end of End of resettlement No. of reports At the end of the Survey report, RIC, implementation evaluation evaluator resettlement implementation resettlement PAPs implementation evaluation has been implementation evaluation has been done cycle done 3. Implementation of the RIC, SEC Results of the Results of the Numbers For the PAPs, progress evaluation results evaluations have not evaluations have been achieved & by midterm reports, RIC been implemented successfully type evaluation, implemented within the remaining days of the resettlement implementation cycle For the end evaluation, within 5 working days of approval of the report Notes: Comments can be on: a) emerging issues; b) recommendations to improve performance, results,/outputs, outcome, and impact of the implementation; and, c) any other issues noted As appropriate, the reports will contain information on achievements, challenges, limitations, emerging issues, and recommendations (for intervention in order to improve performance, results/outputs and impact of the implementation).

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Kenya Informal Settlements Improvement Project: Machakos Region Resettlement Action Plan Report for Swahili Informal Settlement

8.9 Sample Compensation Agreement Form Note: This is a sample form to guide the Project Team/RIC on how to develop one and which is specific to the Project.

COMPENSATION AGREEMENT FORMS WATER AND SANITATION SERVICES IMPROVEMENT PROJECT ADDITIONAL FINANCING (WASSIP AF) GEOTECHNICAL INVESTIGATION FOR RUIRU II DAM

NAME

ID NUMBER

CONTACT NUMBER TYPE & AREA OF CROPS/ TREES / STRUCTURE /

LIVELIHOOD COMPENSATIONS AND AMOUNT

DATE (PAP)

SIGN Date

FIELD OFFICER NAME

SIGN Date

Source: Athi Water Services Board

May 2014 72 CAS Consultants Consulting Engineers