RP1373v4REPUBLIC OF MOZAMBIQUE

MINISTRY OF AGRICULTURE

INSTITUTO NACIONAL DE INVESTIGAÇÃO AGRONÓMICA DE MOÇAMBIQUE (IIAM)

AGRICULTURAL PRODUCTIVITY PROGRAM FOR SOUTHERN AFRICA

(APPSA)

RESETTLEMENT POLICY FRAMEWORK (RPF)

Prepared by: Fernando Conta

3 January 2013

DEFINITION OF TERMS USED IN THE REPORT

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

1. “Census” means a field survey carried out to identify and determine the number of Project Affected Persons (PAPs) and their assets; in accordance with the procedures, satisfactory to the (APPSA), the Mozambican legislation and the World Bank Safeguard Policies. The meaning of the word shall also embrace the criteria for eligibility for compensation, resettlement and other measures, emanating from consultations with affected communities, the Provincial, District Governments and the Local Leaders.

2. Environmental and Social Management Framework (ESMF) is a safeguard instrument (document) which establishes a mechanism to determine and assess future potential environmental and social impacts of a project. The framework sets up mitigation, monitoring and institutional measures to be taken during design, implementation and operation of the project activities to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. This instrument has been prepared as a separate and stand-alone document to be used in conjunction with this RPF.

3. “Compensation” means the payment in kind, cash or other assets given in exchange for the taking of land including fixed assets thereon, in part or whole.

4. “Cut-off date” is the date of commencement of the census of PAPs within the project area boundaries. This is the date on and beyond which any person whose land is occupied for project use, will not be eligible for compensation. The PAPs must be informed about this and sign a compensation agreement.

5. “Project affected persons” (PAPs) means persons who, for reasons of the involuntary taking or voluntary contribution of their land and other assets under the project, result in direct economic and or social adverse impacts, regardless of whether or not the said Project affected persons physically relocate. These people will have their:

(a) Standard of living adversely affected, whether or not the

Project Affected Person must move to another location ;(b) Right, title, interest in any house, land (including premises,

agricultural, trees and grazing land) or any other fixed or movable asset acquired or possessed, temporarily or permanently, adversely affected;

(c) Access to productive assets adversely affected, temporarily or permanently; or

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(d) Business, occupation, work or place of residence or habitat adversely affected.

6. “Involuntary Displacement” means the involuntary taking of land resulting in direct or indirect economic and social impacts caused by:

(a) Loss of benefits from use of such land;(b) Relocation or loss of shelter;(c) Loss of assets or access to assets; or (d) Loss of income sources or means of livelihood.

7. ”Involuntary Land Acquisition” is the taking of land by government or other government agencies or private entities for compensation, for the purposes of a public project against the will of the landowner.

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

9. Resettlement Action Plan (RAP)” or “Resettlement Plan - is a resettlement instrument to be prepared by an independent consultant, when project activity locations are identified. The RAP must be approved MICOA prior to implementation.

10. ”Replacement cost” means replacement of assets with an amount sufficient to cover full replacement cost of lost assets and related transaction costs. This cost does not include the land itself according to Mozambican land law. It includes the cost of the existing crops, the houses, commercial structures, the ancillaries, etc. The PAP is entitled to land replacement and the preparation.

11. “Replacement cost for houses and other structures” means the prevailing cost of replacing affected structures of the quality similar to or better than that of the affected structures, in an area and. Such costs shall include:

(a) Transporting building materials to the construction site;(b) Any labour and contractors’ fees;(c) Any registration costs, and the payment of disturbance to the

PAP is incurring because of his displacement.

12. “The Resettlement Policy Framework (RPF)’ has been prepared as an instrument to be used throughout the APPSA implementation. The

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RPF will be disclosed to set out the resettlement and compensation policy, organizational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the program. The Resettlement Action Plans (“RAPs”) for the APPSA will be prepared consistent with the provisions of this RPF.

13. “Vulnerable Groups” refers to:

(a) Low capacity households - widows, the disabled, marginalized groups, low income households and informal sector operators;

(b) Incapacitated households – those no one fit to work and;(c) Child-headed and street children. This group is among other

things, characterised by low nutrition levels, low or no education, lack of employment or revenues, old age, ethnic minority and/or gender bias.

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LIST OF ABREVIATIONS

APPSA Agricultural Productivity Program for Southern AfricaCBO Community Based OrganizationsCOI Corridor of ImpactsDA District AdministrationDPA Provincial Directorate of AgricultureDPCA Provincial Directorate of Environmental AffairsDUAT Land use rightIIAM Institute for Agrarian ResearchUAS Umbeluzi Agrarian StationMCT Ministry of Science and TechnologyMICOA Ministry of Coordination of Environmental AffairsMINAG Ministry of AgricultureMMAS Ministry of Women and Social AffairsM&E Monitoring and EvaluationNGO Non-Governmental OrganizationPAP Project Affected PersonPES Economic and Social PlanPARPA Plan of Action for Poverty ReductionPNISA National Investment for the Agrarian SectorRAP Resettlement Action PlanRCoLs Regional Centres of LeadershipRIC RAP implementation ConsultantRPF Resettlement Policy FrameworkSADC Southern Africa Development Community

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CONTENTSEXECUTIVE SUMMARY...........................................................................................VII

1. INTRODUCTION..........................................................................................12. OBJECTIVE AND METHODOLOGY................................................................23. PROJECT DESCRIPTION..............................................................................34. OBJECTIVES OF RESETTLEMENT POLICY FRAMEWORK...............................45. IMPACTS OF INVOLUNTARY RESETTLEMENT..............................................46. LEGAL FRAMEWORK..................................................................................67 PRINCIPLES AND OBJECTIVES OF RPF........................................................98 RAP PREPARATION, REVIEW, AND APPROVAL..........................................139 CATEGORIES OF AFFECTED PERSONS......................................................1610 ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF PAPS.....................1711 ASSET VALUATION METHODS AND ENTITLEMENT..................................1812 RESETTLEMENT IMPLEMENTATION PROCESS...........................................2213 DELIVERY OF ENTITLEMENTS...................................................................2414 PUBLIC CONSULTATION AND PARTICIPATION..........................................2815 GRIEVANCE REDRESS MECHANISMS........................................................3016 CAPACITY BUILDING AND TRAINING........................................................3317. MONITORING AND EVALUATION..............................................................3618 BUDGETARY IMPLICATIONS AND FUNDING.............................................37REFERENCES........................................................................................................39ANNEX 1. SCREENING FORM...............................................................................40ANNEX 2. GUIDELINES FOR RAPS........................................................................42ANNEX 3. OUTLINE OF A RESETTLEMENT ACTION PLAN....................................46ANNEX 4. CONSULTATIONS................................................................................50ANNEX 5. PROCEDURES FOR CHANCE FIND OF PHYSICAL/ CULTURAL RESOURCES.........................................................................................................53

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EXECUTIVE SUMMARY

Mozambique is a developing country that has seen steady increase in the growth rates. Agriculture which employs a large majority of the population has contributed to this growth and development. The Government is committed to improve the quality and productivity of the agrarian sector to improve its self-sufficiency. The country has reached self-sufficiency with respect to some crops mainly maize and sugarcane and continues its efforts to reach self-sufficiency in other commodities like rice, having adopted a comprehensive plan. The country is engaging researchers, public sector, private sector and farmers in these efforts and through research and dissemination of sustainable technologies, Mozambique will reach these goals in a socially sustainable manner.

Following the regional agreement, Mozambique along with Malawi and Zambia, has agreed to develop the Agricultural Productivity Program for Southern Africa (APPSA) with funding from the World Bank.

Project objective and brief descriptionThe project objective of APPSA is to support Mozambique to undertake agricultural research and dissemination of enhanced techniques to improve the quality and quantity of production per hectare for Rice. The results of the research will be disseminated to the individual farmers, farmers organizations, private sector and other stakeholders in order to enhance agricultural productivity, increase incomes and reduce poverty; and increase the availability of the improved rice cultures in their specific areas of influence and beyond, even for export. It is expected that by further developing and dissemination, the project will also contribute to increased farm production and higher household incomes.

The project has 3 components:

Component 1: Technology Generation and Dissemination. This component will support technology generation and dissemination activities associated with Regional Centres of leadership (RCoLs). This will include research activities targeting the technology priorities defined through regional dialogue and consistent with a regional priority setting study. The component will also support regional dissemination programs or technology transfer sub-projects to link RCoLs to institutions in other countries and enable scaling up of innovations.

Component 2: Strengthening Regional Centers of Leadership. This component will support capacity building for RCoLs including infrastructure and equipment investments, capacity building and training for staff, and knowledge sharing and exchange. Component 3: Coordination and Facilitation. This component will finance coordination at the national level, which will be managed through the

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establishment of coordination units or teams within existing structures in implementing agencies.

The Institute for Agrarian Research (IIAM) of the Ministry of Agriculture (MINAG) will host and manage the APPSA in Mozambique. This institute includes the animal and agriculture research and has branches in several provinces.

Need for RPFA preliminary site assessment carried out for the preparation of this RPF revealed that physical displacement although unlikely may be possible as a result of sub-project implementation, even though the selected research sites are owned by the IIAM and are likely to be used by local population in some parts, though free of occupation for most parts. However, there is a possibility of occupation in the sites being considered for the establishment of the new RCoL in the Zambezia Province.

The Bank requires that the projects it is funding, must comply with its Operational Policies, including those related to social issues and adverse social impacts. This framework is aimed to guide APPSA in Mozambique to develop its activities in a socially sustainable manner specially the resettlement process.

This Resettlement Policy Framework (RPF) provides the basic principles and guidelines for the life of the project in order to avoid and/or minimize the potential conflicts/negative impacts in the selected areas arising from involuntary resettlement as a result of land/assets acquisition during project implementation. The RPF also seeks to increase the collaboration and harmony in cases where land will need to be acquired or access to land/livelihoods will be restricted. This RPF covers the sub-projects in the research sites that will need resettlement, if any. The framework recommends, however that the resettlement should be reduced to minimum or eliminated.

Project locationIn Mozambique, the project will be implemented in Umbeluzi and Chokwé in Maputo and Gaza Provinces, Sussundenga in Manica Province, Muirrua in Zambezia Province, and Nampula in Nampula Province.

Legal Framework for Land acquisitionIn Mozambique, since October 2012, resettlement is guided by the Decree n.º 31/2012, of August 8 2012. The objective of this legal tool is to try to minimize the conflicts that are common when resettling communities, especially in the mining sector. While having national legislation on resettlement is a positive move, there is need to ensure its compliance with the provisions of the World Bank OP 4.12 on Involuntary Resettlement including: i. Involuntary resettlement and land acquisition should be avoided

where feasible, or minimized, exploring all viable alternatives;

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ii. Where involuntary resettlement and land acquisition is unavoidable, resettlement and compensation activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to give the persons displaced by the project the opportunity to share in project benefits;

iii. Displaced and compensated persons must be meaningfully consulted and have opportunities to participate in planning and implementing the programs linked to their resettlement; and

iv. Displaced persons should be assisted in their efforts to improve their livelihoods; standards of living should be improved as a result of the resettlement program, or at least restored, in real terms, to pre-displacement levels or levels prevailing prior to the beginning of project implementation, whichever is higher.

Potential project impacts from involuntary resettlementThe potential impacts of resettlement are, among others, loss of income sources or means of subsistence, whether or not the affected people must move to another location. Other losses include temporal loss of access to land for cultivation and forests products; loss of agricultural crops, and fruit and wood trees; loss of income and livelihood; loss of residential and commercial structures; loss of cultural, religious, and community structures /facilities; and change in Livelihood for women and other vulnerable people that need to substitute their income because of adverse impacts.

It is therefore necessary to avoid or minimize the displacement of people through the careful consideration of alternative subproject designs and to the extent possible, avoid displacing people.

Key Principles Where physical and economic displacement of people; loss of assets, or impact on people’s livelihoods cannot be avoided, involuntary acquisition of land for the APPSA shall, as a matter of principle:

(a) Initially endeavour to utilize available freehold or public land; (b)Utilize land voluntarily donated by individual/communal owners.

The individual or communal owners must freely agree in writing to provide the land or property for the project-related activities.

(c) Demonstrate the commitment to ensure that the Project Affected Persons (PAPs) are meaningfully consulted and timely, fully and fairly compensated for their losses, if any, before land acquisition.

(d)Respect the formal and customary rights of the PAPs(e)Negotiate for land for implementation of the project activities,

using agreed compensation plans and the provisions of this RPF and prepare a Resettlement Action Plans (RAPs); and

(f) As a last resort only, acquire land through involuntary displacement, the implementing agency, in consultation with the land users, shall prepare RAPs that comply with the provisions of this RPF and the legislation for implementation of land acquisition,

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resettlement and compensation (they need to hire a registered consultant).

RPF ImplementationIn the event that any physical displacement should occur, and the fact that the details of involuntary resettlement and acquisition of land use rights are not known at present, specific RAPs will be developed and implemented according to the principles of this RPF. The scope and level of details of RAPs may vary with the magnitude and complexity of the resettlement activities involved as specified in the World Bank policy OP 4.12. Projects involving resettlement should be submitted to public consultation and participation according to the Public Consultation Directive to be obtained at the Ministry of Environment (MICOA) at Central level or at the Province Level (DPCAs). In this regard public consultations, through participatory appraisal will be mandatory for all projects requiring land acquisition, compensation and resettlement.

Grievance redress mechanismWhen people are subject to involuntary resettlement, they have the right to a grievance redress mechanism. The PAPs can disagree with the proposed compensation at several stages starting with consultations during the RAP preparation process. When dissatisfied with the compensation, a PAP can complain to the local authorities, the District and the Province. When the PAP does not reach a consensus with the project managers, he/she can appeal to the court, although this is not advisable because it is time and resources consuming.

RPF Coordination and ImplementationWhile project will make all efforts to avoid or mitigate involuntary resettlement, by either choosing alternate locations and/or re-aligning the boundaries for subprojects, minor resettlement in cases like Zambezia is expected.

If the screening process (included in this RPF) detects that land may be taken from communities or individuals involuntarily, or that it is occupied and/or being used for cultivation for example, a RAP will need to be prepared and shared with the World Bank for approval and then be disclosed before work begins on the site. This RPF and World Bank policy OP 4.12 will be used to guide the development of a RAP. Also, under Mozambican law all development projects must be screened using a standard checklist to identify whether a RAP is necessary. This screening should be undertaken by MICOA at province or central level as detailed in the Environment and Social Management Framework (ESMF) also prepared for Mozambique under APPSA.

Monitoring and evaluation The APPSA monitoring and Evaluation will include arrangements for monitoring compensation and resettlement activities. In this regard, before implementation of sub-project activities are commenced,

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evaluations will be made to determine whether PAPs have been paid in full and on schedule and whether they enjoy the same or higher living standards than those prevailing before the project commenced. Furthermore the impacts of compensation and resettlement activities shall be monitored using objectively verifiable indicators in order to determine and guide improvements in the PAPs standards of living. The indicators will quantitatively and qualitatively measure the physical and socio-economic status of the PAPs. To accomplish this task successfully, RAPs monitoring indicators tailored to specific site conditions will be developed.

Consultation, review and disclosureThis RPF advocates for extensive public consultation and participation of affected individuals/households in the planning and implementation of the RAP. The RPF preparation process has been informed by field visits and consultations with a range of stakeholders including farmers currently temporality cultivation IIAM research station lands, research station and provincial directorate staff in the field in addition to discussions in Maputo. This RPF further recommends that public consultation and participation shall take place through various forms and media, including meetings, request for written proposals/comments, completion of questionnaires/application forms and explanations of the project ideas and requirements by stakeholders at national, Provincial and District levels. PAPs will be consulted and will participate in the required assessments once the sub-project has identified the need to undertake an environmental and social screening and study. In this regard meetings will be held with stakeholders including affected groups to discuss potential resettlement issues.

The affected community members and other interested parties will be involved in the planning and implementation of social and economic studies needed for the preparation of the RAPs. Further, in the process of preparing and implementing the RAPs, representatives of the affected people will input their concerns in the processes through discussions on the potential costs of implementing the planned activities, enforcing the RPF provisions, mitigating impacts, rescheduling where necessary the timing of RAP activities.

BudgetSince this is only a framework rather than a specific RAP, the cost cannot be meaningfully estimated at this time. A more accurate estimate of the overall cost of resettlement and compensation would be determined during the socio-economic studies for RAPs. The APPSA would have to finance the Resettlement and Compensation because they are the parties who would be impacting on the affected people’s livelihoods. Disbursements based on budgetary requirements, established by the RAPs will be made through APPSA implementation site offices. The total estimate for the implementation of the various activities of this RPF is estimated at USD 110,000. The cost does not include resettlement and

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rehabilitation expenses, which will be determined separately after the socio-economic census of the affected areas and property and will be presented in the specific RAPs.

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1. INTRODUCTION

The Government of Mozambique is participating in a regional project, the Agricultural Productivity Program for Southern Africa (APPSA). The project will invest in agricultural research technologies and dissemination by supporting the strengthening and scaling up of regional centers of research and leadership on programs of regional importance.

The objective of APPSA will be to strengthen and scale up regional cooperation in generation of technology, training, and dissemination programs. For identified regional priority programs, APPSA will support efforts to scale up and develop national research programs into RCols. It is expected that by further developing and dissemination of the production technology, the project will also contribute to increased farm production and higher household income.

These activities build on all the relevant documents that have been approved by the Government of Mozambique and the Southern African Development Community (SADC) for the agricultural sector and the strategies to reduce poverty. Especially the activities consider the Plan of Action for Poverty Reduction (PARPA II), the plan that is guiding all the Government actions toward reducing poverty. The PARPA II follows the successful implementation of PARPA I. The PARPA include the actions to reduce lack of food and poor nutrition, reduction of incidence of diseases, the availability of clean and enough water, schools, transport, infrastructures, better housing, sanitation, etc. All these actions are considered in an integrated manner when annually designing the Economic and Social Plan (PES), which must also implemented in an integrated manner.

The Plan for the Investment for the Agrarian Sector (PNISA) 2013-2017 was designed to operationalize the PARPA, which describes the actions to be undertaken to increase the food production. This plan includes the farmer and company sectors that are engaged in the food production. The PNISA will greatly contribute to PARPA implementation because it will develop new crop varieties that are resistant to pests, more productive and simple to grow through research and dissemination of new agriculture techniques.

The Bank requires that the projects it is funding, must comply with its Operational Policies, including those related to social issues and adverse social impacts. This framework is aimed to guide APPSA in Mozambique to develop its activities in an Environmentally and socially sustainable manner especially the resettlement process which this PRF deals with.The ESMF prepared for project provides the process and procedures to minimize and mitigate the environmental and social impacts of project supported activities. This RPF complements the ESMF in addressing social

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safeguards in all activities which involve involuntary resettlement and thus comply with the World Bank’s OP/BP 4.12.

2. OBJECTIVE AND METHODOLOGY

At this stage little details are known about the exact location of the project centers and project activities like irrigation channels, access roads, infrastructure rehabilitation or crop demonstrations. The aim of the RPF is to establish a process for safeguarding the interests of the local people resident where the subprojects will be implemented and ensure their social sustainability.  It is a strategic guide to be used during the implementation of these subprojects for the preparation of RAPs, if necessary.

In general terms, the preparation of this RPF has involved the following steps, namely:

Meeting with the project authorities, and others to clarify some aspects of the project;

Documentation Review; Field visits and Consultation with stakeholders; and

o Field visits were undertaken to the Umbeluzi Agrarian Station (IAG) as well as to stations in Namcura, Mucelo and Nicoadala where discussions were held with farmers, research station staff, provincial directorate of agriculture and district economic activities director (details in Annex 5.

Preparation of the RPF.

Review of documentation

Several documents related to PARPA II, Rice production plan and MINAG Strategic Plan, the relevant World Bank Safeguards and Operation Policies were reviewed, and these will continue to guide project implementation. Mozambican legislation on resettlement and Cultural heritage was also reviewed.

Field Visits

To facilitate familiarization with the local social contexts, the site at IAG was visited and maps of these sites were also reviewed. These sites where the APPSA will be implemented include Umbeluzi and Chokwé in Maputo and Gaza Provinces, Sussundenga in Manica Province, Muirrua in Zambezia Province, and Nampula in Nampula Province.

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3. PROJECT DESCRIPTION

The APPSA has three components:

Component 1: Technology Generation and Dissemination. Component 1 will finance technology generation and dissemination activities associated with the commodity or commodity group1 being targeted by RCoLs. This will include research activities targeting the technology priorities defined through regional dialogue and consistent with a regional priority setting study. The component will also support regional dissemination programs or technology transfer sub-projects to institutions in other countries and enable scaling up of innovations.

Component 2: Strengthening Regional Centers of Leadership. This component will support core national capacity building activities taking place within the RCoLs and will be driven primarily by the specific needs of each RCoL. Investments in Mozambique will support capacity strengthening, primarily within the Instituto de Investigação Agrária de Moçambique (IIAM), but also in the Ministry of Agriculture (MINAG), the Faculty of Agronomy (UEM) and the Ministry of Science and Technology (MCT). To strengthen the capacity of the rice program, IIAM proposes to establish a new research facility around Quelimane in the Zambezia province of central Mozambique.

Component 3: Coordination and Facilitation. This component will finance three main types of activities: (i) research coordination at the national level (to be done by coordination units or teams established in the various implementing agencies); (ii) research facilitation at the regional level by CCARDESA (for example, planning and implementation of regional research and training activities, as well as dissemination of information among the participating countries); and (iii) policy analysis and dialogue to assess what policies are needed to facilitate technology generation and dissemination activities within the region.

In Mozambique, the project will be implemented by IIAM and the Ministry of Agriculture (MINAG). Project activities will take place mainly on research stations and to some extent on farmers’ fields. Existing research stations that are expected to be involved in the project include: Umbeluzi and Chokwé in Maputo and Gaza Provinces, Sussundenga in Manica Province, Muirrua in Zambezia Province, and Nampula in Nampula Province. In addition, a new site is expected to be developed, in Zambezia Province, around Namacurra, along the Mucelo River.

1 Research may target the commodity itself, or the larger farming system within which that commodity is produced.

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4. OBJECTIVES OF RESETTLEMENT POLICY FRAMEWORK

The objective of this RPF is to establish the process and procedures to guide the project implementation team to mitigate adverse impacts of involuntary resettlement on the local people, resident where the subprojects will be implemented and ensure the social sustainability of project activities. It is a strategic guide to be used during the implementation of the subprojects and the preparation of the RAPs, if necessary.

The RPF will help identify areas of potential negative impacts (on assets or on sources of livelihood) resulting from the project activities; and provides a clear and systematic framework to facilitate compensation, or relocation (when necessary) of the persons thus affected.

Scope of the RPFThis Resettlement Policy Framework, for the APPSA, provides an assessment of the social impacts of the project and develops appropriate mitigation plans. The mitigation plans comply with the appropriate national laws and guidelines, and with the World Bank’s policy directives related to OP/BP4.12 - Involuntary Resettlement. These policy directives require that in cases of involuntary resettlement, satisfactory relocation must be completed before the civil works for the project are undertaken and the acquisition of land, crops, trees, houses and the ancillaries. Appropriate action must also be taken to restore incomes and other resources lost by the Project Affected Persons (PAPs).

This RPF, prepared to assist in determining compensation and rehabilitation assistance to PAPs, is based on the overall principle that people shall not suffer net losses as a result of the project activities of APPSA. It contains categories of PAPs and their corresponding entitlements.

5. IMPACTS OF INVOLUNTARY RESETTLEMENT

5.1 Activities that are Likely to Cause ImpactsSince the actual project sites and land sizes required for subproject are yet unknown, potential impacts presented in the RPF are general and serve as a guideline for a thorough assessment once the sites have been selected and demarcated.

Visits were undertaken to the preliminarily selected location of IAG, Namcura, and Nicoadala to assess the potential impacts of this project on the social environment, mainly aimed to assess the risk of loss of income, assets, and resettlement that might arise from the implementation of this project in each selected site. These potential adverse impacts can also lead to social conflicts with local people. The consultant recommends avoiding assets expropriation to the extent possible in order to reduce the

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negative social impact of the project. The impact on socio-cultural heritage should be considered, according to the Law of Cultural Heritage and the World Bank’s OP/BP 11.03 on Physical/Cultural properties.

While some negative impacts are expected from this project, there are also some significant positive impacts that may counteract the negative ones. The positive impacts include: construction of infrastructures; technology transfer to small holders, women and men farmers and farmers organizations; and development of new improved crop varieties, improved income of the involved farmers and the region; improved organizational capacity of involved associations and farmers.

The APPSA is mainly focused on research and dissemination for the agricultural sector. These activities will be implemented in the existing MINAG premises. While most research sites are expected to be free of encroachments, some sites like that at Nicoadala and Namcura districts may require resettlement activities. In some cases, the removal of structures or crops may take place. Further, restriction of access to services or restrictions to movement may result from the need for safety and security of the research stations.

Specifically, the following rehabilitation and/or construction activities will require new or additional land:

Construction of access and service roads; Construction of different types of service buildings and operation

structures; Construction of the different types of irrigation channels and

structures and drainage structures for roads; Water drained from access roads may flow into people’s gardens

and onto land used for different purposes thereby creating gullies; Borrow pits and works camps construction may require additional

land for operation of the borrow pits and for transportation routes for construction materials.

Further, the agricultural technology research will require land. It is important therefore (at this stage of planning, identification and preparation of investment sub-projects) to ensure that the taking of land currently being used or demarcated for other activities is minimised or avoided, where possible.

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6. LEGAL FRAMEWORK

There are ten safeguard policies in the World Bank, created to inform decision making, ensuring that projects financed by the Bank are environmentally and socially sustainable.

This document deals with OP/BP 4.12 on Involuntary Resettlement primarily, but also addresses the OP 11.03 on Cultural Heritage briefly.

OP 4.11 Physical Cultural Resources (considering the Mozambican Law 10/88 of Dec 22) , the objective of this policy is to help countries to prevent and mitigate negative impacts generated by development projects on physical-cultural resources. For the purposes of this policy “physical-cultural resources” are defined as mobile or static objects, sites, structures, groups of structures, characteristic and archeological, paleontological, historical, architectonic, religious natural sceneries of great beauty or cultural significance. Such resources can be located in urban or rural areas, in surface environments, underground or under the sea. This policy is applied whenever negative impacts are expected in physical-cultural or religious properties (sacred areas, cemeteries, cult sites). This policy is applicable to projects that can directly or indirectly interfere with areas of cultural or religious interests, which are not expected, but it is recommended to consider this policy in the proposed project.

This is precautionary assessment as most research centers/stations were established in colonial era and have long established boundaries that are not known to include such resources, but as some stations were abandoned during the period of civil war, there is a possibility to find a grave. It would therefore be necessary for inclusion of “chance find” clause in building contracts and for simple procedures are in Annex 6 for addressing this. Technology dissemination activities would take place with participation and consent of farmers and would not target any known physical cultural resources.

OP 4.12 Involuntary Resettlement (and Comparison with Mozambican Decree n.º 31/2012, of August 8).

The objective of OP 4.12 is to (i) avoid or minimize involuntary resettlement, where feasible and explore all viable alternative project designs; (ii) assist displaced people in improving their former living standards, income earning capacity, and production levels, or at least in restoring them; (iii) encourage community participation in planning and implementing resettlement; and (iv) provide assistance to affected people regardless of the legality of land tenure.

This policy does not cover only physical relocation but any loss of income sources resulting in: (i) relocation or loss of shelter; (ii) loss of assets or

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means of livelihood; (iii) loss of income sources or means of subsistence, whether or not the affected people must move to another location.

In these cases the World Bank requires the establishment of a Resettlement Action Plan (RAP), based on a Resettlement Policy Framework (RFP).

Ownership of Land and Territory PlanningAccording to Article 3 of the Land Law (Law No. 19/97), land is owned by the state and cannot be sold or otherwise alienated, mortgaged or pledged.The Decree No. 60/2006 of 26 December regulates the Land Act for the Urban Land but this will not be applicable to these projects. It namely sets that the use and enjoyment of the land cannot be acquired in areas of partial protection namely along the rivers (5m).

Article 39 deals with the expropriation, providing that the compulsory purchase order to the payment of fair compensation to be calculated based on the criteria established in the Land Law and the RAP. 

The Land Law (Law 19/2007 of 18 July) aims to ensure the organization of national space and sustainable use of its natural resources, observing the legal, administrative, cultural and material conducive to social and economic development of the country, promoting quality of life and the protection of the environment.

Defines that it is the State and Local Government’s responsibility, to promote, coordinate and monitor spatial planning in an articulated fashion (Article 6). At the local administrative level, it sets as tools for land planning the Urban Structure Plans, General Plans and Partial Urban and Detailed Plans.

The Land Law is regulated by Decree No. 23/2000 of 1 July, which describes in detail the purpose and content of the instruments for land planning, and regulates the classification of soils. It also establishes that the approval of development plans includes a public participation process.

Table1 provides a comparison between Mozambican law and OP 4.12 with respect to compensation. However for the purposes of the project and the involuntary resettlement as a result of it, the provisions of the OP/BP 4.12 will take precedence over the National Law.

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Table 6.1: Comparison of Mozambican Law and World Bank OP4.12 regarding compensation

Category of Affected

People/Type of Assets

Mozambican Law (Decree n.º 31/2012, of August 8) World Bank OP 4.12

Land Owners: Statutory Rights

Land for land according to the Constitution, including transfer, disturbance and one full harvest allowance (Most PAPs prefer cash)

Preference for land-for-land compensation. If not, cash at full replacement value, including transfer costs

Land Owners: Customary Rights

Land for land according to the Constitution (and use rights (DUATs) to be included). People don’t care about DUAT as the is a plenty of land

Preference for land-for-land compensation, land of equal or equivalent value. If not, cash at full replacement value, including transfer costs

Land: Tenants No compensation. Generally there are no tenants for land unless in little semi-illegal cases as the land is not negotiable in Mozambique

Compensation based on value of residual rights held under the tenancy agreement, plus disturbance allowances, Are entitled to some form of compensation whatever the legal recognition of their occupancy.

Agricultural land users

Compensation in land, un harvested crops, disturbance allowance, new land preparation, seeds, sowing

Compensation in kind or cash for value of land; compensation at full replacement value for lost crops and economic trees and perennials, fully verifying or updating state lists of values, Entitled to compensation for crops, may be entitled to replacement land and income must be restored to pre-project levels at least.

Owners of structures

In-kind compensation or cash at full replacement value including labor, relocation expenses, and transfer costs. Added disturbance allowances. Entitled to in-kind compensation or cash compensation at full replacement cost including labor and relocation expenses, prior to displacement for Owners of "Non permanent" Buildings

In-kind compensation or cash at full replacement value including labor, relocation expenses, and transfer costs. Added disturbance allowances .Entitled to in-kind compensation or cash compensation at full replacement cost including labor and relocation expenses, prior to displacement for Owners of "Non permanent" Buildings

In-kind compensation or cash

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at full replacement value including labour, relocation expenses, and transfer costs. Added disturbance allowances .Entitled to in-kind compensation or cash compensation at full replacement cost including labor and relocation expenses, prior to displacement for Owners of "Permanent" buildings

Losers of livelihoods (farmers, business people, employees)

Key objective is restoration of capacity to generate incomes at least at levels prior to losses. Programs of assistance to achieve this objective. Compensation for periods of lost income.

Key objective is restoration of capacity to generate incomes at least at levels prior to losses. Programs of assistance to achieve this objective. Compensation for periods of lost income.

Please note: Decree n.º 31/2012, of August 8 is very poorly detailed in these aspects. The main guidance in Mozambique is OP 4.12. Most institutions are not using this decree as it is mostly confusing.

7 PRINCIPLES AND OBJECTIVES OF RPF

7.1 Current Land Acquisition MechanismsGenerally in the past, when the Mozambican Government wanted to build schools, health centres, and such infrastructure considered as for public use (public interest), there was no compensation provided for land acquisition. Please note that the land is owned by the state in Mozambique. In the rural areas, the beneficiary community, coordinated by the traditional leaders would provide the land and the affected persons would be allocated alternative land as compensation.

Where the development involves matters such as road construction or such other development which goes beyond the rural community, the procedures laid down in the land law is to create reserves - the Corridor of Impacts (COI) as public lands and no land rights can be acquired in this context. However, in some areas incidences have happened where project developers have acquired land for development without consulting the local communities and their leaders though it is compulsory to undertake these consultations according the previously mentioned law.

7.2 Basic Principles and Vision of the Resettlement Programme.This RPF for the APPSA recommends that if there is a need for involuntary resettlement, all measures must be in place to affect as few people as possible. Therefore, the principles of minimising harm, avoiding or minimizing resettlement are to be followed in all sub-projects of the APPSA.

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Where physical displacement of people; loss of assets, or impact on people’s livelihoods cannot be avoided, involuntary acquisition of land for the APPSA shall, as a matter of principle:

(a) Initially endeavour to utilize available freehold or public land; (b)Utilize land voluntarily donated by individual/communal owners.

The individual or communal owners must freely agree in writing to provide the land or property for the project-related activities.

(c) Demonstrate the commitment to ensure that the PAPs are meaningfully consulted and timely, fully and fairly compensated for their losses, if any, before land acquisition.

(d)Respect the formal and customary rights of the PAPs(e)Negotiate for land for implementation of the project activities,

using agreed compensation plans and the provisions of this RPF and prepare a RAP; and

(f) As a last resort only, acquire land through involuntary displacement, the implementing agency, in consultation with the land users, shall prepare Resettlement Action Plans (RAPs) that comply with the provisions of this RPF and the legislation for implementation of land acquisition, resettlement and compensation (they need to hire a registered consultant).

Where resettlement, asset acquisition, or impact on livelihood has to take place, this RPF shall be the reference document to guide the process for preparation of the RAPs. RAPs are necessary for land acquisition, compensation and resettlement to be done in a fair manner.

A RAP is a detailed and specific plan that contains information prepared for well-defined specific project activities. It contains detailed census information with the numbers and names of persons that are to be displaced or persons that are affected in some way or another, such as loss of shelter, loss of access to services and loss of means of livelihood. A RAP will contain information on property values, the basis and process for compensation. A RAP also contains specific work plans including dates when the PAPs are going to be compensated and relocated. If the RAP is not implemented by the committed dates, it should be updated.

RAPs contain specific and legally binding requirements to be followed by the project implementers; especially on how to resettle and compensate the affected persons before implementation of the project activities likely to cause the adverse impacts.

7.3 Resettlement Preparation and Implementation The APPSA will pay for the costs of RAP preparation, and the work should be done through a registered consultant. With this approach, the APPSA and the local officials may not undertake the census of the affected

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population, the inventory of assets to be taken, the valuation of those assets, themselves but seek consultant services to maintain impartiality and transparency.

The project shall further see to it that it supports this approach and provides the necessary financial and administrative resources. It is recommended that during the RAP implementation, the RAP consultant in coordination with the local authorities, set-up a Resettlement Committee with the following proposed composition to monitor RAP preparation and implementation, and address complaints from the PAPs:

Head of administrative Posts Two PAPS (one woman and one man, if applicable); Local community leaders

The objectives of resettlement preparation and implementation are to:

Provide an effective, systematic and efficient procedure and mechanisms for the implementation of compensation, resettlement and rehabilitation;

Determine the necessary and appropriate detailed list of activities including the time frames for all the stages of compensation, resettlement and post resettlement obligations;

Ensure that the development that follows in both the vacated and resettled land takes place in an orderly, timely, efficient and environmentally and socially friendly manner;

Plan for the systematic implementation of appropriate mitigation measures to avoid adverse consequences of social, cultural, economic and environmental integration with host communities and;

Ensure that the needs of the displaced and affected households are timely, smoothly and conveniently provided for, during the period of transition.

Where land acquisition is inevitable for the APPSA activities, the following procedure shall be adhered to.

The RAP consultant will ensure that:(a) Each PAP has detailed identification information, including name,

date and place of birth, next of kin, marital status, etc.;(b) The compensation preference (Cash or in kind) is clarified;(c) Number of persons she or he claims as household or homestead

dependants; (d) The amount of land available to the person or household when the

dossier is opened;

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(e) Assets – including structures, resources, crops, etc.; and(f) Socio-economic status.

The vulnerable groups should strongly be advised to choose in kind compensations or assisted to keep their cash safe. The PAPs compensation files should contain:

(a) The dated signed compensation receipts;(b) A photograph of the PAP when receiving his compensation the PAP

taken when receiving his compensation; and(c) Photograph oh the compensated asset.

Additional information will be required for individual’s eligibility for resettlement or compensation. This information will include:

Level of income and production; Inventory of material assets and any improvements made on the

land; Proposed compensation offers and draft agreements to be signed by

the affected persons and the developer; Details of alternative land (if applicable) inclusive of ancillary

support services such as transport for physical resettlement, provision for housing, provision of crop starter packs and food support or any other relevant assistance that may be required;

Details of resettlement after-care and assistance, where appropriate;

Available employment opportunities for the PAPs to participate in the project activities; and

Mechanisms for monitoring and evaluation.

The RAP will be prepared in close consultation with PAPs to ensure their needs and concerns are appropriately addressed. The PAPs should be given a reasonable time to vacate their premises after compensation (At least 3 months).

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8 RAP PREPARATION, REVIEW, AND APPROVAL

8.1 Steps Leading to the Preparation and Approval of RAPsThe extent and detail of screening for project sites and for planning and information needs will depend on the severity of impact. As of now, it is expected that the project sites at Nicoadala and Namcura would require a simplified RAP. However, the screening for all project sites (Annex 1) shall include, among other things, a baseline study and a census to determine the level of impact to PAPs, and their assets; and establishment of the cut-off date.

The APPSA will coordinate the project activities with the District Administrations, other relevant stakeholders and the Local Leaders in the project areas. As far as possible the local community development structures already existing at the district level shall be used.

Step 1 Preparation and Approval of Project ActivitiesThe APPSA or their consultant will prepare the project activities to be undertaken in the proposed sites, for the proposed construction, rehabilitation and maintenance works. RAP guidelines are in Annex 2.

Step 2 Establishment of the Cut-off-DateUsing participatory methods, the RAP consultant and the stakeholder District Consultative Committees, for the project area, will establish the cut-off date.

Step 3 Socioeconomic Surveys and CensusThe RAP consultant will carry out a socio economic survey and a baseline census; and collect any relevant additional information on the PAPs, land and the assets to be affected. The census will identify the PAPs (focusing on the individual household and vulnerable groups) and; assess their incomes and assets, for preparation of the RAP.

Step 4 Valuations of Assets and Determination of CompensationOn completion of the socio-economic survey and the baseline census, the RAP consultant will evaluate the assets and propose the compensation value. The compensation lists in the RAP should not contain names, only a code for each PAP. The PAP should be given his/her code to claim compensation. A separate list with the PAPs names should be kept by the APPSA and the consultant. This list should be kept confidential as it contains personal information of the each specific PAP and their compensation amount.

Step 5 Preparation of the RAPA RAP shall be prepared and include details of the socio economic survey and the census of affected persons and properties, in line with this RPF.

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Step 6 Evaluation and approval of the RAPThe APPSA shall forward the RAP, together with any additional information, to the respective institutions (MICOA, MMAS) and relevant stakeholders who together with the District Authorities and their teams at the district level, shall scrutinise them to ensure compliance with the relevant requirements.

General ConsiderationsAll construction activities that trigger OP 4.12 and therefore require resettlement action plans will be subjected to final approval by the World Bank, to ensure compliance with the Bank’s safeguards. The Bank will ascertain that land is actually acquired or access to resource is lost, denied, or restricted; and that the individual resettlement action plans are consistent with this RPF.

The World Bank shall provide final clearance and approval of the RAPs, which shall be in accordance with the applicable by-laws, sectorial requirements as well as the World Bank Policy requirements.

8.2 Public Consultation and ParticipationProjects involving resettlement should involve public consultation and participation according to the Public Consultation Directive to be obtained at the Ministry of Environment (MICOA) at Central level or at the Province Level (DPCAs). In this regard public consultations, through participatory appraisal will be mandatory for all projects requiring land acquisition, compensation and resettlement.

During screening there must be adequate consultation and involvement of the local communities and the affected persons. Specifically, the affected persons must be informed about the intentions to use the sites for the project activities, facilities and structures. The affected persons must be made aware of:

(a)Their options and rights pertaining to resettlement and compensation (in kind and in cash);

(b)The precise technically and economically feasible options and alternatives for resettlement sites;

(c) The process and proposed dates for resettlement and compensation;

(d)Effective compensation rates, at full replacement cost, for loss of assets, services or ancillary items; and

(e)The proposed measures and costs to maintain or improve their livelihoods and living standards.

Public consultations at the screening stage will aim at:(a)Disseminating concepts for proposed project activities with a view to

evoking project interest amongst the communities;

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(b)Inviting contributions and participation on the selection of project sites;

(c) Determining community willingness to contribute towards long term maintenance of the project facilities.

During public consultation, there is a need to negotiate compensation and resolve conflicts.

8.3 Template for the Design of Sub-Project RAPs A RAP must contain a complete inventory of all assets to be acquired, for which a full census shall be undertaken to register and document the status of the potentially affected population within the project impact area, their assets, their tenure status, and their sources of livelihood. All forms of land occupancy (including informal title) should be inventoried. The asset inventory and census should determine the cut-off date for entitlement to relocation assistance or other benefits from the project. In accordance with provisions of the RPF and the specific RAPs, all people moving into the project area after the cut-off date will not be entitled to any support. This should be clarified during consultations to the population. An outline of the RAP is in Annex 3.

A RAP will also contain a time-bound schedule for implementation. Compensation and assistance are to be based on the overall principle that people shall not suffer net losses as a result of the project.

The RAP for the APPSA, if any, shall give a detailed guidance on how to implement the provisions in the RPF, including institutional arrangements and budgets, based on the numbers of PAPs with entitlements under the RPF. Participation and involvement of stakeholders, particularly women, the poor and most vulnerable groups throughout the project, both during the period of planning and implementation, shall be incorporated in the process.

The RAP will follow the usual outline (OP/BP 4.12, Annex A), appropriately modified in order to take into account those matters dealt with in this RPF. The scope and level of detail of the RAP will vary with the magnitude and complexity of resettlement.

8.4 Approval and Public Disclosure of the RAPsOnce the RAP has been prepared, it must be forwarded to the respective line institutions such as the Ministry of Environment (MICOA). MICOA will send the RAP do relevant institutions for endorsement and recommendations. The World Bank will also endorse the RAP to ensure compliance with the Bank’s Operating Procedures. Once approved, like the other safeguards documents, the RAP will also be disclosed publicly both in-country and at the InfoShop.

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9 CATEGORIES OF AFFECTED PERSONS

PAPS may be characterised as those people who depend on a certain level of access and use of a given resource within the affected project area to maintain their standard of living. They include all families and their dependants living within or near the affected area under the APPSA and rely on the resources found therein for supporting their livelihoods and living. This group could include hunters, fishermen, agriculturists, pastoralists, women collecting firewood, etc. With respect to the likely persons to be affected by project activities, efforts will be made in raising awareness about the project through their respective Traditional Authorities (TAs) as well as their District Administrations.

9.1 Estimation of Project affected PersonsFor compensation and resettlement, it is important that the correct numbers of PAPs are established. This will ensure that all the affected persons are compensated for and therefore the number of complaints will be minimal. To avoid opportunists the RAP preparation process will be in close liaison with the local leaders who normally know the asset owners and users of resources.

An estimate may be required for purposes of preparing budgets, and where carrying out the actual counts of the PAPs might not be practically feasible.

9.2 Likely Categories of Project Affected PersonsDuring the process of compensating and resettling the PAPs, there is need to ensure fairness and equity among the beneficiaries with diversified needs. This entails making sure that the vulnerable, including the host communities (if any) are not left out. Therefore, for the purposes of this RPF, the categories of persons likely to be affected include but are not limited to:

9.2.1 Unmarried Women or Female-Headed HouseholdsUnmarried women may depend on sons, brothers, any member of the family or property/business that might be displaced by the APPSA project. They may also depend on subsistence farming often benefiting from assistance from family members as well as cultivating their farms for their daily needs. When displaced, these persons may find it difficult to open up new farms and to regain their means of livelihood. Resettlement and compensation considerations for the APPSA should take into consideration of the special needs of this group of persons.

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9.2.2 The Elderly, the HIV and AIDS-Infected, the disabled or chronically ill PersonsThese people usually depend on subsistence farming, often benefiting from assistance from family members as well as cultivating their farms for their daily needs. Resettlement of this group of people implies that they will have to acquire a new land and construct new homes and this has a bearing on their spent energies. These people will require assistance in getting fair compensation in the RAP process. 9.2.3 Orphans and Child-headed HouseholdsThe AIDS pandemic has created a large number of children without parents. These children may be divided into three categories which include:

(a)Children that are too young to go to school; (b)Children that are able to go to school; and (c) Children who, for some reason or another, cannot go to school

but take care of their younger parents.

The first two categories often depend on family members or relatives. All the three categories need some assistance that will enable them earn a living. Some of the orphans depend on the Institute of Social Action programmes and others engage in small business activities including begging. Resettlement and compensation should adequately provide for these various groups of children in the form of paying their compensations, normally in kind. Where necessary this should include training them in various useful vocational skills or placing the orphans in children’s care homes.

9.2.4 Small-Scale FarmersThe movement of small-scale farmers from places where they have been farming for several years and have invested substantially, may make it difficult for them to open up new and viable farms in an area that has thick vegetation, or low soil fertility. These farmers should be assisted with the cost of labour for opening up new farms through the RAP.

10 ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF PAPs

10.1 Cut-off Date for Eligibility The screening process for land for the development of various project components under the APPSA shall include, among other things, a baseline study and census to determine the level of impact to PAPs and their assets; and to establish the cut-off date. The cut-off date will be determined and set at the beginning of the census through a consultative process.

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PAPs, Community Leaders and their subjects shall be widely consulted and be well informed of the cut-off date after which any new settlements within the project impact area will not be tolerated or compensated for. Compensation will be paid only to those established in the area and are to be affected by the project and to those with assets determined and recorded during the census.

When setting the cut-off date, all measures shall be taken to avoid a “rush” into the area or other areas that may come into the list of subprojects at a later date. Measures must be put in place to avoid corruption during the census process and determination of the compensation values.

10.2 Recommended Beneficiaries Eligibility CriteriaThe APPSA consists of project activities where physical relocation is unlikely to arise. The types of losses the PAPs may suffer will include temporary loss of access to land and income at sites like Nicoadala and Namacurra.

The identification of persons eligible for compensation and resettlement in a particular sub project area under the APPSA will be based on the following criteria:

(a)Persons losing land with or without legal title, (b)Persons losing business or residential property.(c) Vulnerable individuals who may be too old or ill to look after for

themselves. These PAPs shall receive additional assistance, a premium to cover additional costs for contracting labor to construct a new home or to pack, move and uncrate the belongings because they are unable to do so).

(d)Persons dependent on displaced families, which may include any member of the household whether men, women, children, dependent relatives, friends and tenants,

(e)Persons who may not live together with the rest of the displaced family, for reasons such as polygamy;

The Local Leaders and the proposed Resettlement Committee will be charged with the responsibility of notifying their members about the established cut-off date and its significance. The land user(s) will be informed through both formal notification in writing and by verbal notification delivered in the presence of the Local Leaders or their representatives.

11 ASSET VALUATION METHODS AND ENTITLEMENT

11.1 Current Asset Valuation Methods

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While MINAG has been responsible for the preparation and implementation of RAPs in Mozambique and the existing organisational structures continue to facilitate and implement resettlement matters, it is necessary to enhance their capacities. The existing methods of valuation for compensation are based on the World Bank OP 4.12, although recently Mozambique has approved the Decree 31/2012 of August 8. This Decree was issued in a rush to mitigate the conflicts arising from the implementation of mining projects and is inconsistent in many practical aspects. This Decree does not mention the entitlement or the compensation and resettlement criteria. In the document it is not clear as to who approves and monitors the RAP implementation as there are many institutions dealing with resettlement, although it mentions the Ministry of Environment and that for Women and Social Affairs.

Criteria for Valuation of Physical AssetsThe Ministry of Public Works publishes criteria to evaluate the Physical Assets. Normally, the PAPs resist the evaluation criteria due to the low price contained in the tables. The RAP consultants normally double the table prices to achieve acceptance by the PAPs of compensation. These prices are not regularly updated. The last update was in 2010 in the Zambezia Province. Not all provinces are updating these tables to reflect real values over time.

In Mozambique the construction materials and the labour prices are high, which is why the PAPs refuse the compensation values established by the Ministry of Public Works. The compensation amount for physical structures is based on the construction materials used, floor /surface area covered, age and location of building or property. Compensation for physical assets should take account of the market values for materials and structures.

Valuation of Field Crops and Fruit Trees/PlantationsThe procedure for valuing affected crops is based on pre-determined unit prices by the Ministry of Agriculture. The setting of a pre-determined unit price takes into account the type of crop, the yield level (high, medium or low yield variety), the expected yield and the produce determined price/ha. These tables are also not regularly updated.

Valuation of Forest Trees (Indigenous and Exotic Species)Compensation values for trees (fruit, indigenous and exotic) are based on the type (species) of tree determined by the Ministry of Agriculture.

11. 2General Considerations

Individual and household compensation will be made in kind and/or in cash. Although the type of compensation may be an individual’s choice, compensation in kind will be preferred, if the loss amounts to more than 10% of the total loss of assets. As the cost of construction materials is too

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high in Mozambique, the PAPs should be advised to choose in kind compensations.

Cash payments are more acceptable when losses constitute a very small fraction of incomes. This may not apply to cases where income sources (or property) are so affected that the entire structure should be replaced.

For payment of compensation in-kind way, the time and new location will have to be decided and agreed upon with each PAP, in consultation with the APPSA and the respective District Administrations.

Compensation for LandCompensation for land is aimed for providing resources for loss of crop and the labour used to cultivate the crop in addition to the land. As per the Mozambican Land Law, compensation for land will be the land. There is no payment for land. The project can prepare the land and hand over to the PAP. The PAP can be entitled to receive seed, pesticides and fertilizers and cash for subsistence till the next harvest. The PAP can harvest the existing crops prior to land acquisition.

Valuation of Land Used by the PublicFor cases where the land is being used by the public (for instance for grazing, settling or otherwise), APPSA will, in consultation with the Ministry responsible for Lands, identify suitable replacement land for use by the public and be expected to pay compensation to the community.

Valuation for Labour for Preparation of Agricultural LandThe value of labour invested in preparing agricultural land will be compensated by using Government wage categories for the agricultural sector. These wages are updated annually, normally in March. The labour cost for preparing replacement land will be calculated considering what it would cost a farmer to create a replacement farmland to the state of the replaced land. This value will be determined by adding together the average costs of for labour cost for clearing, ploughing, sowing, weeding twice, and harvesting the crop.

In certain cases, assistance may be provided to land users, in addition to compensation payments. For instance, if a farmer is notified that his/her land is needed after the agriculturally critical date (critical date, may be different in different parts of the project sites) when he/she will no longer have enough time to prepare another piece of land, assistance will be provided in form of labour intensive hire, or mechanized clearing so that replacement land will be ready by the sowing dates.

Valuation of Vegetables Vegetables are planted for daily use. Until a replacement field can be harvested, the family displaced (economically or physically) as a result of the project will have to purchase these items in the market. The

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replacement costs therefore, will be the average amount an average town dweller spends on buying these items for one year, from the local market.

Valuation of Fruit/Plantation TreesTrees are primarily important as a source of:

Subsistence food for families; Cash that contributes to the local and export economy; Petty market income in some areas; Shade (in the case of fruit trees such as mango trees) and; Traditional medicinal value.

The fruit trees are replaced according to the price list provided by the Ministry of Agriculture.

Validity of Calculated ValuesDue to the inflation, the calculated values of assets should be implemented as soon as possible. The recommended period for compensating PAPs should not exceed six months from date of valuation and cut-off date.

Entitlement MatrixTable 11.1 includes the Entitlement Matrix.

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TABLE 11.1 ENTITLEMENT MATRIX

Category of PAP Type of Loss

ENTITLEMENTSCompensation for Loss of Structures

Compensation for Loss of land and other Assets

Compensation for Loss of Income/Livelihood

Property Owners (including those covered by customary law)

Loss of Land

Costs at full replacement value, taking into account market values for materials and structures

Land replacement at new site, plus land clearing by the project

-Cash compensation for crops/trees at replacement cost in scarce season-Allow sufficient time to harvest crops

Loss of Structures Residential or Business

Compensation at full replacement value (not depreciated)

(Fences block work, wire, and wood), Wells, StoresWaste water facilitiesConnection to utilitiesAccess roads

For lost income from rented property, pay lump sum cash payment of agreed number of months of rental per tenant.

ResidentialTenant:BusinessTenant

Loss of rentalAccommodation

Replacement costs for non- movables.

-Disturbance assistance.-Transportation assistance, if relocating-Rental for a few months up to 2 months

-Loss of Premises None

Replacement costs for non- movables if installation was agreed with owner.

None

-Loss of business

None None For loss of business, payment of lost income at an agreed rate (say payment of up to six months of past year average income , based on past year

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average turnover)

-Loss of business income

None None

payment of lost income at an agreed rate (say payment of three months of past year average income)

-Loss of salary None None

payment of lost salary at an agreed rate (say payment of three months of past year average salary)

Encroachers(using Land)

Loss of shelter, assets and land for cultivation where applicable

Cash compensation for assets/improvements as identified by the census on the affected land.

Where possible assistance in securing other access to land for growing crops, subject to approval of LocalAuthorities/communities

-Cash compensation for trees/crops at replacement cost in scarce season.-Allow for sufficient time to harvest crops-allow for sufficient time to relocate-For street vendors on right of ways allow possible access to other sites/locations

Encroachers(living onSite)

Loss of Shelter

-Compensation atfull replacementvalue for structure,-relocation toresettlement site,with payment of site rent.

None

-Payments in lieu of wageswhile rebuilding-Disturbance assistance-Transport assistance if relocating.

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Community

Public facilities

-Compensation at full replacement value for structure,- relocation toresettlement site, with payment of site rent.

-Land replacement at new site, plus land clearing by the project-Waste facilities, connection to utilities and provision of access roads

-For loss of business, payment of lost income-Provision of alternative temporary facilities during construction, where appropriate.

Sacred sites and graves None

Land replacement at new site, plus land clearing by the project

None

Please note: All Payments will be made in MZN.

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12 RESETTLEMENT IMPLEMENTATION PROCESS

12.1 Stages of Land Acquisition and Resettlement ProcessImplementation of the land acquisition and resettlement activities follows a process that needs to be carefully planned, implemented and monitored.

The steps that have to be followed include:

Planning StageThe planning stage is where an effective administrative and reporting system has to be set up. This stage will include:

Desk studies of the APPSA concept and objectives by all relevant stakeholders;

Alerting of all PAPs and Local Authorities on the necessity of land acquisition and resettlement;

Discussing the RPF to understand its implications; and Formation of the relevant implementing committees as well as

briefing them on the planned activities.

Land Acquisition Stage This stage requires community involvement and participation, the screening of project sites, demarcation of sites and preparation of maps and drawings including setting up of the cut-off date.

Socio-Economic Surveys Socio-economic surveys are to be done with community involvement and participation, especially the Community Leaders and the District Directorate of Infrastructures. The surveys include identification of PAPs, estimation of impacts and their magnitude, carrying out the valuation and creating the database of the details of the census.

Paying Out Compensation and Implementing the Resettlement Activities This includes signing agreements and paying out compensation, provision of starter packs as well as up-dating the database.

Post Resettlement Activities These activities include after-care-assistance and carrying out monitoring and evaluation activities.

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12.2 Linking Resettlement Implementation to Civil WorksPAPs will need to be compensated, in accordance with the RAPs prepared based on this RPF, before any project activity could start to be implemented (i.e. prior to any beginning of civil works activity).

For activities involving land acquisition or loss, denial and restriction to access of resources, it is required that provisions be made for compensation and for other assistance required for relocation. The assistance, which should be available to PAPs prior to displacement, includes provision and preparation of resettlement sites with adequate facilities.

In particular, land and related assets may be taken away only after compensation has been paid and resettlement sites and moving allowances have been provided to PAPs. For project activities requiring physical relocation or resulting in loss of shelter, the RPF further requires that measures to assist the PAPs are implemented in accordance with the individual RAPs.

In the Implementation Schedule/Plan of each RAP, precise details on resettlement and compensation must be provided. In this case, the schedule for the implementation of activities, as agreed between the APPSA and the PAPs must include:

Target dates for start and completion of civil works, Timetables for transfers of completed civil works to PAPs, Dates of possession of land that PAPs are using (these dates

must be after the date of transfer for completed civil works to PAPs and after payments of all compensation),

Timetable to deliver the compensations to the PAPs, and How these activities are linked to the implementation of the

overall subproject.

Proper timing and coordination of the civil works should ensure that no PAP would be displaced (economically or physically) due to civil works activity, before compensation is paid and before resettlement sites with adequate facilities are prepared and made available to the PAPs.

12.3 Time FramesThe following key timeframes shall apply unless otherwise agreed between the APPSA and the District Administrations on behalf of recipient; provided however, that no agreement to waive the timeframes shall adversely affect the rights or interests of PAPs:

The inventory shall be completed at least four months prior to the commencement of civil works;

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The RAP shall be submitted to APPSA for approval immediately after completion of inventory;

Compensation, resettlement and rehabilitation activities shall only commence after the APPSA and the PAPs have accepted the RAP; and the RAP has been cleared by the World Bank; and

Civil works will not begin until all resettlement payments are complete.

For each RAP, comprehensive time frames shall be drawn up and agreed upon by all parties including the PAPs.

Compensation payments for acquired land and affected assets, resettlement of PAPs and documentation/validation of voluntary land donations, must be completed as a condition for the taking away of land and before the commencement of the works.

The actual length of time will depend on the extent of the resettlement and compensation and will have to be agreed upon by all parties.

12.4 Disclosure of InformationThe RAP in English and in Portuguese or any other local language that the people easily understand will be disclosed to the public by placing a hard copy of both Executive Summary and the full document in the offices of the appropriate District or Locality Administration and/or the Local Leaders.

13 DELIVERY OF ENTITLEMENTS

All RAPs must be approved by APPSA and the World Bank including the Mozambican Government. They must be disclosed to the public before overall subproject approval can be considered and before any other subproject activities can begin implementation.

Individual RAPs for sub-projects will be submitted to APPSA who will check and approve the entitlements. APPSA will ensure that all the entitlements have been fairly assessed and that the entitlement values have been agreed upon, accepted and signed for by the PAPs (Compensation Agreements).

APPSA will also ensure that the RAPs and the entitlements have been endorsed by the District Administrations and cleared by the World Bank before approval and payment.

13.1 Notification of Asset Holders

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APPSA through the District Administrations, shall (by public notice, the Community Leaders and the Resettlement Committee, public meetings and where possible, church announcements and through local leaders) notify the PAPs of its intention to deliver compensations.

A copy of such notice shall be served to each owner, occupier and person or agent having an interest in the land thereof. The names and addresses of the owners, occupiers and agents shall be readily ascertainable.

13.2 Maintenance of Database of Affected Holdings and AssetsThe APPSA and the RAP Implementation Consultant will arrange meetings with the Lands Authorities, Traditional Leaders, and affected individuals to discuss the compensation process. For each individual or household affected, the RAP implementation consultant will complete a compensation dossier containing necessary personal information on:

(a)The affected party including household members, (b)Total land holdings, (c) Inventory of assets affected, (d)Information for monitoring their future situation, and (e)PAP photo and signature

This information will be confirmed and witnessed by the Regional/District Authorities, the District Administration, Resettlement Committee and Traditional Leaders or their representatives. The dossiers will be kept current and will include documentation of pieces of land that are to be acquired. This dossier will be kept by APPSA for a minimum period of 6 months after the RAP implementation completion. All claims and assets will be documented in writing. Such baseline information is necessary for monitoring.

13.3 Consultation and Public ParticipationConsultation and public participation with the PAPs will initiate the compensation process. This consultation and public participation will be part of an on-going process that will have started at the planning stage; and will have continued through the technical design and development, land selection and screening stages. This process will ensure that all PAPs and households are well informed and adequately involved in the entire process.

13.4 Agreement on Compensation and Preparation of ContractsEntitlements for compensation shall be based on the eligibility criteria and the various categories of losses identified in the desk studies and field investigations.

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All types of compensation are to be clearly explained to the individual and households involved. Those selecting in-kind compensation will sign an agreement form witnessed by the District Authorities.

The compensation contract and the grievance redress mechanisms shall be read aloud in the presence of the affected party and the representative of the Regional Lands Authorities, District Administrations and the Traditional Leaders, prior to signing.

13.5 Community Compensation PaymentsCommunity compensation will be paid in-kind only for a community as a whole. This will be in the form of reconstruction of the facility to at least the same or better standard and as required by local planning regulation. Examples of community compensation include, but are not limited to, compensation for: school building (public or religious), public toilets, well or pump, market place, road and a storage warehouse.

Community compensation may in itself require land-take and people may be affected thereby requiring compensation.

All handing over of property such as land and buildings and compensation payments will be made in the presence of the affected party, the traditional leaders and representatives of the District Administration.

13.6Roles and ResponsibilitiesMINAG will have the overall responsibility for coordinating and monitoring the implementation of the RPF. The APPSA will work through the Resettlement Committee to be constituted, which is composed of representatives from the local leaders, PAPs, and District Administration staff.

The APPSA shall make every effort to ensure that no land is acquired against the will of any person(s), exercising rights over their land. In the event that land acquisition, resettlement, loss of assets and impact on livelihood is unavoidable, it shall be done according to the process outlined in this RPF.

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Table 13.1Proposed roles and responsibilities for implementation of the RAP

Level Implementation Staff Roles and Responsibilities

IIAM Project Coordinator

Oversee the preparation (by the consultants) of census, socio-economic survey, RAP, land acquisition plan and environmental and social management plan;

Oversee the progress of land acquisition through the District Administrations;

Participate in the province level meetings to facilitate land acquisition;

Coordinate with other Government line Departments for ensuring effective delivery of mitigation and rehabilitation support;

Make budgetary provisions for Rehabilitation and Resettlement (R & R) activities; and

Coordinate the implementation of R & R activities with in-house and field staff.

PROVINCE AND LOCAL

LEVELProvince and

DistrictAuthorities

Initiate land acquisition and secure replacement land;

Prepare and maintain of records for the PAPs; Prepare plans on physical and financial needs on

a monthly basis; Prepare monthly progress reports; Monitor the progress of R & R., land acquisition

and public consultations at the water supply scheme level;

Monitor compliance with applicable environmental and social management clauses in the construction contracts;

Prepare terms of reference and facilitate the appointment of external agencies for monitoring and evaluation (M&E);

Develop terms of reference for any studies identified to enhance the implementation of R & R and facilitate the appointment of consultants;

Coordinate the studies; Keep financial records for all the project

activities; Facilitate and monitor the progress of land

acquisition; and Ensure that the land acquired for borrow pits by

the contractor is returned to the community within the stipulated time as per the agreement and ensure that the land has not been made unproductive or has been restored/rehabilitated.

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Level Implementation Staff Roles and Responsibilities

ProjectActivity Level

In the site

Coordinate with the District and Locality to implement the resettlement and rehabilitation (R & R) activities;

Verify PAPs households and property listed in the RAP;

Implement information dissemination campaigns and distribute the relevant information of the RPF to the PAPs;

Confirm the identity of the PAPs and their property;

Carry out public consultations with the PAPs on a continuing basis during the implementation of the project;

Enable the PAPs to identify the alternate sites for agriculture, residential and commercial plots;

Participate in the consultations on allotment of shops and residential plots;

Ensure that the PAPs have received their entitlements.

Ensure the preparation of rehabilitation sites; Participate in the meetings organized by the

Coordinator; Assist the Construction Supervision Consultant

(CSC) in ensuring that the contractors are following the various provisions of the applicable Resettlement Regulations concerning the worker’s safety, health and hygiene, HIV and AIDS, women’s issues and the child labour issues; and

Submit monthly progress reports.

14 PUBLIC CONSULTATION AND PARTICIPATION

14.1 Notification ProcedureThe APPSA shall by public notice, published in the Press (Radio Broadcasting Stations), notify the public of its intention to acquire land for the project. The Notice shall state:

(a)Government’s proposal to acquire the land;(b)The public purpose for which the land is needed; and (c)That the proposal or plan may be inspected at the APPSA offices or

the offices of the District Administrations in the respective districts, during working hours.

14.2 Public Consultation and Participation Mechanisms

The identification of eligible PAPs and level of mitigation will be ascertained with the affected communities and will further include the assessment of resources, capabilities, and interest not excluding the type and level of support that will be required. In all aspects, activities under the APPSA will require the full knowledge of the local management

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structures to the extent that consultations and engagement with local communities will be through their local traditional leaders. Any assistance obtained from established NGOs and CBOs in any will also be of great value.

Public consultation and participation are essential because they provide an opportunity for informing the stakeholders about the proposed project. Public consultation will thus afford the PAPs an opportunity to contribute to both the design and implementation of the program activities. In so doing, the likelihood for conflicts between and among the affected and with the APPSA will be reduced.

In recognition of this, particular attention should be paid to public consultation with PAPs, households and homesteads (including host communities) when resettlement and compensation concerns are involved.

As a matter of strategy, public consultation should be an on-going activity taking place throughout the entire project cycle. Hence, public consultation should take place during the:

Project inception and planning, Screening process, Feasibility study, Preparation of project designs, Resettlement and compensation planning, Drafting and reading/signing of the compensation contracts, Payment of compensations, Resettlement activities, and Implementation of post-project community support activities.

Public consultation and participation should take place through meetings and radio programmes, request for written proposals/comments, completion of questionnaires/application forms, public readings and explanations of the project ideas and requirements.

Public documents should be made available in appropriate languages at both national, and district levels. Public consultation measures should take into account the low literacy levels prevalent in the rural communities, by allowing enough time for discussions, consultations, questions, and feedback using local language.

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15 GRIEVANCE REDRESS MECHANISMS

Various legislation, including the constitution, provide for grievances to be addressed through the formal court system and the community conflicts resolution scheme. This is a constitutional right but practice has shown that this can be a costly and time consuming exercise. This RPF therefore proposes that the complaints and grievances mechanism as outlined below is readily accessible to deal with complaints expeditiously. However if this fails the aggrieved party can refer the matter to the formal court system. It is encouraged the PAPs to use the Resettlement Committee, the locality leaders the traditional leaders.

15.1 GrievancesAt the time that the individual resettlement plans are approved and individual compensation contracts are signed, PAPs and households will have been informed of the process for expressing dissatisfaction and to seek redress. The grievance procedure will be simple and will be administered as fair as possible, at local levels to facilitate access by PAPs.

Since the implementing agency of the Project would be a party to the contract, it would not be the best office to receive, handle and rule on disputes. Therefore, all grievances concerning non-fulfilment of contracts, levels of compensation, or seizure of assets without compensation should be addressed to local Resettlement committee, the traditional leaders of the affected area and representatives from the District Administration or Locality.

All attempts shall be made to settle the grievances amicably. Those seeking redress and wishing to submit grievances will do so by notifying their Local Leader. The Local Leaders will inform and consult with the District Administration to determine validity of claims. If valid, the Local Leader will notify the complainant and s/he will be assisted. If the complainant’s claim is rejected, the matter shall be brought before the District Administration for settlement. All such decisions must be reached within a full growing season after the complaint is lodged.

The grievance redress mechanism is designed with the objective of solving disputes at the earliest possible time, which will be in the interest of all parties concerned and therefore, it implicitly discourages referring such matters to the Tribunal for resolution.

Contracts for compensation and resettlement plans will be binding under statute, and will recognize that customary law is the law that governs land administration and tenure in the rural areas. This is the law that most Mozambicans living in these areas are using to solve their disputes and understand.

All objections to land acquisition shall be made in writing, in the language

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that the PAPs understand and are familiar with, to the Local Leader. Copies of the objections shall be sent to APPSA and the Ministry of Agriculture, Irrigation and Water Development within 20 days after lodging the complaint. Channelling complaints through the Local Leader is aimed at addressing the problem of distance and cost the PAPs may have to face.

The Local Leaders shall maintain records of grievances and complaints, including minutes of discussions, recommendations and resolutions made. The following chart illustrates the sequential steps for the grievance redress mechanism.

15.2 Consensus, Negotiations and Conflict ResolutionConsensus and negotiations are central to addressing grievances. In general, people are aware of their rights, their commitments to the country as citizens and their allegiance to village and family issues. For this reason, many Government funded community projects have been implemented without obstacles from PAPs (7 RAPs involving 9000 PAPs successfully completed for Millennium Challenge Account and the Government of Mozambique funded Projects in 4 provinces of Northern Mozambique).

NOT REDRESSED

REDRESSED

NOT REDRESSED

REDRESSED

NOT REDRESSED

REDRESSED

NOT REDRESSED REDRESSED

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ENTITLED PERSON(To file grievance complaint in writing)

LOCAL LEADER(To respond to grievance within14 days)

DITRICT ADMINISTRATOR(To respond to grievance within 14 days)

COURTS (Court’s Decision)

APPSA (To be informed)

PROVINCIAL DIRECTOR OF AGRICULTURE

(To respond to grievance within 14 days)

However some projects have been known to stall due to delays in disbursement of compensation. Prior negotiations between Government representatives and project beneficiaries are therefore crucial to the success of the project. As a guiding principle emphasis shall be placed on simplicity and proximity of the conflict resolution mechanisms to the affected persons and the following shall be noted:

(a) Negotiation and agreement by consensus will provide the best avenue to resolving any grievances expressed by the individual landowners or households affected by community projects. These grievances shall be channelled through the Local Chiefs.

(b) APPSA shall ensure that the main parties involved achieve any consensus freely.

(c) Grievances shall be addressed during the verification and appraisal process. If a suitable solution is not found, APPSA shall defer consent of the project and the concerned project activities shall not be allowed to proceed.

(d) Grievances for which solutions have not been found shall be referred back to the community for discussion where the Local Leader and District Administration will address the matter of concern to assist the claimants. The mediation process will be implemented according to traditional methods of mediation/conflict resolution. The resolution will then be documented on the relevant consent forms and verified.

(e) If an agreement cannot be reached at community level the aggrieved party or parties shall raise their concerns to APPSA who shall refer them to the respective District Administrations within 20 days of the verification meeting. Grievances that cannot be resolved at the Local and District level shall be officially communicated the APPSA with copies to the District Administration. Should grievances remain unresolved at this level, they can be referred to a court of law.

The steps provided below are presented to assist in following the grievance redress procedure:

Step 1: Approval of RAP by APPSA after adequate consultation with PAPsStep 2: PAPs informed of the Grievance Procedure by APPSAStep 3: Where there are grievances, PAPs present these to the Local Leader

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Step 4: The Local Leader informs and consults with the District AdministrationStep 5: The District Administration, in consultation with the Local Leader, resolves the grievances.Step 6: Grievance that cannot be resolved at step 5 above shall be presented to the APPSA to resolveStep 7: Grievance that cannot be resolved at step 6 above shall be presented to the Court of Law

16 CAPACITY BUILDING AND TRAINING

Capacity building and training will be required for the proper and successful implementation of this RPF. The training sessions are aimed at enhancing the knowledge and understanding of the key stakeholders to better implement the RPF for the APPSA.

District AdministrationsThe District Administrations will, through the Local Leaders, be involved in consulting the public and notifying them of the intention of the Ministry of Agriculture to implement APPSA. They will also be required to address grievances brought by the PAPs; and will subsequently inform the APPSA of the complaints. Where the District Administrations are able to resolve the conflicts within their capability, they will do so. The process of compensating the PAPs will also need the participation of the District Administrations especially where payment of cash is involved.

Provincial Directorate of AgricultureAll the activities proposed in the project will be coordinated, monitored and evaluated by the Ministry. Where land acquisition is necessary, the Ministry will have an obligation to make every effort to ensure that PAPs exercises their rights over land and that no land is taken away from them against their will. Proper implementation of this RPF and any RAPs will require special skills and capacity building for some of the staff of the Provincial Directorate of Agriculture and the District Directorates for Economic Activities. Local LeadersResettlement and rehabilitation activities will directly involve the local communities. Since the APPSA may require land to be taken away from current users, the local leaders will have to assist in the identification of appropriate replacement land. Consultation with the local communities about the APPSA has to be facilitated by the Local Leaders who have to disseminate the appropriate information to their subjects. Compensation activities will also require that the Local Leaders be involved, especially in the identification of the PAPs and avoid fraud. Where there are any

36

grievances from the PAPs, these will be reported to the local leaders who will try to resolve them.

16.1 Proposed Areas of TrainingThe training programme should be made in the selected research centres to be established under APPSA. Public Consultation and ParticipationLocal leaders will have to inform their community of the APPSA and how the PAPs will be affected and treated during the implementation of the project. The process of compensation will also require that the Local Leaders should inform the concerned PAPs on how they will be compensated. Since all these activities require effective communication, the Local Leaders will have to be trained in information dissemination and how to conduct awareness campaigns on the RPF.

Record KeepingBaseline information on the names, socio economic status, ages and other details of the PAPs will be required as reference during compensation. This information will be kept by the APPSA site offices while selecting a consultant to implement the RAP.

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Table16.1: Training Programme for Training of Trainers

Days of Training

Recommended Type of Training

(Training Activity)Target Group /

TrainerMeans of

Verification

DAY 1

Resettlement and Compensation

Categories of Land in Mozambique and Current valuation of Land and other Physical Assets

Rights to land Asset valuation Methods of land

acquisition Compensation

Agreements

APPSA Management Units staff

District Administration staff

Resettlement Committee

Local leaders

Trainer: Consultant

Course evaluation filled forms

List of invited participants vs de facto participants

DAY 2

Public Consultation and Participation

Flow of communication on land related issues

Awareness campaign programme

Record Keeping

APPSA Units staff

District Administration staff

Resettlement Committee

Local leaders

Trainer: Consultant

Course evaluation filled forms

List of invited participants vs de facto participants

DAY 3

HIV/AIDS and Project Implementation.

Impacts of HIV/AIDS on social wellbeing, livelihood and projects

Mitigation measures Training Evaluation

Wrap Up

APPSA field staff

Units staff District

Administration staff

Resettlement Committee

Local leaders District

Administration staff

Trainer: Consultant

Course evaluation filled forms

List of invited participants vs de facto participants

Training Budget

The proposed training includes sessions in RPF implementation and monitoring, for the District, APPSA and other Government staff. The participants will be drawn from the project districts of the APPSA. The training budget is estimated at USD 50000 for 2 training sessions. This includes the travel and daily allowances, including the payment to the consultant which is estimated at USD 3000 out of that value.

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17. MONITORING AND EVALUATION

Contents of the Monitoring and Evaluation PlanIn order to assess whether the goals of the resettlement and compensation plan are met, a monitoring plan will be required. This monitoring plan will indicate parameters to be monitored, institute monitoring milestones and provide resources including responsible persons or institutions, necessary to carry out the monitoring activities. In order to save time and use resources effectively, monitoring for the RPF activities.

The arrangements for monitoring the resettlement and compensation activities would fit in the overall monitoring and evaluation (M&E) programme of the entire APPSA, which would fall under the overall responsibility of APPSA staff. APPSA will institute an administrative reporting system that:

(a)Alerts project authorities on the necessity and procedures for land acquisition for the project activities and the need to incorporate land acquisition, resettlement, loss of assets and impact on livelihood provisions in the design, technical specifications and budgets;

(b)Provides timely information about the asset valuation and negotiation process;

(c) Maintains records of any grievances that require resolution; (d)Documents timely completion of resettlement obligations (i.e.

payment of the agreed-upon sums, construction of new structures, etc.) for all permanent and temporary loses, as well as unanticipated, additional construction damage;

(e)Tracks and finds the missing PAPs; and(f) Updates the database with respect to changes that occur on the

ground as resettlement and compensation activities are being implemented.

17.1 The Proposed Monitoring and Evaluation PlanThe monitoring and evaluation activities for this RPF would be performed as follows:

(a) The RAP Implementation Consultant (RIC) will be mandated to monitor the implementation of the compensation activities against the corresponding time frame as shown in the implementation schedule.

(b) The RAP implementation consultants should be led by a Social Scientist for monitoring the implementation of the compensation activities. In the event of delays in payment of compensation or any related activity, the RAP Consultant would notify APPSA and suggest corrective measures.

Approximately one month after completion of compensation,

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the RAP Implementation Consultant will make site inspections and evaluations of the project areas in order to determine whether all the PAPs have been compensated in full and before implementation of the sub project activities.

For the first six months after completion of compensation, the RAP Consultant shall submit monthly monitoring reports and the draft final RAP implementation Report of the project to the APPSA. Subsequently, the RAP Consultant will submit monthly monitoring reports for the remaining period of the project to the District Administration and APPSA. In the budget, it is assumed that the local offices the respective districts will submit their monthly and quarterly reports to the Head Office in Maputo.

(c) An external evaluation agency will be commissioned through the standard bidding process for carrying out an end of term evaluation of the compensation activities. This agency will be independent from the project.

Where it is determined cost effective, the office of the District Administration will host the M&E component of the project activities. This would mean giving the District Administrations the mandate to carry out monitoring of the implementation of the resettlement and compensation plans at periodic intervals of Monthly (as circumstances dictate) during the program life. The District Administrations would submit reports to the RAP Implementation Consultant who would check and forward them to the APPSA offices. Any deviation from the planned and resettlement programme should be brought to the attention of APPSA. The reports would become part of the official documents of the APPSA.

Independent monitoring of the compensation and resettlement activities can be done by NGO’S, Private Consultants or the MICOA at Province level. Carrying out such independent monitoring will enhance the openness and transparency of the compensation and resettlement programme. The consultant recommends that APPSA make arrangements to involve NGO’s in independent monitoring activities.

17.2 Budget for the Proposed Monitoring and Evaluation PlanThe estimated budget for monitoring the activities of the RPF, are estimated at USD 60000 during a period of 6 months. After this period the PAPs will be re-established and the RIC will hand over the RAP to APPSA.

18 BUDGETARY IMPLICATIONS AND FUNDING

Expenses for Resettlement and RehabilitationSince this is only a framework rather than a specific RAP, the cost cannot be meaningfully estimated at this time. A more accurate estimate of the overall cost of resettlement and compensation would be determined

40

during the socio-economic studies for RAPs.

RAPs for specific sub-projects would include an itemized, comprehensive budget. APPSA or their appointed representative will prepare this budget and APPSA will finance it through the administrative and financial management rules and manuals, like any other activity eligible for payment under the APPSA. This budget will be subject to the approval by the APPSA.

The APPSA would have to finance the Resettlement and Compensation because they are the parties who would be impacting on the affected people’s livelihoods. Disbursements based on budgetary requirements, established by the RAPs will be made through APPSA implementation site offices.

At this stage, it is not possible to estimate the likely number of people who may be affected because this will be made during RAP Study.

Expenses for Capacity Building and TrainingUS$50,000.00 will be required for training and for hiring a qualified trainer for 2 days for RAP implementation activities. It is proposed that 20 people be trained in implementing the RAP.

Total Budget for Implementation of the RPF The total estimate for the implementation of the various activities of this RPF is presented in Table below. The cost does not include resettlement and rehabilitation expenses, which will be determined separately after the socio-economic census of the affected areas and property and will be presented in the specific RAPs.

Table 18.1 Estimated total costs for implementation of the RPF ITEM DESCRIPTION AMOUNT ($)

1 Cost of training for RPF 50000.002 Costs of monitoring for RPF 60000.00

TOTAL 110000.00

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REFERENCES

Consultec, 2007: RPF for ProMaputo II, Maputo Municipality. Maputo

Jaffares and Green & Conseng, Lda, 2011: RAP for Rehabilitation and expansion of Nacala Dam, Pitermritzburg

The World Bank, 2011: Operational Policies (OP 4.12),Washinghton

Ribeiro, R &Chauque, A, 2010: Environmental and Social Framework for Proirri, 2011, Maputo

Smec & Impacto, 2011: Feasibility, EIA, Design and Supervision of works for the Rio Ligonha-Nampula Road: Resettlement Action Plan Final Report, Maputo

Water, Waste and Environment, 2012: RPF for the Shire River Basin Management Project, Lilongue

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ANNEX 1. SCREENING FORM

1. NAME OF THE APPSA PROJECT COMPONENT:___________________________

New Rehabilitatio

nExpansion

2. DPA/SDAE CONTACT PERSON:___________________________________________________

3. LOCATION:

(Map attached with the location of the activity).

4. ZONNING:

Residential zone Savanna Wetlan

d Green

Free areaSemi-urban areaInformal settlement

5. PROJECT DESCRIPTION:

Brief description of the project (site area, project capacity, size) Estimated of resettlement of families/households:_____

Project Affected Persons: Crops:___________

Project Affected Persons: Trees:___________

Project Affected Persons: Ancillary structures: ___________

Project Affected Persons: Commercial structures:___________

Project affected sacred sites: Cemeteries______________

Project affected sacred sites: Graves______________

Project affected wells:______________

6. LAND OWNERSHIP:____________________________

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7. LOCATION ALTERNATIVES:____________________________

a) Land use in the site and surrounding areas Site area Surrounding

areaResidentialCommerce and ServicesIndustryAgricultureLeisure & SportSchoolHealth CenterHeritage or sacred site

b) Main existing social infra-structures in the surrounding area:

SchoolHealth PostWater well with PumpLatrinesDrainage networkRoadElectricityTelecommunicationOther:

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ANNEX 2. GUIDELINES FOR RAPs

(Adapted from the World Bank Operational Policies: Involuntary Resettlement Instruments)

1. The scope and level of detail of the resettlement plan vary with the magnitude and complexity of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the PAPs and other adversely affected groups, and (b) the legal issues involved in resettlement. The resettlement plan covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan.

2. Description of the project. General description of the project and identification of the project area

3. Potential impacts. Identification of

(a) the project component or activities that give rise to resettlement; (b) the zone of impact of such component or activities; (c) the alternatives considered to avoid or minimize resettlement;

and (d) the mechanisms established to minimize resettlement, to the

extent possible, during project implementation.

4. Socioeconomic studies. The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, including

(a) The results of a census survey covering: (i) Current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;

(ii) Standard characteristics of displaced households, including a description of production systems, labour, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;

(iii) The magnitude of the expected loss—total or partial—of assets, and the extent of displacement, physical or economic;

45

(iv) Information on vulnerable groups or persons as provided for in OP 4.12, for whom special provisions may have to be made; and

(v) Provisions to update information on the displaced people’s livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement.

(b) Other studies describing the following: (i) Land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area;

(ii) The patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project;

(iii) Public infrastructure and social services that will be affected; and

(iv) Social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities.

5. Institutional Requirements.

(a) The identification of agencies responsible for resettlement activities; and NGOs that may have a role in project implementation;

(b) Any steps proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation.

6. Eligibility. Criteria for determining the eligibility for compensation and other resettlement assistance, including relevant cut-off dates

7. Valuation of and compensation and resettlement and for losses. The methodology to be used in valuing assets and in the determination of their replacement cost. A description of the proposed types and levels of compensation. A description of the packages of compensation and other resettlement measures that will assist each category of eligible PAPs to achieve the objectives of the policy (see OP 4.12, para. 6)

8. Relocation. Alternative relocation sites considered, covering

46

a. Relocation sites, whether rural or urban, which are at least comparable to the advantages of the old sites; (b) Procedures for physical relocation under the project, including timetables for site preparation and transfer; and

(b) Legal arrangements for regularizing tenure and transferring titles to resettlers.

9. Housing, infrastructure, and social services. Plans to provide (or to finance resettlers’ provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities.

10. Environmental protection and management. An assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement).

11. Community participation. Involvement of resettlers and host communities, including

(a) (a) A description of the strategy for consultation with and participation of resettlers and hosts in the design and implementation of the resettlement activities;

(b) (b) A summary of the views expressed and how these views were taken into account in preparing the resettlement plan;

(c) (c) A review of the resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance.

(d) (d) Institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented.

12. Grievance procedures. Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms.

13. Organizational responsibilities. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies’ capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of

47

responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.

14. Implementation schedule. An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project.

15. Costs and budget. Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies.

16. Monitoring and evaluation. Arrangements for monitoring of resettlement activities by the implementing agency, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the PAPs in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation.

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ANNEX 3. OUTLINE OF A RESETTLEMENT ACTION PLAN

S/N Elements Activities1 Description

of the ProjectDefine the Project, and its components and the Project Site (s)Determine whether the Project will require land acquisition and relocation of personsDescribe the amount of land acquisition and resettlement requiredIdentify options of reducing amount of resettlementQuantify the options of minimizing resettlement

2 Project Objectives

Formulate the main objectives of the ProjectIdentify Specific Objectives

3 Socio-Economic Studies/Census

Carry out census of affected community/individual and their assets.Determine income levels and livelihood patterns of the affected personsIdentify alternatives of restoring income for the displaced populationDefine magnitude of the impacts with special reference to vulnerable groups( aged, HIV and other ailed persons, female-headed households, the poor etc)-Document landholding tenure system in place, lot sizes and any cultural heritages/values that may be restricted by the projectDescribe any social organizations in place that may be impactedDocument type and size of infrastructure and other services that may be impactedSummarize impacts of the project for each categories of affected groupsProvide mechanism for updating information on the displaced population

4 Legal/Institutional Framework

Define the Project affected PersonsIdentify local agencies responsible for resettlementDiscuss staffing of the Project Resettlement UnitAssess capacity of the agencies to handle the magnitude of the resettlementComply with national and local legislation on matters relating to land and environmentDescribe plan to inform the affected population

5 Eligibility and Entitlements

Set criteria for the displaced persons to be eligible for compensation and resettlementPrepare Entitlement MatrixDetermine Assistance required for resettlement

6 Compensation Assessment

Appoint Registered/District Valuer for compensation purposesCarry out consultation with affected personsIdentify and inspect affected assets for valuationProcess Valuation Report and prepare Compensation ScheduleDetermine whether additional income assistance is necessary

7 Resettlement Plan

Determine need for relocation and discuss with affected personSelect site for relocation and make arrangement for land titling in favour of resettlersIn consultation with respective District Settlement Planning Department, prepare Resettlement PlanDiscuss outsourced services if any and draw up cost implicationsEnsure Plan comply with environmental considerationEvaluate the impact of the Plan on host communityDetermine any special assistance measures necessary to

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vulnerable groupsIdentify risks associated with the Plan and chart out ways of overcoming themProvide information on updating of the Plan

8 Grievances Procedures

Design system for recording grievances and establish response timeDiscuss mechanism for hearing grievancesDiscuss appeal Measures

9 Organizational Responsibilities

Prepare implementation schedule indicating target dates and backstopping measuresDiscuss arrangements for coordinating agencies and other jurisdictionsDescribe measures of transferring responsibilities of resettlement sites back to respective authorities

10 Costs and Budgets

Prepare a financial plan with emphasis on responsibilities and accountabilityList sources of fundsIdentify components of the sub-project that may require additional external fundingDiscuss provisions for handling price fluctuations, contingencies and excess expenditurePrepare a template for Project Cost Estimate/budget

11 Monitoring and Evaluation

Discuss measures for external and internal monitoringDefine monitoring indicatorsDetermine mode and frequency of reporting and content of internal monitoringDiscuss feedback mechanism

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ANNEX 4. CONSULTATIONS

The RPF was informed by a series of field visits and consultations. The details are provided hereafter.

(a) IAG research station staffIssue Response

Legal status of the IAG Land

IAG is owner of the land of 600 hectares for now 600 ha

Number of employees

400

Occupation inside the owned land

All the land is free from population occupation, thus, no resettlement will be necessary. IAG use to allow the employees to use small plots to cultivate in a temporary basis in order to make them part of the research program they develop. It is also aimed to let the employees to be part of the first to enjoy the benefits of the results of the research program they develop.

Surrounding area occupation

No, till now most of the surrounding small fields belongs to our employees and they feels part of our research program

Relationship with local population

It is good, very good. We use to offer products from our research at limited scale (Not for sale), especially fruit trees: Citrus and mango trees

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(b) Meeting with rice farmers (Namacurra) about the research station land they are cultivating

DiscussionsThe farmers expressed that:

they are cultivating the research station land temporarily.

they should be compensated if resettled; The minimum cost for land preparation activities is

2000 Mt; the new land should be fertile like the land they are

currently cultivating.

(c) Meeting with Rice Farmers at Mucelo (Nicoadala) about land they are cultivating

DiscussionsThe farmers expressed that

they are cultivating temporarily, the IIAM has the land ownership;

if resettled, the new land should not be far from the actual land;

the IAAM should hire a tractor to cultivate the new land; the IIAM should pay for the existing crops and huts; the new land should be fertile like the land they are

currently cultivating.

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(d) Meeting with Nicoadala District Director for Economic activities on resettlement

Discussions The district is always interacting with the farmers using the Mucelo Land; They are aware that the land belongs to the IIAM; The APPSA will boost the agriculture, specially the rice production in the

district; The District will register the farmers that are using the land for

compensation

(e) Meeting with Ilidio Bande (Provincial Director of Agriculture) on land issues in Mucelo

Discussions There is a land suitable for rice production that can be used for

resettlement of Mucelo farmers, at Nicoadala, if necessary (10000 hectars);

The APPSA is really very important. The farmers can now harvest 1 ton of rice per hectare. With APPSA we

can react 2-3 tons per hectare. The government will compensate the farmers using the land in the

selected sites at Namacurra and Nicoadala.

(f)Meeting with Fatima Mudaisse: Head of Environmental Impact Assessment Department (DPCA) on resettlement

Discussions The department is responsible for managing the resettlement; There is no ongoing resettlement at the moment; The DPCA will promptly collaborate in an event that APSA will need to

resettle farmers

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ANNEX 5. PROCEDURES FOR CHANCE FIND OF PHYSICAL/ CULTURAL RESOURCES

The below will be annexed to the contract in case there is the possibility of chance find of physical cultural resources, i.e. in most instances of construction or rehabilitation of infrastructures such as health, education, water and sanitation facilities etc.

Annex to contracts in case of potential chance find of physical cultural resources

If the Contractor discovers archaeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:

1: Excavation in sites of known archaeological interest should be avoided and as stated in annex D, such subprojects are not eligible for funding. Where historical remains, antiquity or any other object of cultural, historical or archaeological importance (including graveyards) are unexpectedly discovered during construction in an area not previously known for its archaeological interest, the following procedures should be applied: 

(a) Stop the construction activities in the area of the chance find.(b) Delineate the discovered area.(c) Secure the area to prevent any damage or loss of removable

objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Culture take over.

(d) Notify the supervisory Engineer who in turn will notify the county safeguard focal point to contact the responsible local authorities and the Ministry of Education and Culture immediately (less than 24 hours).

(e) The Ministry of Education and Culture will be in charge of protecting and preserving the area until deciding on the proper procedures to be carried out. This might require an evaluation of the findings to be performed by the archaeologists of the relevant Ministry of Education and Culture (within 1 week). The evaluation of the findings will take in consideration various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values as decided by the Ministry of Education and Culture.

(f) Decisions on how to handle the finding be taken by the responsible authorities and the Ministry of Culture (within 2 weeks). This could include changes in the location of the subproject layout (such as when the finding is an irremovable

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remain of cultural or archaeological importance), conservation, preservation, restoration and salvage.

(g) Construction or rehabilitation work will resume only after authorization is provided by the responsible local authorities and the Ministry of Education and Culture concerning the safeguard of the heritage.

(h) Authorization to resume work shall be communicated to the contractor in writing by the Ministry of Education and Culture.

2: In case of delays incurred in direct relation to any physical cultural resources findings not stipulated in the contract (and affecting the overall schedule of works), the contractor may apply for an extension of time. However the contractor will not be entitled to any kind of compensation or claim other than what is directly related to the execution of the physical cultural resources findings works and protections.

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