REPUBLIC OF RWANDA MINISTRY OF LOCAL GOVERNMENT LOCAL ADMINISTRATIVE ENTITIES DEVELOPMENT AGENCY (LODA) RWANDA SOCIAL PROTECTION TRANSFORMATION PROJECT (SPTP) RESETTLEMENT POLICY FRAMEWORK FINAL REPORT July 2022 TABLE OF CONTENTS  TABLE OF CONTENTS ............................................................................................................... ii ACRONYMS AND ABBREVIATIONS ............................................................................................. v EXECUTIVE SUMMARY ............................................................................................................. vi 2. PROJECT DESCRIPTION ..................................................................................................... 9 1.1 Background to the Project ............................................................................................................. 9 1.2 Description of the Proposed Social Protection Transformation Project (SPTP)..................................... 9 1.2.1 Project Development Objective .......................................................................................................................... 10 1.2.2 Project Components ......................................................................................................................................... 10 1.3 Rationale for the Resettlement Policy Framework ........................................................................... 13 2. OBJECTIVES AND METHODOLOGY USED FOR THE PREPARATION OF THE RPF...................... 14 2.1 Objectives of the RPF .................................................................................................................. 14 2.2 RPF Methodology and Stakeholder Engagement/Consultation ......................................................... 15 2.2.1 Methodology .................................................................................................................................................... 15 2.2.2 Stakeholder Engagement .................................................................................................................................. 15 3. PRINCIPLES GOVERNING RESETTLEMENT PREPARATION AND IMPLEMENTATION .............. 17 3.1 Basic Principles of Resettlement............................................................................................. 17 3.2 Objectives of the Resettlement Framework under ESS5 .................................................................. 18 4. LAND ACQUISITION AND RESETTLEMENT IMPACTS ........................................................... 19 5. LEGAL AND INSTITUTIONAL FRAMEWORK ........................................................................ 19 5.1. National Resettlement Regulations .............................................................................................. 19 5.2 World Bank Environmental and Social Framework.......................................................................... 21 5.2.1 Environmental and Social Standard (ESS) 10: Stakeholder Engagement and Information Disclosure ....................... 21 5.2.2 Environmental and Social Standard (ESS) 5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement ............................................................................................................................................................................... 22 5.3 Comparison between national laws and regulations and World Bank standards................................. 22 5.2 Institutional Framework ....................................................................................................... 26 6. RESETTLEMENT PLANS .................................................................................................... 26 6.1 The Resettlement Process ........................................................................................................... 27 6.2 Project Affected Entities .............................................................................................................. 28 6.3 Eligibility Criteria and Cut-Off Dates .............................................................................................. 29 6.3.1 Criteria for Determining Eligibility for Compensation ............................................................................................. 29 6.3.2 Method to Determine Cut-off dates ..................................................................................................................... 30 6.4 Basis for Valuation...................................................................................................................... 30 6.5 Compensation Payments and Related considerations ..................................................................... 31 6.6 Entitlement Matrix ....................................................................................................................... 32 6.7 Timeframes ................................................................................................................................ 36 ii 6.8 Linking Resettlement Implementation to Civil Works ....................................................................... 36 7. GUIDING PRINCIPLES FOR LAND ACQUISITION AND COMPENSATION ................................. 36 7.1 Land Acquisition Procedure ......................................................................................................... 36 7.2 Voluntary Land Donations ........................................................................................................... 37 7.3 Involuntary Acquisition of Land .................................................................................................... 37 7.4 Eligibility Criteria for Compensation .............................................................................................. 37 7.5 Procedures for Payment of Compensation ..................................................................................... 37 8. GRIEVANCE REDRESS MECHANISM .................................................................................. 38 8.1 Objectives of the Grievance Redress Mechanism ........................................................................... 38 8.2 Grievance Redress Mechanism levels ........................................................................................... 39 a. Community and Lower-Level Grievance Redress Mechanism .............................................................................. 39 b. Advanced Project Level Grievance Redress Mechanism ...................................................................................... 40 c. World Bank Grievance Redress Service (GRS) ................................................................................................... 41 d. Judiciary Level Grievance Redress Mechanism .................................................................................................. 41 8.3 GBV Related Grievance Redress Mechanism ................................................................................. 43 8.4 Building Grievance Redress Mechanism Awareness ....................................................................... 44 8.5 Monitoring and Reporting of GRM................................................................................................. 44 9. PUBLIC CONSULTATION AND DISCLOSURE PLAN .............................................................. 44 9.1 Data collection phase .................................................................................................................. 45 9.2 Implementation phase ................................................................................................................. 45 9.3 Monitoring and evaluation phase .................................................................................................. 46 9.4 Disclosure Arrangements for RPFs and subsequent RAPs .............................................................. 46 10. ORGANIZATIONAL ELEMENTS AND PROCEDURE FOR DELIVERY OF COMPENSATION ..... 46 10.1 The Procedure .......................................................................................................................... 46 10.2 Capacity assessment and capacity building need ......................................................................... 47 11. IMPLEMENTATION COSTS FOR THE RPF ........................................................................ 48 12. MONITORING AND EVALUATION PLAN ........................................................................... 48 12.1.4 A/RAP Implementation Completion Report ........................................................................................................ 50 12.2.1 Responsibility of the authorities ........................................................................................................................ 51 12.2.2 Indicators to Determine the Status of Affected People ........................................................................................ 51 12.2.3 Annual audit ................................................................................................................................................... 52 12.2.4 Socio-economic monitoring .............................................................................................................................. 52 12.2.5 Reporting and documentation .......................................................................................................................... 52 ANNEXES ............................................................................................................................... 54 Annex 1: Annotated Outline for Preparing a Resettlement Plan .............................................................. 54 Annex 2: Grievance Information Form ................................................................................................ 58 Annex 3: Grievance Acknowledgement Form (GAF) ............................................................................. 60 Annex 4: Grievance Redressal Registration Monitoring Sheet ............................................................... 61 iii Annex 5: Disclosure/Release Form .................................................................................................... 62 Annex 6: Rwanda Social Protection Transformation Project - Consultation Guide [Umushinga ugamije kuzamura imibereho myiza y’abaturage mu Rwanda – Inyoborakiganiro ] .................................................. 63 Annex 7: Sample Table of Contents for Consultation Reports ............................................................... 64   iv ACRONYMS AND ABBREVIATIONS ARAP Abbreviated Resettlement Action Plan BP Bank Procedures cPW Classic Public Works ECD Early Childhood Development ESF Environmental and Social Framework ePW Expanded Public Works ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESS Environmental and Social Standard GBV Gender Based Violence GoR Government of Rwanda GRM Grievance Redress Mechanism GRC Grievance Redress Committees HCDO Human Capital Development Operations LGs Local Governments LODA Local Administrative Entities Development Agency M&E Monitoring and Evaluation MEP Monitoring and Evaluation Plan MDA Ministries, Departments and Agencies MINALOC Ministry of Local Government NGO Non-Governmental Organization NSDS Nutrition Sensitive Direct Support OP Operational Policy PAPs Project Affected Persons PCDP Public Consultation and Disclosure Procedures PIU Project Implementing Unit PW Public Works RAP Resettlement Action Plan REMA Rwanda Environment Management Authority RPF Resettlement Policy Framework SEA Sexual Exploitation and Abuse SPTP Social Protection Transformation Project SSPP Strengthening Social Protection Project VUP Vision Umurenge Programme WB World Bank WBG World Bank Group v EXECUTIVE SUMMARY The Government of Rwanda is in the process of acquiring financing from the World Bank Group (WBG) for the Rwanda Social Protection Transformation Project (SPTP) with the aim to strengthen Rwanda’s Social Protection Systems for Enhanced Resilience and Human Capital Development for poor and vulnerable Households. The SPTP will build on the achievements made under the previous World Bank Strengthening Social Protection Project (SSPP), as well as build on gains made so far in ongoing human capital development operations and address gaps that have been identified such as coverage and expansion, livelihood enhancement and graduation, malnutrition, building resilience and systems strengthening and other innovations solutions. Project Development Objective To strengthen Rwanda’s Social Protection Systems for Enhanced Resilience and Human Capital Development for poor and vulnerable households through: i. Improve the design of Vision Umurenge Program (VUP) to address service delivery issues, specifically to improve the coverage of the poor and effectiveness of safety nets programs; ii. Enhance safety nets linkage to human capital investment, particularly among households with young children to address risks of malnutrition and enhance child development; iii. Supporting management capacity, human resource capacity and systems at both central and local government levels. Project components The project is structured under four components which include: accelerating human capital development, support to economic inclusion and transformative systems, policy and program coordination, and capacity building, policy and program coordination. Component 1: Enhance Resilience and Acceleration of Human Capital Development (US$ 70 million) This component will support investments in human capital focused safety programs with the objective to enhance the household’s resilience and leverage the power of social safety nets to accelerate human capital development in Rwanda. The component will accordingly cover the financing costs associated with the Direct Income Support program for vulnerable labor constrained households, the Nutrition Sensitive Direct Support (NSDS), the expended Public Works (ePW) program with a focus on the Home Based-Early Child Development (HBECD) scheme, and classic Public Works (cPW) with a focus on climate sensitive projects. Component 2: Support to Economic Inclusion (US$ 17.7 million) This component aims to take the Government’s graduation agenda to the next level through: (i) improving effectiveness and expansion of Sustainable Livelihoods Enhancement (SLE) and Para Social-workers scheme; and (ii) strengthening linkages between social assistance and social insurance, namely the Ejo Heza scheme. Component 3: Transformative Systems [digitization] (US$ 5.3 million) This component will make investments towards developing and enhancing delivery systems that serve as a foundation for a robust safety net system. The component will build on and compliment the work already underway through SSPP, HCIG-DPF and DARP respectively on the digitization of VUP payments and operationalization of the dynamic social registry. These two areas that are foundational for an adaptive SP safety net system with the ability for timely response to shocks, as was evidenced during COVID-19 pandemic and the Government’s use of SP delivery systems for a rapid roll out ofCOVID -19 emergency payments. vi Component 4: Capacity building, policy and program coordination (US$ 6.8 million) This component will ensure that the policy and programs supported through the project are well developed with quality assurance at all levels of implementation and adequate orientation of concerned implementation staff at both central and decentralized levels. Rationale of the Resettlement Policy Framework To the extent possible, the project will also involve public works. There project will try to avoid land take, compensation, and resettlement. Though highly unlikely, land take may occur, hence the need for this resettlement policy framework (RPF) to guide management of resettlement impacts and resettlement action plans where they are necessary. A key principle will be to ensure that every affected asset is compensated at replacement value in case of structures or market rate for land acquired by the project, and that all livelihoods impacted are reasonably restored. Potential Resettlement Impact of SPTP Project activities that are expected to have impact are mainly radical terraces development, progressive terraces development, greening and beautification of public places, tree (fruits, agroforestry, and forestry) plantation and maintenance, fruits nursery establishment, community roads rehabilitation and maintenance, and rehabilitation and maintenance of waterways in marshlands. These are expected to cause loss of land for road upgrading and spot improvement, construction of irrigation canals/ditches for marshland rehabilitation, settlement/school construction, loss of privately owned land for use as borrow pits, loss of crops or assets due to radical terraces development, loss of crops and structures/assets on these lands, and temporary or permanent loss of land from access roads. If not well managed, the above activities might cause some degree of involuntary resettlement. Management measures include effective and continuous stakeholder consultations/ engagements will be conducted prior to commencement of civil works; avoid or minimize projects that could affect community assets and in case they affect the community, provide just and fair compensation; livelihood/income restoration, and civil works through roadside market will be conducted during agreed appropriate hours and works on market days will be avoided. Although there might not be physical displacement, some land take and economic displacement might occur. Therefore, compensation and livelihood restoration might be needed. At this stage, it is not possible to estimate the likely number of people may be affected by the proposed project. LODA will therefore, plan for RAP costs that may not exceed 0.1% of the total project cost. Legal and Institutional Framework It is expected that implementation of the project will comply with Rwandan laws, regulations and policies as well as the World Bank Environmental and Social Standards. In areas where Rwandan laws, regulations and policies differ from the World Bank Environmental and Social Framework, the World Bank ESF seems to be more advantageous to the communities. Therefore, in areas where national laws, regulations and policies differ from World Bank ESF, ESF will take precedence to ensure a socially and environmentally responsible development. Resettlement Plans This RPF provides a framework for resettlement associated with the project. When all the details of the project investments are clear, each subproject will need to go through a process to identify the level of resettlement required, and if so, the development of a plan for resettlement. At this stage, the World Bank ESS 5 may call for the preparation of individual A/RAPs consistent with this RPF. vii Grievance Redress Mechanism It is expected that all grievance or dispute issues pertaining to the Project will be resolved at the District level through different grievance redress committees. Issues that are not resolved at the level of these committees will be taken to the higher Project Coordination Unit. However, the mechanism will not prevent unsatisfied complainants from resort to the Rwandan judiciary (mediators and courts). Monitoring and evaluation In order to assess whether the goals of the resettlement and compensation plan are being 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 to carry out the monitoring activities. The arrangements for monitoring the resettlement and compensation activities will fit the overall monitoring program of the entire project, which will fall under the overall responsibility of the different executing agencies. viii 1. PROJECT DESCRIPTION 1.1 Background to the Project The 2016/17 Integrated Household Living Conditions Survey (EICV5), published in November 2018, showed that 38.2 percent of the population live below the national poverty line and 16 percent below the extreme poverty line, a reduction from 39.1 percent and 16.3 percent, respectively in 2013/14. Despite Rwanda’s impressive achievements since 2000/2001 in reducing poverty, critical challenges remain, including the recent slowdown in poverty reduction, the high rate of chronic malnutrition and, more broadly, the relationship between poverty, vulnerability, and child development. The slow reduction in poverty reduction has been worsened by the outbreak of Covid-19 in Rwanda since March 2020, which has had negative effects on livelihoods and economic activities due to different measures that have been put in place to slow down the spread of the virus. Social protection remains one of the main priorities of the Government of Rwanda (GoR) for achieving the twin goals of accelerating poverty reduction and contributing to human capital development. To further this agenda, Rwanda has built an integrated social protection system to ensure a minimum standard of living and access to core public services, boost resilience to shocks, promote equitable growth, and strengthen opportunity through increased human capital development. Social protection programs have positive impacts on multiple outcomes across the life cycle, from improving nutrition, health, and cognitive and non-cognitive skills in the early years, which is the most sensitive period for human capital accumulation. 1.2 Description of the Proposed Social Protection Transformation Project (SPTP) The SPTP has been designed as part of the series of World Bank support to the government of Rwanda, specifically when the SSPP (2018-2021) is completed. The USD $ 103 million project contributed to government’s commitment of scaling up VUP to more geographical sectors (direct support, classic public works, nutrition sensitive direct support, expanded public works including home based ECD, productive assets transfer, skills development and para-social workers scheme). Other areas of support include, but are not limited to, systems strengthening and delivery mechanisms such as payment systems, a MIS to enhance service delivery aimed at enhancing internal control systems and speed up the delivery of cash to the beneficiaries. Alongside the SSPP, the Human Capital for Inclusive Growth Development Policy Financing (HCIG DPF), also commits to supporting the ongoing policy implementation including increasing coverage, systems strengthening, increasing the effectiveness of targeting through the development of the dynamic social registry. In a bid to continue the sustaining the gains made, despite the recent set back caused by COVID-19, the Government of Rwanda and the World Bank through the Ministry of Local Government (MINALOC) and Local Administrative Entities Development Agency (LODA) have embarked on designing a follow up project to the SSPP with the aim of sustaining the achievements made under the previous projects. The social protection transformational project will build on both the achievements registered under the SSPP and the HCDO with particular emphasis on strengthening the contribution of social protection to human capital development. The Rwanda Social Protection Transformation Project (SPTP) will particularly build on the achievements made under the previous SSPP, as well as build on gains made so far in the ongoing human capital development operations and address gaps that have been identified such as coverage and expansion, livelihood enhancement and graduation, malnutrition, building resilience and systems strengthening and other innovations solutions. 9 1.2.1 Project Development Objective To strengthen Rwanda’s Social Protection Systems for Enhanced Resilience and Human Capital Development for poor and vulnerable Households through: i. Improve the design of VUP to address service delivery issues, specifically to improve the coverage of the poor and effectiveness of safety nets programs; ii. Enhance safety nets linkage to human capital investment, particularly among households with young children to address risks of malnutrition and enhance child development; iii. Supporting management capacity, human resource capacity and systems at both central and local government levels. 1.2.2 Project Components The Rwanda Social Protection Transformation Project (SPTP) will build on the current Vision Umurenge Program components mainly the social safety nets (Direct Support, classic public works, expanded public works including home based ECDs and Nutrition Sensitive Direct Support) as well as livelihoods enhancement schemes that will contribute to graduation such as productive assets, skills development, financial education and social behavior change communication linked to a network of para social workers who are expected to play an important role in linking graduation clients to a range of socio economic activities. Additionally, through the project, the linkages between social assistance and social insurance especially long-term savings schemes and other probable social insurance schemes aimed at protecting households for shocks will be assessed. The project is structured under four components which include: accelerating human capital development, support to economic inclusion and transformative systems, policy and program coordination, and capacity building, policy and program coordination. Component 1: Enhance Resilience and Acceleration of Human Capital Development (US$ 70 million) This component will support investments in human capital focused safety programs with the objective to enhance the household’s resilience and leverage the power of social safety nets to accelerate human capital development in Rwanda. The component will accordingly cover the financing costs associated with the Direct Income Support program for vulnerable labor constrained households, the NSDS, the ePW program with a focus on the Home Based-ECD scheme, and cPW with a focus on climate sensitive projects. Specifically, the project will support expanding the coverage of the VUP safety nets, increasing the number of poor and vulnerable households who receive income support. Project financed VUP expansion will prioritize the expansion of human capital-focused interventions, namely the NSDS and ePW, to target the poor and vulnerable groups with a focus on households with women and children. At the end of the second quarter, 2021/2022, NSDS has benefited 202,738 (cumulative) households in 18 districts and will be scaled up horizontally and vertically to reach an estimated 491,400 households in all 30 districts of the country. The ePW program will be expanded from 300 sectors to all 416 sectors of the country to reach an estimated 94,000 households from a baseline of 58,000 households. The project will explore expanding eligibility criteria for ePWs to include households with children attending school, to incentivize a reduction in school dropouts and promote human capital development objectives. Under Home-Based ECD scheme, the Government will aim to double operational HB-ECDs from 4,789 to 9,500 with the potential of employing 66,500 total beneficiaries as caregivers. Direct Income Support will be expanded from 119,798 to 180,000 households. Expansion of cPWs will also be supported as the program targets poorest households with some labor capacity and per Government statistics have a larger than average household size of 5.4. 10 Excluding the cPW program may lead to the exclusion of a large number of vulnerable women and children from safety net programs. The project will further leverage cPWs for human capital gains by supporting integration of gender sensitive and climate smart public works programs that support community resilience against climate related shocks. Program targeting for all of the above will utilize th e GoR’s Ubudehe community-based household classification system with the expectation to further leverage the new social registry to guide expansion as and when it is operational. The project will support investments to enhance the design and implementation of VUP through operational and process changes, where identified. For NSDS and ePWs, parametric and operational changes will draw from the findings from the operational reviews that were recently conducted under the SSPP. A Knowledge Attitude and Practice survey on Community/Home-based ECD HB-ECD is also about to commence and will further provide insights from beneficiaries and program implementers on how to improve the program design and enhance outcomes. Component 2: Support to Economic Inclusion (US$ 17.7 million) This component aims to take the Government’s graduation agenda to the next level through: (i) improving effectiveness and expansion of Sustainable Livelihoods Enhancement (SLE) and Para Social-workers scheme; and (ii) strengthening linkages between social assistance and social insurance, namely the Ejo Heza scheme. First, the project will support expansion of the SLE and Para-social workers schemes in line with the Government’s National Strategy for Sustainable Graduation 2021 (“Graduation Strategy”) and building on the lessons from the initial implementation of these schemes under SSPP. In line with the national strategy for sustainable graduation all households with the capacity to engage productively with markets will receive a personalized sequenced 2-year package of SLE interventions, including safety nets (public works), productive assets, skills training, financial literacy/entrepreneurship training, coaching as well as other inputs tailored to their needs and sector-level availability of services. Additionally, the component will finance interventions aimed at social behavior change communication (SBCC), sensitization and mobilization within the broader community. This is to tackle the broader social and gender norms that might hinder the full realization of the productive capacities of selected extreme poor households. Such a tailored approach, in addition to catering to specialized needs of beneficiaries, also grounds expectations of graduation timeframes with the reality of meso and macro level availability of conducive environments. The graduation delivery mechanism is based on para-social workers who will provide regular coaching to households. Para social workers benefit from a strong community buy-in as their selection follows a transparent scheme based on personal behavior. Their good understanding of the local context and location in the same neighborhood as beneficiaries allows them to provide timely and adapted assistance and follow up. Para-social workers will play a key role in monitoring progress of households, through a standardized tracking tool, to introduce the right packages that meet household needs and capitalize on opportunities available to them. This component will finance the cost of developing the relevant tracking tools, training of para-social workers in these tools and other skills, necessary IT equipment and solutions, and help develop non-monetary incentive mechanisms to ensure retention and availability of good quality competent para- social workers. This may include annual workshops for refresher trainings, general motivation on their roles and responsibilities, and cross fertilization of ideas and learnings. Second, this component will strengthen existing linkages between the social assistance system and the Ejo Heza scheme. Currently, Ejo Heza relies on the social assistance scheme to identify households eligible for fiscal incentives to promote savings by the poor and vulnerable. Activities under this component will aim to strengthen these links by actively incentivizing social assistance beneficiaries to participate in the Ejo Heza scheme. With new benefit amounts recently approved for NSDS and ePW, the Ejo Heza scheme would be of interest to NSDS and ePW households with the objective to improve their resilience with tailored communication and outreach activities. 11 Para-social workers can serve as a powerful channel of communication to explain benefits of saving through Ejo Heza, support in registering individuals, and nudge them to save. Dedicated Human Capital officers who have the mandate of supporting programs at local level with aim to accelerate human capital development, are another important channel to promote participation of social assistance beneficiaries in Ejo Heza. This component will provide additional fiscal subsidies to incentivize social assistance beneficiaries either to enroll in the Ejo Heza scheme or to increase level of savings by those that are already registered in the scheme. Component 3: Transformative Systems [digitization] (US$ 5.3 million) This component will make investments towards developing and enhancing delivery systems that serve as a foundation for a robust safety net system. The component will build on and compliment the work already underway through SSPP, HCIG-DPF and DARP respectively on the digitization of VUP payments and operationalization of the dynamic social registry. These two areas that are foundational for an adaptive SP safety net system with the ability for timely response to shocks, as was evidenced during COVID-19 pandemic and the Government’s use of SP delivery systems for a rapid roll out ofCOVID -19 emergency payments. First, this component will support the operationalization of a dynamic social registry and will be done through supporting activities such as community outreach and communication related to the introduction of the social registry as a targeting tool; community validation process of the household welfare scores; additional resources needed under MINALOC to host and manage the social registry; and support for the operationalization of a social registry information system. While version one of the social registry will rely on data that was collected in 2019 (data collection completion year), it is expected that data will be updated during the lifetime of the project to ensure the relevance of the data and its alignment with evolving poverty metrics particularly following welfare changes post COVID-19. The project will accordingly support the collection of updated household profiling data as well as supporting possible links between the social registry and the integrated social protection information system (iSP-MIS). Additionally, given the prevalence of climate shocks, this component will also finance the establishment of a mechanism to update social registry data in the aftermath of such shocks to facilitate a rapid expansion of social protection programs, particularly, direct income support. Second, this component will provide support to digitization of VUP transfers, including via mobile money. The project will build from the VUP payments digitization pilot that started under SSPP and will be further informed by the assessment being supported through a separate G2Px Bank-executed trust fund (BETF), along with the accompanying roadmap. The project will support any adaptions in implementation as and when needed, including consistently reviewing all payment modalities for payments to made to transaction accounts including, mobile money accounts, accounts at use of SACCOs and other licensed financial institution using different channels. The support will include any required upgrades to LODA’s backend systems, including Monitoring and Evaluation Information System (MEIS) to ensure proper management and tracking of digitized VUP payments and fiduciary accountability for strengthened end-to-end reconciliation of beneficiary funds. The support will also include awareness building and capacity building activities, dialogue with telecom operators as well as establishing linkages with Mobile Devices Affordability program supported by Digital Rwanda project, which is designed to improve affordability of mobile phones for the poorest households. Component 4: Capacity building, policy and program coordination (US$ 5.3 million) Component 4 will ensure that the policy and programs supported through the project are well developed with quality assurance at all levels of implementation and adequate orientation of concerned implementation staff at both central and decentralized levels. 12 The component will support the coordination of Civil Society Organizations and Development Partners to ensure that the sector is well coordinated at implementation level for the smooth delivery of the social protection interventions. Stakeholder engagement will aim to ensure that (i) CSOs use the existing established systems such as targeting, eligibility criteria and the existing coordination framework; (ii) districts understand what CSOs are doing and how to engage with them; (iii) reporting, monitoring and evaluation and learning from CSOs and their engagement with beneficiaries can be documented; (iv) development partners are well aligned to the policies, strategies and plans in place and (v) the Social Protection Sector Working Group (SP-SWG) coordination mechanisms are enhanced. The component will also support public communication and social and behavior change communications. Specifically, support will be provided for the implementation of the communication strategy which envisages a continuous engagement with communities and beneficiaries to ensure that: the objectives and expected results of the project are well disseminated; the beneficiaries understand their rights, roles and responsibilities as well as enhanced redress and grievance mechanisms; the key messages developed by MINALOC and LODA and other institutions (for example on NSDS, CRVS, HBECD, community mobilization) reach the communities effectively; and the evidence generated is communicated effectively. Support to monitoring and evaluation will include capacity building for data analysis to ensure real-time generation of lessons and quick remedial actions where needed. The project will further finance training activities to support on-going and new interventions. This will include development of user manuals for implementers at all levels; cascade training including continuous induction and refresher trainings. The project will pay special attention to ensure senior officials at all levels are trained on how to extract and use program data to support program targets. 1.3 Rationale for the Resettlement Policy Framework The World Bank Environmental and Social Framework (ESF) has been adopted to manage environmental and social risks of the SPTP. In line with the ESF, this Resettlement Policy Framework (RPF) has been prepared in compliance with World Bank ESS5 on Land Acquisition, Restrictions on Land Use and Involuntary Resettlement. A framework document has been prepared under the rationale that although there is general knowledge about the types of sub-projects likely to be implemented, their design specifications and features, specific locations and the type and zone of impacts cannot be determined at this stage of project preparation. The RPF will therefore, be used to screen all project activities for their potential resettlement impact, propose and streamline all the necessary procedures to follow in mitigating and minimizing resettlement impacts. The Bank guidance indicates that involuntary resettlement is defined as referring to both the physical displacement (relocation or loss of shelter) and economic displacement (loss of assets or access to assets that leads to loss of income sources or means of livelihoods) resulting from land acquisition undertaken specifically for a project, which if unmitigated, often gives rise to severe economic, social, and environmental risk. Among these are: production systems dismantled; people face impoverishment when their productive assets or income sources are lost; people are relocated to environments where their productive skills maybe less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished or lost. This policy framework proposes measures to address and mitigate these risks. 13 2. OBJECTIVES AND METHODOLOGY USED FOR THE PREPARATION OF THE RPF 2.1 Objectives of the RPF The Resettlement Policy Framework (RPF) will guide the implementation of land acquisition activities to facilitate SPTP civil works; ensure that displacement issues are resolved and that the livelihoods of the affected persons are not negatively impacted on and, where it is unavoidable, they are duly compensated and/or resettled. The project will be implemented in line with the World Bank Environmental and Social Framework and the RPF is prepared under the requirements of ESS5 that requires all World Bank- funded projects to avoid involuntary displacement of people in project areas as much as possible. Where involuntary resettlement is unavoidable, ESS5 requires it to be minimized and appropriate measures to mitigate adverse impacts on displaced persons (and on host communities receiving displaced persons) to be carefully planned and implemented. The RPF will state the principle and guide any resettlement action plans for avoidance of involuntary resettlement and management of the negative impacts where inevitable. A project A/RAP or site-specific A/RAPs will be prepared on confirmation of the project designs and locations which will inform the project land requirements. Specifically, the objective of this Resettlement Policy Framework (RPF) is to provide the following: a) a brief description of the project and components for which land acquisition and resettlement are required; b) principles and objectives governing resettlement preparation and implementation; c) a description of the process for preparing and approving resettlement plans; d) estimated displacement impacts and estimated numbers and categories of displaced persons, to the extent feasible; e) eligibility criteria for compensation; f) a gap analysis of the borrower’s laws and regulations and the Bank policy requirements and propose measures to bridge any identified gaps between them; g) methods of valuing affected assets; h) administrative structures and mandates in the delivery of compensation and other resettlement assistance; i) a description of the implementation process, linking resettlement implementation to civil works; j) a description of grievance redress mechanisms; k) a description of the arrangements for funding resettlement, including the preparation and review of cost estimates, the flow of funds, and contingency arrangements; l) a description of mechanisms for consultations with, and participation of, affected persons in planning, implementation, and monitoring; and m) Arrangements for monitoring by the implementing agency and, if required, by third-party monitors. The RPF will provide principles, organizational arrangements, and funding mechanisms for any resettlement (if encountered), that may arise during implementation. Therefore, the RPF will guide the preparation of Abbreviated/Resettlement Action Plans (A/RAPs), as needed, for the projects. The RPF follows the guidance provided in the World Bank ESS on Land Acquisition, Restrictions on Land Use and Involuntary Resettlement (ESS 5) impacts of t h e proposed SPTP can be minimized by measures listed below:  Avoiding displacement of people without a well-designed compensation and relocation process;  Minimizing the number of PAPs, to the extent possible;  Compensating for losses incurred, incomes and livelihoods; and  Ensuring resettlement assistance or rehabilitation to identified vulnerable groups, as needed, to address impacts on PAPs’ livelihoods and their wellbeing. 14 2.2 RPF Methodology and Stakeholder Engagement/Consultation 2.2.1 Methodology The RPF was prepared based on the following methodology: a) Review of project documents b) Regulatory review c) Review of the World Bank Environmental and Social Standards d) Visit to some potential project sites/Districts e) Key stakeholder consultation 2.2.2 Stakeholder Engagement With the objective of informing stakeholders about the project, soliciting their opinion and support for the project, preliminary stakeholder consultations were conducted in November 2021 at the national, regional and district levels. Due to the outbreak of the COVID-19 pandemic, intermittent consultations were conducted face-to-face with selected stakeholders and online with others. All consultations were conducted in adherence to the key COVID-19 SOPs in the World Bank technical note on public consultations and stakeholder engagement, as well as measures to fight COVID 19 from the Ministry of Health particularly, hand sanitizing, screening of temperatures, wearing of masks and social distancing among others. The principles applied during engagement with stakeholders included:  Significance: deal with issues of significance to stakeholders.  Completeness: understand the concerns, views, needs and expectations.  Responsiveness: respond coherently and appropriately. The interaction with stakeholders requires:  Communication: open and effective communication means listening and talking.  Transparency: clear and agreed information and feedback processes.  Collaboration: work to seek mutually beneficial outcomes where feasible.  Inclusiveness: recognize, understand and involve stakeholders in the process.  Integrity: conduct engagement in a manner that fosters mutual respect and trust. Stakeholders involved in this project range from agencies, government entities, private entities, target groups (local leaders and communities). Methodologies used to engage and obtain input from stakeholders include:  Face-to-face stakeholder meetings  Gender specific engagements  Phone and/or WebEx/Zoom meetings  Email correspondence  Literature searches. The SPTP places emphasis on a fully inclusive, open and transparent stakeholder participation process in the transfer of information. To this end, meetings with key stakeholders were inclusively held at selected District headquarters across Rwanda, Government Ministries Departments and Agencies (MDAs), representatives of people who are likely to be affected, district, sector and cell leaders. The key stakeholders consulted and the key outcomes are shown in the table below. Table 1: Key stakeholders in the proposed SPTP Interest during Key outcomes Stakeholder Stakeholders project category implementation Ministries, 1. The World Bank Group Collaborators in SPTP builds on SSPP and should agencies and (WBG) project diversify and increase the beneficiaries development 2. United Kingdom’s Foreign, preparation Communities need to be amply consulted 15 partners Commonwealth and to have their views of what they think the Development Office (FCDO) project should focus on 3. Ministry of Local Government (MINALOC) 4. Local Administrative Entities Development Agency (LODA) 5. National Identification Agency (NIDA) District officials Ngororero District Collaborators in From experience from SSPP, activities to Nyamasheke District project be funded might include radical terraces Gatsibo District, implementation development, progressive terraces Huye District, development, greening and beautification Bugesera District of public places, tree (fruits, agroforestry, Nyamasheke District forestry) plantation and maintenance, Burera District fruits nursery establishment, community Ngororero District roads rehabilitation and maintenance, rehabilitation and maintenance of waterways in marshlands, and refurbishment of already existing home- based facilities such as latrines and other public and community infrastructures. Leaders from Leaders of Sectors and Cells Beneficiary Local leaders are very happy with the administrative officials project offices They wish to have more people employed and their livelihoods improved Resettlement issues should be given more consideration In case people get affected, they need to be fairly compensated and livelihoods need to be restored Representatives Targeted communities Beneficiary Communities are very happy with the of beneficiary communities project communities They want to have more people employed and their livelihoods improved Communities wish to be involved in choosing investments/activities to be funded They also wish to actively participate in assessing the impact on their lives and valuing their properties In case they get affected, they need to be fairly compensated and they want their livelihoods to be amply restored It is worth mentioning that during the initial consultations, not all categories described above could be reached in every District because of the limitations imposed by COVID-19 prevention measures and the timeframe that the exercise had. However, it was ensured that all categories are represented in the whole exercise. The following table summarizes the initial stakeholder engagement activities that took place. 16 Table 2: Initial stakeholder engagement activities Format and Date & Location Stakeholders Outcome Objectives October 4-12, United Kingdom’s Virtual meeting Preparation mission for the 2021 Foreign, follow-on project (Rwanda - Commonwealth and Social Protection Development Office Transformation Project, SPTP) (FCDO) Ministry of Local Government (MINALOC) Local Administrative Entities Development Agency (LODA) National Identification Agency (NIDA) Preparation mission for the follow-on project (Rwanda - In-person Social Protection November 4, 2021 MINALOC and LODA consultation meeting Transformation Project, SPTP) Possible impacts/issues in communities Ngororero District, Nyamasheke District, In-person Preparation of the project November 6, 2021 Gatsibo District, Huye consultation meeting Concerns of the communities District, and Bugesera District Nyamasheke District, In-person Preparation of the project November 7, 2021 Burera District, consultation meeting Concerns of the communities Ngororero District World Bank Instruments to be developed in November 20, Environmental and Virtual meeting the Social Protection 2021 Social Safeguards Transformation Project (SPTP) Team 3. PRINCIPLES GOVERNING RESETTLEMENT PREPARATION AND IMPLEMENTATION 3.1 Basic Principles of Resettlement It is a generally accepted principle that infrastructure projects entailing land acquisition will most likely impose restrictions on land use can have adverse social and economic impacts on communities and persons. Project-induced land acquisition or restrictions on land use may cause physical displacement (relocation, loss of residential land or loss of shelter), economic displacement (loss of land, assets or access to assets, leading to loss of income sources or other means of livelihood) or both. These impacts are what is referred to as “involuntary resettlement”. Resettlement is considered involuntary when affected persons or communities do not have the right to refuse land acquisition or restrictions on land use that result in displacement. 17 The impacts that usually result from involuntary resettlement from development projects, may give rise to economic, social and environmental risks resulting in production systems being dismantled, people facing impoverishment when their productive assets or income sources are lost, people being relocated to environments where their productive skills may be less applicable and the competition of resources increases; community institutions and social networks being weakened; kin groups being dispersed; and cultural identity, traditional authority, and the potential for mutual help being diminished or lost. The applicability of ESS5 is established during the environmental and social assessment described in ESS1. ESS5 refers to permanent or temporary physical and economic displacement resulting from the following types of land acquisition or restrictions on land use undertaken or imposed in connection with project implementation: (a) land rights or land use rights acquired or restricted through expropriation or other compulsory procedures in accordance with national law; (b) land rights or land use rights acquired or restricted through negotiated settlements with property owners or those with legal rights to the land, if failure to reach settlement would have resulted in expropriation or other compulsory procedures; (c) restrictions on land use and access to natural resources that cause a community or groups within a community to lose access to resource usage where they have traditional or customary tenure, or recognizable usage rights. This may include situations where legally designated protected areas, forests, biodiversity areas or buffer zones are established in connection with the project; (d) relocation of people without formal, traditional, or recognizable usage rights, who are occupying or utilizing land prior to a project specific cut-off date; (e) displacement of people as a result of project impacts that render their land unusable or inaccessible; (f) restriction on access to land or use of other resources including communal property and natural resources such as marine and aquatic resources, timber and non-timber forest products, fresh water, medicinal plants, hunting and gathering grounds and grazing and cropping areas; (g) land rights or claims to land or resources relinquished by individuals or communities without full payment of compensation; and (h) land acquisition or land use restrictions occurring prior to the project, but which were undertaken or initiated in anticipation of, or in preparation for, the project. This RPF is guided by World Bank ESS5 and the laws of Rwanda for land acquisition and impacts on assets for the SPTP set procedures and guidelines for compensation while acquiring land from citizens. It is important to note that both country laws and the World Bank’s ESS 5 will be adhered to. 3.2 Objectives of the Resettlement Framework under ESS5 The requirements and objectives of ESS5 that underpin this policy and inform resettlement action planning that have been adopted are: i. To avoid involuntary resettlement or, when unavoidable, minimize involuntary resettlement by exploring project design alternatives. ii. To avoid forced eviction. iii. To mitigate unavoidable adverse social and economic impacts from land acquisition or restrictions on land use by: (a) providing timely compensation for loss of assets at replacement cost and (b) assisting displaced persons in their efforts to improve, or at least restore, their livelihoods and living standards, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher iv. To improve living conditions of poor or vulnerable persons who are physically displaced, through provision of adequate housing, access to services and facilities, and security of tenure. To conceive and execute resettlement activities as sustainable development programs, providing sufficient investment resources to enable displaced persons to benefit directly from the project, as the nature of the project may warrant. v. To ensure that resettlement activities are planned and implemented with appropriate disclosure of information, meaningful consultation, and the informed participation of those affected. 18 4. LAND ACQUISITION AND RESETTLEMENT IMPACTS The acquisition of land for the SPTP project facilities will have different impacts (both positive and negative) depending on the location, the existing developments, land tenure systems and the socio-economic activities in the area. Potential resettlement impacts are discussed in table below. Table 3: Likely adverse resettlement impacts and management measures Project Activity Nature of impact Management measure  Radical1 terraces development  Loss of land for road upgrading  Effective and continuous stakeholder  Progressive terraces and spot improvement, or for consultations/ engagements will be development construction of irrigation conducted prior to commencement of  Greening and beautification of canals/ditches for marshlands civil works. public places rehabilitation or for  Avoid or minimize projects that could  Tree (fruit, agroforestry, forestry) settlements/schools construction affect community assets and in case plantation and maintenance  Loss of privately owned land for they affect community, provide just  Fruits Nursery establishment use as borrow pits and fair compensation,  Community roads rehabilitation  Loss of crops or assets due to  Livelihood/income restoration, and maintenance radical terraces development  Civil works through roadside market  Rehabilitation and maintenance  Loss of crops and will be conducted during agreed of waterways in marshlands structures/assets on these lands appropriate hours and works market  Temporary or permanent loss of days will be avoided. land from access roads Refurbishment of already existing Tree loss due to cutting down trees  Effective and continuous stakeholder home-based facilities such as for roofing and strengthening latrines consultations/ engagements, latrines and other public and or existing home-based infrastructure  Just and fair compensation (if any), community infrastructures  Livelihood/income restoration, 5. LEGAL AND INSTITUTIONAL FRAMEWORK This Resettlement Policy Framework will take into account the existing national regulatory framework as well as the World Bank environmental and social framework. 5.1. National Resettlement Regulations Rwanda has numerous legal and policy framework relating to land and resettlement issues. These include:  The Rwandan Constitution, promulgated in 2015;  Land Valuation Law promulgated in 2010;  Expropriation Law No. 32/2015 of 11/06/2015;  Law No. 55/2011 of 14/12/2011 Governing Roads in Rwanda  Organic Law No. 43/2013 of 16/06/2013 governing land in Rwanda 5.1.1. Constitution of Rwanda The constitution is the supreme law in Rwanda. Under Article 34 of the Rwanda constitution, it is stated that: “everyone has the right to private property, whether individually or collectively owned”. Furthermore, it mentions private property, whether individually or collectively owned, is inviolable. However, this right can be interfered with in case of public interest, in circumstances and procedures determined by law and subject to fair and prior compensation. Article 35 stipulates that private ownership of land and other rights related to land are granted by the State. The constitution provides that a law should be in place to specify modalities of acquisition, transfer and use of land (expropriation law). 1Locally referred to as ‘radical terracing’, the method involves earth moving operations that create reverse-slope bench terraces which have properly shaped risers stabilized with grass or trees on embankment to avoid collapse 19 The constitution also provides for a healthy and satisfying environment. It states that very person has the duty to protect, safeguard and promote the environment. The State shall protect the environment. 5.1.2. Expropriation Law in the Public interest The law No. 32/2015 of 11/06/2015, related to expropriation in the public interests, determines the procedures relating to expropriation of land in the interest of the public. Article 3 of the law stipulates that it is only the government that has authority to carry out expropriation. However, the project, at any level, which intends to carry out acts of expropriation in the public interest, shall provide funds for inventory of assets of the person to be expropriated and for just compensation in its budget. According to the organic law, no person shall hinder the implementation of the program of expropriation on pretext of self-centered justifications and no land owner shall oppose any underground or surface activity carried out on his or her land with an aim of public interest. In case it causes any loss to him or her, he or she shall receive fair and just compensation for it. The law identifies properties to be valued for just and fair compensation including land and activities that were carried out on the land such as different crops, forests, any buildings or any other activity aimed at efficient use of land or its productivity. However, as per Article 27 of the law No 32/2015 of 11/06/2015, the owner of land designated for expropriation in the public interest shall provide proof of rights to land and property incorporated thereon like land titles or any other documentary evidence showing he/she has property ownership. 5.1.4. Law N° 43/2013 of 16/06/2013 governing land in Rwanda This is the law that determines the use and management of land in Rwanda. It also institutes the principles that are to be respected on land legal rights accepted on any land in the country as well as all other appendages whether natural or artificial. According to the Law, Land in Rwanda is categorized into two types: private land and public land. The latter is subdivided into two categories: the state land in public domain and the state land in private domain. The Article 12 and 13 of the Land Law stipulates that State land in the public domain consists of all land meant to be used by the general public or land reserved for organs of State services as well as national land reserved for environment conservation. Land occupied by national roads and their boundaries; Districts and City of Kigali roads and that of other urban areas linking different Sectors’ headquarters within the same District, or those roads that are used within the same Sector with their boundaries; arterial roads that connect District roads to rural community centers that are inhabited as an agglomeration with their boundaries is among the State land in the public domain. 5.1.5. Law establishing and organizing the Real Property Valuation Profession in Rwanda Law No. 17/2010 of 12/05/2010 establishing and organizing the Real Property Valuation Profession provides conditions for registration of land valuers in Rwanda, establishes the Institute for real property Valuers and sets conditions to exercise the profession. The law also allows the Government to conduct valuation when mandated by their government institutions. Articles 27, 29, 30 and 31 of the law deal with valuation methods. These articles stipulate that price for the real property shall be close or equal to the market value. The valuation could also compare land values country wide. Where sufficient comparable prices are not available to determine the value of improved land, the replacement cost approach shall be used to determine the value of improvements to land by taking real property as a reference. The law also allows the use of international methods not covered in the law after approval from the Institute of Valuers council. 20 5.2 World Bank Environmental and Social Framework 5.2.1 Environmental and Social Standard (ESS) 10: Stakeholder Engagement and Information Disclosure This ESS recognizes the importance of open and transparent engagement between the Borrower and project stakeholders as an essential element of good international practice. Effective stakeholder engagement can improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive and responsive relationships that are important for successful management of a project’s environmental and social risks. Stakeholder engagement is most effective when initiated at an early stage of the project development process, and is an integral part of early project decisions and the assessment, management and monitoring of the project’s environmental and social risks and impacts. This ESS must be read in conjunction with ESS1. Requirements regarding engagement with workers are found in ESS2. Special provisions on emergency preparedness and response are covered in ESS2 and ESS4. In the case of projects involving involuntary resettlement, Indigenous Peoples or cultural heritage, the Borrower will also apply the special disclosure and consultation requirements set out in ESS5, ESS7 and ESS8. In consultation with the Bank, the Borrower will develop and implement a Stakeholder Engagement Plan (SEP) proportionately to the nature and scale of the project and its potential risks and impacts. A draft of the SEP will be disclosed as early as possible, and before project appraisal, and the Borrower will seek the views of stakeholders on the SEP, including on the identification of stakeholders and the proposals for future engagement. If significant changes are made to the SEP, the Borrower will disclose the updated SEP. The Borrower will disclose project information to allow stakeholders to understand the risks and impacts of the project, and potential opportunities. The Borrower will provide stakeholders with access to the following information, as early as possible before the Bank proceeds to project appraisal, and in a timeframe that enables meaningful consultations with stakeholders on project design: (a) The purpose, nature and scale of the project; (b) The duration of proposed project activities; (c) Potential risks and impacts of the project on local communities, and the proposals for mitigating these, highlighting potential risks and impacts that might disproportionately affect vulnerable and disadvantaged groups and describing the differentiated measures taken to avoid and minimize these; (d) The proposed stakeholder engagement process highlighting the ways in which stakeholders can participate; (e) The time and venue of any proposed public consultation meetings, and the process by which meetings will be notified, summarized, and reported; and (f) The process and means by which grievances can be raised and will be addressed. 21 5.2.2 Environmental and Social Standard (ESS) 5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement ESS5 recognizes that project-related land acquisition and restrictions on land use can have adverse impacts on communities and persons. Project-related land acquisition or restrictions on land use may cause physical displacement (relocation, loss of residential land or loss of shelter), economic displacement (loss of land, assets or access to assets, leading to loss of income sources or other means of livelihood), or both. The term “involuntary resettlement” refers to these impacts. Resettlement is considered involuntary when affected persons or communities do not have the right to refuse land acquisition or restrictions on land use that result in displacement. This standard has the following objectives:  To avoid involuntary resettlement or, when unavoidable, minimize involuntary resettlement by exploring project design alternatives.  To avoid forced eviction.  To mitigate unavoidable adverse social and economic impacts from land acquisition or restrictions on land use by: (a) providing timely compensation for loss of assets at replacement cost and (b) assisting displaced persons in their efforts to improve, or at least restore, their livelihoods and living standards, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.  To improve living conditions of poor or vulnerable persons who are physically displaced, through provision of adequate housing, access to services and facilities, and security of tenure.  To conceive and execute resettlement activities as sustainable development programs, providing sufficient investment resources to enable displaced persons to benefit directly from the project, as the nature of the project may warrant.  To ensure that resettlement activities are planned and implemented with appropriate disclosure of information, meaningful consultation, and the informed participation of those affected. 5.3 Comparison between national laws and regulations and World Bank standards There are gaps between Rwandan laws, regulations and requirements for resettlement as laid out in ESS 5. The table below highlights the differences between Rwandan laws and the World Bank ESS 5 on resettlement and compensation. Table 4: Comparison of Rwandan and World Bank standards on Resettlement and Compensation Category of Rwandan law WB ESS5 Gap filling measure PAPs/types of lost assets Land Owners According to the National Land Identification of PAPs is done through Landowners will be (loss of land) Policy, all Rwandans enjoy the same census and socio-economic surveys of compensated as per rights of access to land. All land the affected population, PAPs with titles the principles of ESS5. should be registered for security. The as well as PAPs who do not have formal title is tradable. Land owners, under titles but have customary and traditional Rwandan Law, received cash rights recognized under Rwandan law compensation based upon market or who have a recognized claim to the value. land at time the census begins – are entitled to compensation for land that they lose (besides other assistance). Land-for-land exchange is the preferred option; compensation is to be based on replacement cost. 22 Category of Rwandan law WB ESS5 Gap filling measure PAPs/types of lost assets Land Squatters Rwandan legislations entitle only Land squatters must be compensated for Consider all forms of (i.e., those who those who are “landholders” with houses and other structures whatever Tenancy based on have no legal possession of property land the legal recognition of their occupancy. formal or informal recognizable tenants, under Rwandan law, are Entitled to compensation for loss of rights/agreements legal right of entitled to compensation based on crops, and assistance for relocation, as between land owner claim to the land the amount of rights they hold upon the case may be, and assistance for and tenants as well as that they are land under relevant laws. The restoration of livelihoods. those not legally occupying. Organic Land Law recognizes recognized as long as existing rights, whether written or they assist will be unwritten, under both civil law and compensated as per customary practices through new the principles of ESS5. national land tenure arrangements. Rural populations with customary/indigenous land rights are encouraged to register their land through decentralized land institutions like the District Land Bureau, Sector Land Committees and Cell Land Committees. Land Users/ Land users, in some cases, have No specific provisions to land Will be compensated Land some form of secured tenure compensation. Entitled to compensation for their movable Sharecroppers / extended to them under new Laws. In for crops, entitled to relocation properties and Tenants (These other cases, land users are not assistance as the case may be and activities present on include family entitled to compensation for land, income must be restored to at least pre- the expropriated land members, and/or entitled to compensation for crops project levels. or property. tenants or any and any other economic assets. other persons using the land to grow crops). Owners of non- Owners of “non-permanent” buildings Recommends in-kind compensation or Families should be Permanent are entitled to cash compensation cash compensation at full replacement consulted on and buildings based on market value or entitled to cost including labor. Recommends offered options to new housing on authorized land resettlement assistance choose from between under government (state or local) in-kind compensation housing programs. or cash compensation at full Replacement cost including labor. Owners of Owners of “permanent” buildings are Entitled to in-kind compensation or cash Owners of permanent permanent entitled to cash compensation based compensation at full replacement cost buildings will be buildings on market value. including labor and relocation expenses, compensated as per prior to displacement. principles of ESS5. Perennial and Perennial crops are compensated Market value for lost crops. Income Follow the ESS5 annual Crops with cash based upon rate calculated restoration assistance (such as land guidelines and as an average net agricultural principles. preparation, credit facilities, training etc.). income. Land for land compensation allows people to re-establish annual crops immediately. Seasonal crops There are no explicit provisions on Seasonal crops There are no explicit Follow the ESS5 livelihood restoration. provisions on livelihood restoration. Livelihoods and living standards are to be restored in real terms to pre- displacement levels or better offer support after displacement, for a 23 Category of Rwandan law WB ESS5 Gap filling measure PAPs/types of lost assets transition period, based on a reasonable estimate of the time likely to be Follow the ESS5. Category of PAPs/types of lost assets. Rwandan law WB ESS5 Gap filling measure needed to restore their livelihood and standards of living (for ex. land preparation, jobs, credits facilities); Timing of Resettlement must take place only Implement all relevant resettlement plans Follow the ESS5 compensation when PAPs have been fully and before project completion and provide guidelines and payments fairly compensated, and resettlement entitlements before principles. Compensation has to be completed displacement or restriction of access. For within 120 days after the valuation projects involving restrictions of access, report is submitted and decision taken impose the restrictions in accordance by the expropriator. with the timetable in the plan of actions. Consultation and The Expropriation Law governs the Consult project-affected persons, host Follow the ESS5 Disclosure specifics of land acquisition. The law communities and local NGOs, as Guidelines and provides for public dissemination on appropriate. Provide them opportunities principles. the importance of the project to be to participate in the planning, established and the need for implementation, and monitoring of the expropriation. In addition to resettlement program, especially in the dissemination, the Expropriation Law process of developing and implementing requires prior consultative meetings the procedures for determining eligibility and examination of the project for compensation benefits and proposal involving expropriation, with development assistance (as documented a view to avoid eventual prejudice on in a resettlement plan), and for the person or entity subject to establishing appropriate and accessible expropriation. Normally, a consultative grievance mechanisms. meeting is held within 30 days after receipt of the application for expropriation. Based on these consultations, the relevant Land Commission or Committee (from the Cell level to the National level) takes a decision to approve the project within a period of 15 days. Relocation The person to be expropriated is Avoid or minimize involuntary Resettlement assistance and defined to mean any person or legal resettlement and, where this is not facilitation and resettlement entity who is to have his or her private feasible, assist displaced persons in support to follow WB assistance property transferred due to public improving or at least restoring their ESS5 requirements. interest, in which case they shall be livelihoods and standards of living in legally entitled to payment of real terms relative to pre-displacement compensation. levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. Moving allowances Vulnerable The Rwandan expropriation law has ESS5 paragraph 26 demands that Resettlement groups no special provisions for vulnerable during the preparation of the facilitation and support groups. resettlement action plan Particular to follow WB ESS5 attention be paid to gender aspects and requirements. the needs of the poor and the vulnerable and paragraph 27 demands that provided relocation assistance be 24 Category of Rwandan law WB ESS5 Gap filling measure PAPs/types of lost assets suited to the needs of each group of displaced persons. Grievance The Expropriation Law Article 233 & ESS5 paragraph 19: The Borrower will Requirements of mechanism and 34 stipulate the process and ensure that a grievance mechanism for ESS5 will be followed dispute resolution procedures for contesting the the project is in place, in accordance for the establishment valuation by individuals dissatisfied with ESS10 as early as possible in of a GRC. with the value of their compensation. project development to address specific The Law stipulates that the concerns about compensation, In case of escalation of dissatisfied person has a period of 30 Relocation or livelihood restoration disagreement on days after the project approval measures raised by displaced persons compensation cost, decision has been taken to Appeal (or others) in a timely fashion. the Rwandan (Article 19). Where possible, such grievance expropriation law will mechanisms will utilize existing formal be applied to settle the or informal grievance Mechanisms grievance. suitable for project purposes, supplemented as needed with project- specific arrangements designed to resolve disputes in an impartial manner. Displacement The notification period under national Requires that displacement must not Rwandan law and WB legislation requires that property must occur until all necessary measures for operational policies be handed over 120 days after resettlement are in place. require that project financial compensation has been affected persons must paid. be compensated and facilitated to resettle before displacement The cut-off date Article 2 of the Rwandan ESS 5 in conjunction with the census, Requirements of ESS5 expropriation law demands the the Borrower will establish a cut-off will be followed. expropriating entity to inform the date for eligibility. Information regarding persons to be expropriated in the the cut-off date will be well documented public interest of the expected start and will be disseminated throughout the date of measurement of land and project area at regular intervals in inventory of property incorporated written and (as appropriate) non-written thereon. Such a communication forms and in relevant local languages. shall be made through an This will include posted warnings that announcement posted on the office persons settling in the project area after of the Cell of the place designated the cut-off date may be subject to for the implementation of the project. removal. The communication shall also be made through at least one radio station with a wide audience in Rwanda and at least one of Rwanda-based newspapers with a wide readership for the relevant parties to be informed thereof. If necessary, use shall be made of any other means of communication. Article 17 of the expropriation law states that after the publication of the decision on expropriation in the public interest and the list of holders of rights registered on land titles and property incorporated on land, the 25 Category of Rwandan law WB ESS5 Gap filling measure PAPs/types of lost assets land owner shall not develop any other long-term activities on the land. Otherwise, such activities shall not be compensable during expropriation. In a number of cases, as shown in the table above, the World Bank requirements are more comprehensive and complement the provisions of some of the Rwandan Laws. All in all, in the event of divergence between the two, the requirements of ESS5 will take precedence. 5.2 Institutional Framework The Ministry of Local Government (MINALOC) and the Local Administrative Entities Development Agency (LODA) are the main executing agencies for the Social Protection Transformation Project (SPTP). The project will be coordinated under the Single Projects Implementation Unit (SPIU) of LODA and MINALOC. LODA, through its existing SPIU, will oversee the compensation exercise done by Districts and will ensure that PAPs are fully compensated. Other stakeholders are Ministry of Environment (MoE), Rwanda Environmental Management Authority (REMA), Rwanda Land Management and Use Authority (RLMUA), Rwanda Development Board (RDB) and Districts with the following responsibilities: The Ministry of Environment (MoE) and Rwanda Environmental Management Authority (REMA) are responsible for developing the policies, laws and regulations as well as coordination of all activities related to efficient land, water resources and environmental management as well as their follow up and evaluation and overall management, including advisory to the government on all matters pertinent to the environment and climate change. Rwanda Land Management and Use Authority (RLMUA) is an authority that is responsible for putting in place and operationalizing an efficient system of land administration, use and land management that secures land ownership in the country. The Rwanda Development Board (RDB), a national authorized organ, approves the environmental and social impact assessments for developmental projects. However, given the nature of Social Protection Transformation Project and its unlikelihood to inflict severe environmental and social impacts. The project might not need ESIA certificates. It will only need District authorization, and of course, World Bank required safeguards instruments. Districts will manage social protection works under the project and therefore determine and approve projects of expropriation in the public interest. Districts also initiate the expropriation and implements/ supervises the expropriation after considering the decision of the Committee in charge of monitoring projects for expropriation in the public interest according to the expropriation law of 2015. 6. RESETTLEMENT PLANS The SPTP might require a Resettlement Plan since it will finance productive investments that may result in minimal temporary livelihood disruption. As the specific sites for the implementation of subprojects are yet to be identified, a RPF has been prepared that will guide the preparation of site-specific A/RAPs during implementation. However, during implementation of the project, in a process defined below, the identification of these areas will be made. This RPF provides a framework for resettlement associated with the project. Each subproject will need to go through a process to identify the level of resettlement required, and if so, the development of a plan for resettlement. 26 At this stage, the World Bank ESS 5 may call for the preparation of individual A/RAPs consistent with this RPF. To address the impacts under this policy, resettlement and compensation plans must include measures to ensure that impacted persons are:  Informed about their options and rights pertaining to the project, resettlement and compensation.  Consulted on, offered choices among, and provided with technically and economically feasible resettlement and compensation alternatives and  Provided with prompt and effective compensation at full replacement value for losses of assets and access, attributable to the project. According to the WB ESS 5, for all subprojects included in a project, the Bank requires that a satisfactory Abbreviated/Resettlement Action Plan (A/RAP) that is consistent with the RPF be submitted to the Bank for approval. However, ESS 5 also suggests that: "For certain projects, subproject abbreviated/RAPs maybe approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. In all cases, implementation of the resettlement plans is subject to ex post review by the Bank." LODA will prepare RAPs that will be reviewed and approved for disclosure by the World Bank. 6.1 The Resettlement Process This RPF will culminate in the preparation of Plans as may be required in instances of acquisition of land outside the existing road reserves, rights of ways and land already in the custody of Government Institutions. Where Resettlement is required, the following steps will be undertaken: Step 1: Consultation and participatory approaches Preliminary evaluation shall be carried out on the basis of the objectives of the project through a participatory approach. The consultations will commence during the planning stage when the technical designs are being developed, and at the land selection/screening stage. The process therefore seeks the involvement of PAPs throughout the census for identifying eligible PAPs and throughout the RAP preparation process. Step 2: Census of affected entities In this step, all owners of assets that are likely to be affected by the project are enumerated; their properties are assessed and their socio-economic status is documented. Step 3: Disclosure and notification LODA will approach the impacted communities through local government with the view to arriving at a consensus on possible sites for the type of facility to be adopted. All eligible PAPs are informed about the RAP process. A cut-off date is established as part of determining PAP eligibility. In special cases where there are no clearly identifiable owners or users of the land or asset, LODA will notify the respective local authorities and leaders. Step 4: Documentation and verification of land and other assets The government authorities at both national and local levels; community leaders; representatives from LODA will arrange meetings with PAPs to discuss the compensation, valuation and disclosure process. For each individual or household affected by the project, the RAP preparation team will complete a Compensation Report containing necessary personal information on the PAPs and their household members; their total land holdings; inventory of assets affected; and demographic and socio-economic baseline studies for monitoring of impacts. 27 This information will be documented in a Report, and ideally should be “witnessed” by an independent or locally acceptable body (e.g., Resettlement Committee). The Reports will be regularly updated and monitored. Step 5: Individual Compensation and valuation All types of compensation will be clearly explained to the individuals and households involved. These refer especially to the basis for valuing the land and other assets. Once such valuation is established, LODA will produce a Contract or Agreement that lists all properties and assets being acquired by the project and the types of compensation adopted. The compensation options include in-kind (e.g., replacement housing) and cash compensation enumerated through an agreed compensation matrix. All compensation should occur in the presence of the affected persons and the community local leaders. Compensation agreement forms must be signed by the affected persons, LODA and an appointed community local leader. Step 6: Defining Entitlements and Preparing an Entitlement Matrix The basis of what is to be paid as compensation will be determined by identifying the most appropriate entitlement for each loss. Based on the entitlements, options for resettlement would be selected in accordance with Bank Policy ESS 5 and the merits of the option. The A/RAP planner will prepare an entitlement matrix with respect to both temporary and permanent displacement. This matrix will set the measure for the payment for all losses or impacts. It will also list the type of loss, criteria for eligibility and define entitlements. Step 7: Community payments This will apply where the proposed project affected asset belongs to a community. Step 8: Grievance redress mechanism LODA will establish the Grievance Redress Mechanism (GRM). The grievance redress mechanism (GRM) under Social Protection Transformation Project (SPTP) is also spelt out in the Stakeholder Engagement Plan (SEP). This w i l l be set up through Local Authorities, including a Resettlement or Land Committee and through community leaders. All PAPs will be informed about how to register grievances or complaints, including specific concerns about compensation and relocation. The PAPs should also be informed about the dispute resolution process, specifically about how the disputes will be resolved in an impartial and timely manner. LODA safeguards team will produce a Report containing a summary of all grievances. In addition to the grievance redress committees under SPTP, the dispute resolution process will include Rwandan Courts of Law, but traditional institutions and lower levels close to communities will be an effective first step in both receiving and resolving grievances. The GRM to be followed under SPTP is presented in details in the SEP. 6.2 Project Affected Entities These are entities whose assets may be lost, or access to natural and/or economic resources as a result of activities related to sub-project(s). Project affected persons (PAPs) irrespective of their status (whether they have formal title, legal rights, non-legal right) are eligible for some kind of assistance if they occupied a given land parcel before the cut-off date. According to World Bank ESS 5, owners of businesses or persons employed are also eligible for compensation. The likely displaced persons can be categorized into four groups, namely: (i) Affected Individual: An individual who suffers loss of assets or investments, land and property and/or access to natural and/or economic resources as a result of the sub-project activities and to whom compensation is due. For example, an affected individual is a person who farms a land, or who has built a structure on land that is now required by a sub project for purposes other than farming or residence by the initial individuals. 28 (ii) Affected Household: A household is affected if one or more of its members is affected by sub- project activities, either by loss of property, land, loss of access, or otherwise affected in any way by project activities. This provides for:  Any members in the households, men, women, children, dependent relatives and friends, tenants.  Vulnerable individuals who may be too old or ill to farm along with the others.  Relatives who depend on one another for their daily existence.  relatives who may not eat together but provide housekeeping and other domestic chores, and  Other vulnerable people who cannot participate for physical or cultural reasons in production, consumption, or co-residence. (iii) Community: A community is affected if project activities affect their socio-economic and/or social- cultural relationships or cohesion. No permanent impact is anticipated but there can be some temporary disruptions. (iv) Vulnerable Households: Vulnerable people are people who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status, may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits. For this project, this category will include orphans, the infirm or ill, children, elderly people, women and people with disabilities. (v) Institutions: This category comprises schools, health centers and community resource centers. Compensation in this case is given to institution as a single entity rather than individual. 6.3 Eligibility Criteria and Cut-Off Dates 6.3.1 Criteria for Determining Eligibility for Compensation In compliance with ESS5 of the World Bank, the criteria for determining eligibility for compensation, resettlement and rehabilitation assistance measures for persons to be displaced, will be based on the following: a) Persons that have formal legal rights to land, including customary and traditional; and religious rights recognized under the laws of Rwanda. This class of people includes those holding leasehold land, freehold land and land held within the family or passed on through generations. b) Persons who do not have formal legal rights to land or assets, but have a claim to land or assets that is recognized under national law; c) Persons who have no recognizable legal right or claim to the land they are occupying, using or getting their livelihood from. This class of people includes encroachers, illegal occupants/squatters and/ (ownerships under dispute, etc.). Affected persons classified under paragraph (a) and (b) will be provided compensation, resettlement and rehabilitation assistance for the land, building or fixed assets on the land and buildings taken by the project. The compensation will be in accordance with the provisions of this framework and if affected persons occupied the project area prior to the date of commencement of the Census. Persons covered under sub-section (c) above are to be provided with resettlement assistance in lieu of compensation. In addition, they have to be given the necessary relocation assistance in conformity with the provisions of this policy framework provided that the land was occupied prior to the established cut-off date. All persons in the three sub-sections above are to be provided with compensation for loss of assets other than land. Consequently, this policy advocates for assistance to all affected persons, including illegal occupants/squatters and encroachers, that is, irrespective of whether they have formal titles, legal rights or not. 29 Therefore, it is clear that all affected persons irrespective of their status or whether they have formal titles, legal rights or not, are eligible for assistance if they occupied the land before the entitlement cut-off date. The entitlement cut-off date refers to the time when the census of persons and their property in the area is carried out, i.e., the time when the project area has been identified and when the socio-economic study is taking place. Thereafter, no new cases of affected people will be considered. Persons who encroach the area after the socio- economic study (census and valuation) are not eligible for compensation or any form of resettlement assistance. 6.3.2 Method to Determine Cut-off dates Cut-off dates are essential in the process of drawing up lists to ensure that ineligible persons do not take the opportunity to claim eligibility. The establishment of a cut-off date is required to prevent opportunistic invasions/rush migration into the earmarked land, thereby posing costly risks arising out of speculative tendencies to the subproject. The cut-off date will be the first date of the census. It is a date, after which people who are not included in the list of PAPs as defined by the census will not be considered eligible for compensation. The census will be carried out to collect socio-economic data on the affected households. The specific cutoff date will be included in the RAP and clearly communicated to the affected communities through the available media platforms including print and electronic. Thereafter, no new cases of affected people will be considered for compensation. This process is explained during the census and valuation exercise to all stakeholders in the area. Failure of setting and clearly communicating this date often leads to speculative development along the project route in effort to target compensation. This affects project schedule and unduly increases resettlement cost. Communicating and enforcing the cut-off date will be the role for LODA. Continued information on the cut- off- date will be communicated as part of the community engagement on the eligibility to avoid speculative encroachment on project areas. Measures for alerting absent affected people/households on eligibility for compensation will include the following: reaching project-affected people by telephone; putting up official notices on project districts, community notice boards and affected houses; and informing other affected households at community meetings so that they may pass on the information to the absent affected persons. 6.4 Basis for Valuation Project Affected Persons when displaced by the project will be provided full replacement cost of lost structures to enable the affected persons to rebuild or replace their structures without difficulties. The valuation assessment will estimate building/structure compensation rates based on full replacement cost without depreciation. Buildings and structures will be valued on the basis of full Replacement Cost Method to arrive at the market value. World Bank’s ESS5 stipulates that depreciation of an asset and value derived from salvaging materials from razed structures should not be discounted when deriving replacement cost. Additionally, the policy requires replacement value to include cost of materials transport to site, labor costs and any transfer fees or taxes involved in replacing an asset. In addition, persons who lose their crops and trees due to sub-project activities will be compensated based on the District rates provided by certified officers, which should take into account the replacement cost. Relevant data to be captured during valuation will include:  Location details of the land, boundaries of the area/section of the land to be affected;  Affected immovable properties: detailed measurement of buildings, shops and structures;  Property details including noting accommodation, constructional details of affected property external works (fence walls, gates, pavements) affected details etc.  Categorizing temporary structures based on constructional details (wall materials, affixed to concrete or not), size of structure and use of structure (business/residential); and,  Data on households affected (tenants, owners, relatives, apprentices/trainees and livelihood 30 Although the sub-project locations have not been identified, it can be concluded that the project’s investments may cover several types of land, including urban, peri-urban and rural segments. For all the three segments (urban, peri-urban and rural) land and assets will be valued at a full replacement cost and compensated for according to the following guidelines and as appropriate for each segment:  The project will compensate for assets and investments (including labor, crops, buildings, and other improvements) according to the provisions of the resettlement plan.  Eligibility for compensation will not be valid for new persons occupying/using the project sites after the cut-off date, in accordance with this policy.  Compensation cost values will be based on replacement costs, as of the date that the replacement is to be provided or at the date of project identification, whichever is higher.  The market prices for cash crops will have to be determined based on the values (taking into account the replacement cost) as determined by certified valuers. In estimating the compensation to be given for any land or any estate therein or the potential profits thereof, the following will be taken into account:  The value of such lands, estates or interests or profits at the time of the emission of the notice to acquire, and will not take into account any improvements or works made or constructed thereafter on the lands,  That part only of the lands belonging to any entity /person acquired under this Act without consideration for the enhancement of the value of the residue of the lands by reason of the proximity of any improvements or works to be made or constructed by the project;  The value of the lands acquired for public purposes but also to the damage, if any, to be sustained by the owner by reason of the injurious effects of severance of such lands from other lands belonging to such owner or occupier. 6.5 Compensation Payments and Related considerations Two main resettlement packages will be used to ensure satisfactory compensation for PAPs who lose assets or livelihoods when the project is implemented. These packages will be developed in consultation with PAPs. Each PAP will have the opportunity to choose the option that best suits their circumstance. In-kind and/or in cash resettlement packages will be used as means of compensation (Table). The type of compensation will be an individual choice although every effort will be made to instill the importance and preference of accepting in kind compensation if the loss amounts to more than 20% of the total loss of subsistence assets. PAPs will be advised about benefits of replacement of physical assets and risk inherent in cash payments. For example, unless the affected person chooses cash compensation land-for-land compensation will be encouraged as it ensures PAPs immediately have land for settlement or farming and avoids risk of squandering compensation payments. Table 6: Forms of compensation Cash Compensation will be calculated and paid in local currency. Rates will be adjusted for Payments inflation. In–kind Compensation may include items such as land, houses other buildings, building Compensation materials, seedlings, agricultural inputs and financial credits for equipment. Assistance Assistance may include moving allowance, transportation and employment of PAP in sub-project, title fees, or other related costs. Making compensation payments raises some issues regarding inflation, security, and timing. One purpose of providing in-kind compensation is to reduce inflationary pressures on the costs of goods and services. Local inflation may still occur; thus, market prices shall be monitored within the time period that compensation is being made to allow for adjustments in compensation values. The question of security, especially for people who will be receiving cash compensation payment, needs to be addressed by LODA. 31 The time and place for in-kind compensation payments shall be decided upon by each recipient in consultation with the district officials. Monetary payments should be paid at a time in relation to the seasonal calendar. For cash payments, compensation will be calculated in Rwandan currency as outlined below: a) Compensation for Land Compensation for land is aimed at providing for loss of crops and the labour used to cultivate the crop. Compensation relating to land will cover the market price of the land, the cost of the labour invested, as well as the replacement cost of the crop lost. b) Compensation for Crops Compensation for crops should be done at full replacement cost. Replacement value based on historical production records or estimates must be provided where crops such as fruit trees, cash crops, etc., are affected by the project. c) Compensation for Buildings and Structures Compensation for buildings and other structures will be paid by replacement costs for labor and construction materials of these structures including fences, water and sanitation facilities, etc., will be used to calculate the values. Where part of the compensation is to be paid in cash the applicable replacement costs for construction materials will be used to calculate the values. Alternatively, compensation will be paid in-kind for the replacement cost without depreciation of the structure. 6.6 Entitlement Matrix A summary of what the PAPs will be entitled to, for different types of loss, shall be prepared for easy reference. For the SPTP, the entitlement matrix (see Table below) has been proposed and will form the basis for compensation of project affected people in case of involuntary displacement under the project. All compensation should occur in the presence of the affected persons, the community local leaders and in a confidential manner to protect recipients from robbery and theft. The Environmental and Social Specialist should be involved in preparing a country specific entitlement matrix under the project with the assistance of the project implementation team and the relevant resettlement committees. 32 Table 7: Entitlement Matrix Land and Types of Impact Affected Entities Compensation/ Entitlement/ Benefits Assets Agricultural Cash compensation for Farmer/ title holder  Cash (monetary) compensation – at full replacement cost for affected land equivalent to replacement value. land affected land equivalent In addition, 5% disturbance allowance on each entitlement as appropriate is issued, respectively or to market value  In kind compensation involving land for land replacement or compensation in cash (at full replacement cost) according to PAP’s choice. Land for land replacement will be provided in terms of a new parcel of land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to the PAP.  Transfer of the land to the PAP shall be free of taxes, registration, and other cost  Relocation assistance (costs of shifting + allowance) Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates) Tenant/ lease Cash compensation (at replacement cost) for the harvest or product from the affected land or asset, equivalent to holder average market value of last 3 years, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. In addition, 5% disturbance allowance on each entitlement is issued. Commercial Land used for Title holder/ Cash compensation (at full replacement cost) for affected land Opportunity cost compensation equivalent to 5% Land business partially business owner of net annual income based on tax records for previous year (or tax records from comparable business, or affected (Limited loss) estimates where such records do not exist). In addition, 5% disturbance allowance on each entitlement is issued. Business owner is Opportunity cost compensation equivalent to 10% of net annual income based on tax records for previous year lease holder (or tax records from comparable business, or estimates where such records do not exist) Assets used for Title  Land for land replacement or compensation in cash (at full replacement cost) according to PAP’s choice. Land business severely holder/business for land replacement will be provided in terms of a new parcel of land of equivalent size and market potential affected If partially owner with a secured tenure status at an available location which is acceptable to the PAP. affected, the remaining  Transfer of the land to the PAP shall be free of taxes, registration, and other costs. assets become  Relocation assistance (costs of shifting + allowance) insufficient for business  Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or purposes tax records from comparable business, or estimates) Business person is  Opportunity cost compensation equivalent to 2 months’ net income based on tax records for previous year lease holder (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher.  Relocation assistance (costs of shifting)  Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to reestablish the business. Residential Land used for residence Title holder Cash compensation at full replacement cost for affected land. In addition, 5% disturbance allowance on each entitlement as is issued. 33 Land and Types of Impact Affected Entities Compensation/ Entitlement/ Benefits Assets Land partially affected, limited Rental/lease holder Cash compensation equivalent to 10% of lease/ rental fee for the remaining period of rental/ lease agreement loss (written or verbal). In addition, 5% disturbance allowance on each entitlement as appropriate is issued. Title holder  Land for land replacement or compensation in cash according to PAP’s choice.  Land for land replacement shall be of minimum plot of acceptable size under the zoning law/s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status.  When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value. In addition, 5% disturbance allowance on each entitlement as appropriate is issued.  Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Land and assets used for Rental/lease holder  Refund of any lease/ rental fees paid for time/ use after date of removal residence severely  Cash compensation at replacement cost equivalent to 3 months of lease/ rental fee. In addition, 5% affected disturbance allowance on each entitlement as appropriate is issued. Remaining area  Assistance in rental/ lease of alternative land/ property insufficient for continued  Relocation assistance (costs of shifting + allowance) use or becomes smaller than minimally accepted under zoning laws Buildings and Structures are partially Owner  Cash compensation for affected building and other fixed assets structures affected  Cash assistance to cover costs of restoration of the remaining structure Remaining structures  In addition, 5% disturbance allowance on each entitlement as appropriate is is sued. viable for continued use Rental/lease holder Cash compensation at full replacement cost for affected assets (verifiable improvements to the property by the tenant). In addition, 5% disturbance allowance on each entitlement as appropriate is issued. Disturbance compensation equivalent to two months rental costs. Entire structures are Owner  Cash compensation at replacement cost for entire structure and other fixed assets without depreciation, or affected or partially alternative structure of equal or better size and quality in an available location which is acceptable to the affected PAP. Remaining structures not  In addition, 5% disturbance allowance on each entitlement as appropriate is issued. suitable for continued  Right to salvage materials without deduction from compensation use  Relocation assistance (costs of shifting + allowance)  Rehabilitation assistance if required (assistance with job placement, skills training ) 34 Land and Types of Impact Affected Entities Compensation/ Entitlement/ Benefits Assets Rental/lease holder  Cash compensation at full replacement cost for affected assets (verifiable Improvements to the property by the tenant). In addition, 5% disturbance allowance on each entitlement as appropriate is issued.  Relocation assistance (costs of shifting + allowance equivalent to four months’ rental costs)  Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/informal  Cash compensation at replacement cost for affected structure without depreciation. In addition, 5% dweller disturbance allowance on each entitlement as appropriate is issued.  Right to salvage materials without deduction from compensation  Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project Street vendor  Opportunity cost compensation equivalent to 2 months’ income based on estimates or the relocation (informal without allowance, whichever is higher. title or lease to the  Relocation assistance (costs of shifting) stall or shop)  Assistance to obtain alternative site to re- establish the business. Standing Crops affected by land PAP (whether Cash compensation at replacement cost equivalent to average of last 3 years’ market value for the mature and crops acquisition or easement owner, tenant, or harvested crop using the prevailing district rate. In addition, 5% disturbance allowance on each entitlement as squatter) appropriate is issued. Trees Trees lost Title holder Cash compensation at replacement cost using the prevailing district rate based on type, age and productive value of affected trees plus 10% premium. In addition, 5% disturbance allowance on each entitlement as appropriate is issued Temporary Temporary acquisition PAP (whether Cash compensation at replacement cost for any assets affected (e.g., boundary wall demolished, trees removed). Acquisition of owner, tenant, or In addition, 5% disturbance allowance on each entitlement as appropriate is issued. assets squatter) Road side Temporary Business owners Provision of other locations for temporary use businesses displacement Community Affected or partially Compensation of Provision of building materials, transport and labor costs and reconstruct the affected community asset for all Assets and affected affected community users. properties assets like water points Utility Damage to underground Utility companies Compensation for repair of damaged infrastructure and restoration of service. companies facilities and interruption of service 35 6.7 Timeframes The following key timeframes shall apply in cases of any A/RAP implementation related to this project:  Asset inventory shall be completed at most four months prior to the commencement of project activities including civil work;  Civil works shall commence after compensation or resettlement activities have been effected. Adequate time and attention shall be allowed for consultation of affected parties. 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. 6.8 Linking Resettlement Implementation to Civil Works PAPs will need to be compensated, in accordance with this Resettlement Policy Framework and subsequent Resettlement and Compensation Plan, before civil works can begin. For activities involving land acquisition or loss, denial or restriction of access to resources, it is required that provisions be made, for compensation and for other assistance required for relocation, prior to displacement. The assistance 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 relocation or resulting in loss of shelter, the resettlement policy further requires that measures to assist the project- affected persons are implemented in accordance with the individual RAPs. In the Implementation Schedule of each A/RAP, details on resettlement and compensation must be provided. The schedule for the implementation of activities, as agreed between the Project Planning teams and PAPs must include:  Target dates for start and completion of civil works,  Timetables for transfers of completed civil works to PAPs,  The link between A/RAP activities to the implementation of the project. 7. GUIDING PRINCIPLES FOR LAND ACQUISITION AND COMPENSATION No severe cases of land acquisition and no physical displacement is anticipated in the Rwanda Social Protection Transformation Project. However, since there are some public works expected, if cases of land acquisition arise, the following principles will guide land acquisition. 7.1 Land Acquisition Procedure Ideally, the project implementation will seek to minimize land take but where acquisition of land is required, the project will undertake an abbreviated RAP to provide guidance on full compensation of affected assets. In the case of customary land, Local Government Authorities, the community leaders and community, including youths and women, should be party to any consensus about acquisition of land and the modalities envisaged. The RAP will document:  Size of land to be acquired,  Names of owners and occupiers of that land as far as they can be ascertained; or in the case of customary land the name of the landowner who is the holder of the right over the land as ascertained by the community.  Local community leaders/representatives to assist in the process of land acquisition.  Magnitude of impacts relative to the need for resettlement and/or compensation and valuation of assets to be compensated for.  Financial records showing the costs of relocation and compensation, the beneficiaries and indicating how these costs were arrived at;  Information on households or individuals eligible for relocation to their socioeconomic standing (incomes, production material assets, debts, etc.); 36  Details of resettlement after-care and assistance, where appropriate. 7.2 Voluntary Land Donations Voluntary Land donations refer to cases where individuals or community land owners agree to provide land to the project for free or for reduced compensation. Voluntary land contribution without compensation will not be used under SPTP because it often affects poor or vulnerable households. There should be no coercion and sufficient information on the project impacts, land needs, alternative sites and compensation options should have been provided to inform the donor’s choice. To avoid impoverishment of vulnerable PAPs as a result of voluntary donations, due diligences should be done by the project implementers. 7.3 Involuntary Acquisition of Land Involuntary acquisition of land should be avoided or minimized to the greatest extent possible. The displaced persons will participate throughout the various stages of the planning and implementation of land acquisition, compensation and resettlement plans and processes. Prior to preparation of Resettlement Action Plans, persons to be displaced will be informed of provisions of this framework and their entitlements at public meetings and throughout the stakeholder engagement process. 7.4 Eligibility Criteria for Compensation The World Bank’s ESS 5 states that affected persons may be classified as persons: a) who have formal legal rights to land or assets; b) who do not have formal legal rights to land or assets but have a claim to the land or assets that is recognized or recognizable under the national law, or c) Who have no recognizable legal right or claim to the land or assets they occupy or use. Those covered under a) and b) above are to be provided compensation for land they lose, and other assistance in accordance with the policy. Persons covered under c) above are to be provided with resettlement assistance in lieu of compensation for the land they occupy or use, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy or use the project area prior to a cut- off date. Persons who encroach on project land after the cut-off date are not entitled to compensation or any other form of resettlement assistance. Therefore, it is clear that all affected persons irrespective of their status or whether they have formal titles, legal rights or not, are eligible for some kind of assistance if they occupied the land before the entitlement cut-off date. The entitlement cut-off date refers to the time when the census of persons and their property in the area is carried out, i.e., the time when the project area has been identified and when the socio-economic study is taking place. Thereafter, no new cases of affected people will be considered. Persons who encroach the area after the socio-economic study (census and valuation) are not eligible for compensation or any form of resettlement assistance. 7.5 Procedures for Payment of Compensation Compensation payment will be made in the following ways: (a) By agreement between Districts that is the direct implementer of subproject and the PAPs or entities (individuals /households /communities):  The District will offer such sums deemed adequate as compensation to the entity who may accept that amount as compensation payable to him or her; and  Such sums will be disbursed directly to the beneficiary entity with the relevant records of payments (land acquisition mechanism) consigned to the A/RAPs and the records of the appropriate local government authority. (b) In case of grievances, by court order on the amount of compensation where this has been the subject of litigation between LODA and the affected entity. 37 8. GRIEVANCE REDRESS MECHANISM A grievance is a concern or complaint raised by an individual or group affected by the project. Concerns and complaints can result from either real or perceived impacts and maybe logged and handled in a similar manner. The objective of the GRM is to provide stakeholders processes for submission and raising grievances and grievance resolution. The GRM will be accessible and inclusive and culturally appropriate as required under ESS 5, ESS 7 and ESS 10. It will also ensure that all grievances are handled in a fair and transparent manner, in line with the Rwandan legal framework and the World Bank environmental and social framework. LODA shall work with community leaders in the project sites and communities to establish and operationalize the Grievance Redress Committees where community grievances are received and addressed. The presence of a GRM shall not reduce the right to seek legal redress, should the complainant choose to do so. Nevertheless, all attempts shall be made to settle all grievances amicably before resort to the courts of law. The GRM is presented in details in the SEP. The grievance redress mechanism ensures that complaints and grievances are addressed in good faith and through a transparent and impartial process, which is culturally acceptable. It is a process, or procedure to receive and facilitate resolution of concerns, complaints of project-affected parties arising in connection with the project.  Complaint: An expression of dissatisfaction that is related to an impact caused by a project activity, which has affected an individual or group. Adversely, the interests of an individual or group and the individual or group wants a proponent or operator (or contractor) to address and resolve it (e.g., problems related to dust deposition, noise or vibration). A complaint is normally of a less serious nature than a grievance.  Grievance: A claim raised by an individual or group whose livelihood, health and safety, cultural norms and heritage are considered to have been adversely affected (harmed) by a project activity which, if not addressed effectively, may pose a risk to the project’s operations (through stakeholder actions such as access road blockages) and the livelihood, well-being or quality of life of the claimant(s). The grievance mechanism described in this section includes both complaints and grievances (hereinafter referred to only as ‘grievances’). Grievances raised by stakeholders need to be managed through a transparent process, readily acceptable to all segments of affected communities and other stakeholders, at no cost and without retribution. The grievance mechanism should be appropriate to the scale of impacts and risks presented by a project and beneficial for both a proponent/operator and external stakeholders. The mechanism must not impede access to other judicial or administrative remedies. The GRM will enable the Project Authorities to address any grievances against the Project. The establishment of project level Grievance Redress (GR) will integrate with existing GR structures in the respective communities and the implementing agencies; and maintained and strengthened throughout the project lifecycle. The GRM will be closely monitored and reported throughout the project life cycle. While measures are taken to minimize and mitigate potential social and environmental risks and impacts, it is possible that the project may affect communities, individuals and firms that need to be addressed during project implementation. Grievances that relate to project workers will be handled by a separate mechanism which is included as part of the project’s LMP. 8.1 Objectives of the Grievance Redress Mechanism The objectives of the Grievance Redress Mechanism are as follows: 38  Resolve all grievances emanating from the project activities from in a timely manner;  Establish relationships of trust between project staff and stakeholders;  Create transparency among stakeholders including affected persons through an established communication system;  Bolster the relationship of trust amongst the project staff and the affected parties. 8.2 Grievance Redress Mechanism levels As presented in the SEP, the purpose of the GRM is to record and address any complaints that may arise during the implementation phase of the project and/or any future operational issues that have the potential to be designed out during implementation phase. The GRM is designed to address concerns and complaints promptly and transparently with no impacts (cost or discrimination) for any reports made by project affected people (PAPs). The GRM works within existing legal and cultural frameworks, providing an additional opportunity to resolve grievances at the local, project level. The key tasks of the GRM are:  Record, categorize and prioritize the grievances;  Settle the grievances via consultation with all stakeholders (and inform those stakeholders of the solutions)  Forward any unresolved cases to the relevant authority. As the GRM works within existing legal and cultural frameworks, it is recognized that the GRM will comprise community level, project level and national judiciary level redress mechanisms. The details of each of those components are described as follows: a. Community and Lower-Level Grievance Redress Mechanism Local communities have existing traditional and cultural grievance redress mechanisms which can be used to resolve some project related disputes at the community level, of course with some degree of involvement of and support from local leaders, and project representatives at the local level. Concerning the Social Protection Transformation Project (SPTP), the concerned communities have mechanisms to resolve any conflict and misunderstanding. Conflicts that concern communities are addressed in the normal existing system in Rwanda, starting from Village leaders, Cell level leaders or mediators, Sector level leaders or mediators, and when necessary, the ordinary courts. Apart from existing mechanism, there will be committees in the communities and these will start at Sector level because the subprojects of SPTP are sector based (a committee at the Sector level including Executive Secretaries of Cells and Village Leaders, and a committee at District level including Executive Secretaries of Sectors). Each committee will involve project affected people or concerned community members, the project representative (from the District and/or LODA), and a community representative. Communities will elect Sector committees and Sector committees will gather to elect District committees. Based on the lessons learnt from SSPP resettlement and social audit and in keeping with the World Bank ESF, there are certain people that might be important for a grievance redress committee to be more effective. These are:  The President of the committee, a community member residing in the concerned area and preferably, affected by the project,  The Vice President, also a community member residing in the concerned area and preferably, affected by the project, 39  A women representative, also a community member residing in the concerned area and preferably, affected by the project,  Vulnerable group representative (if any)  The Executive Secretary of the Sector or a delegated sector staff (if it is at Sector level), a representative of the Executive Secretaries of Cells (where the project is being implemented) and a representative of Village leaders (for all villages where the project is being implemented)  One District official (if it is a District level) and representative of Executive Secretaries of Sectors It is expected that all grievance or dispute issues pertaining to the Project will be resolved at the District level. Issues that are not resolved at the level of these committees will be taken to the higher Project Coordination Unit. However, the mechanism will not prevent unsatisfied complainants to resort to the Rwandan judiciary (mediators and courts). The grievance redress committees will record all the grievances. They will record when and how they were resolved including cases that were referred to other levels (see in annexes, an example of grievance log that will be used in recording grievances). They will include these in their regular reporting. The project coordination unit will lead and record all complaints and how they were addressed. b. Advanced Project Level Grievance Redress Mechanism Many project-related grievances are expected to be minor and site-specific. They will revolve around nuisances generated during construction (if needed) such as noise, dust, vibration, workers’ disputes, etc. These are expected to be resolved easily on site. Difficult grievances might be especially about land acquisition, land boundaries, compensation, income or livelihood loss, misunderstandings regarding access arrangements or possible severe risks. Most of these might not be resolved immediately and/or on site. If the complainant is not satisfied with the resolutions at the District project management level, the complaint is taken to the SPIU at LODA. The SPIU will then endeavor to resolve the complaint as soon as possible. Reporting back to the complainant will be undertaken within a period of one month from the date that the complaint was received. If measures taken by the SPIU fail to satisfy the complainant, the aggrieved party will be free to take his/her grievance to the existing Courts. However, grievances should be resolved at the lowest level possible. It is vital that appropriate signage is erected at the sites of all works providing the public with updated project information and summarizing the GRM process, including contact details of the relevant Project Contact Person. Anyone shall be able to lodge a complaint and different methods (in person, telephone, email, social media, website, forms written in local language, suggestion boxes, etc.) will not inhibit the lodgment of any complaint. Anonymous mechanism of lodging complaints will also be allowed. The Complaints Register will be maintained by the committees and Project Contact Persons, who will log the: i) Details and nature of the complaint; ii) The complainant name and their contact details; iii) Date; iv) Corrective actions taken in response to the complaint. The summary of these information will be included in the project’s progress reports to the Bank. The project level process will only act within its appropriate level of authority and where necessary, complaints will be referred on to the relevant authority such as those indicated. 40 c. World Bank Grievance Redress Service (GRS) It is worth mentioning that complainants are also allowed to file their grievances directly to the World Bank using the World Bank Grievance Redress Service (GRS). This is an avenue for individuals and communities to submit complaints directly to the World Bank if they believe that a World Bank-supported project has or is likely to have adverse effects on them, their community, or their environment. The GRS considers a complaint admissible when:  The complaint relates to a World Bank-supported project that is under preparation, active, or has been closed for less than 15 months;  The complaint is submitted by individuals or communities affected by a World Bank-supported project, or by their authorized representative; and  The complainant(s) allege that they have been or will be affected by the World Bank-supported project. Complaints must be in writing and addressed to the GRS. They can be sent by the following methods:  Online, access the online form  By email to grievances@worldbank.org  By letter or by hand delivery to the World Bank Headquarters in Washington D.C., United States or any World Bank Country Office – print and use this form (DOCX) Information to include in a complaint Complaints must:  Identify the project subject of the complaint  Clearly state the project’s adverse impact(s)  Identify the individual(s) submitting the complaint  Specify if the complaint is submitted by a representative of the person(s) or community affected by the project  If the complaint is submitted by a representative, include the name, signature, contact details, and written proof of authority of the representative. Supporting evidence is not necessary but may be helpful in reviewing and resolving the complaint. The complaint may also include suggestions on how the individuals believe the complaint could be resolved. All complaints will be treated as confidential. The GRS will not disclose any personal data that may reveal the identity of complainants without their consent. The World Bank GRS is available at https://www.worldbank.org/en/projects-operations/products-and- services/grievance-redress-service#file d. Judiciary Level Grievance Redress Mechanism The project level process will not impede affected persons’ access to the legal system. If a complainant is not satisfied with the resolutions at all project levels, he/she will be allowed to take the matter to the appropriate legal or judicial authority as per the Rwandan laws. Table 8: Grievance Redress Process at Project Level Stage Process Duration 1 Step 1: The Aggrieved Party (AP) will take his/her grievance to Sector Immediately after Grievance Committee and Receive and Register grievance (Email, letter, phone receiving the 41 Stage Process Duration call, meeting, proactive, outreach) complaint Step 2: Acknowledgement (Within 24 hours) by GRC at sector level Step 3. Screening, sorting and assessment and unrelated grievances are referred to appropriate organs. At this stage the AP with unrelated grievances are given feedback Step 4: Define and agreed on Redressal Approach and take decision to the grievance Step 5: Provide feedback to the AP and refer the non-resolved grievance to the GRC at District level Step 6. Appeals: If AP is not satisfied, the Sector Grievance Committee will refer the AP to the District Grievance Committee. Step 7: Monitoring of implementation on agreed action. For complaints that were satisfactorily resolved by the Sector Grievance Redress Committee, the committee will inform the higher level of project management and they will log the grievance and the actions that were taken. 2 Step 1: The Aggrieved Party (AP) will take his/her grievance or GRC at sector As soon as level refer the non-resolved grievance possible but not exceeding one Step 2: Acknowledgement (Within 24 hours) by GRC at District level week after Step 3. Screening, sorting and assessment and unrelated grievances are receiving the referred to appropriate organs. At this stage the AP with unrelated grievances complaint are given feedback Step 4: Define and agreed on Redressal Approach and take decision to the grievance Step 5: Provide feedback to the AP and refer the non-resolved grievance to the GRC at SPIU/ LODA level Step 6. Appeals: If AP is not satisfied, the District Grievance Redress Committee will refer the AP to the SPIU/ LODA. Step 7: Monitoring of implementation on agreed action. For complaints that were satisfactorily resolved by the District Committee, the committee will inform the higher level of project management and they will log the grievance and the actions that were taken. 3 Step 1: The Aggrieved Party (AP) will take his/her grievance or GRC at District As soon as level refer the non-resolved grievance possible but not exceeding two Step 2: Acknowledgement (Within 24 hours) by GRC at SPIU level weeks after Step 3: Define and agreed on redressal Approach, take decision to the receiving the grievance and provide feedback complaint 42 Stage Process Duration Step 5: Provide feedback to the AP and refer the non-resolved grievance to the GRC at SPIU/ LODA level Step 6. Appeals: If unsuccessful, the AP will be allowed to take their complaints to the existing courts. Step 7: Monitoring of implementation on agreed action. 4 Unsatisfied complainants after the resolution from the SPIU will be allowed to Any time after the take their complaints to the existing courts. resolution of the SPIU 8.3 GBV Related Grievance Redress Mechanism When GBV related complaint is received at the first or second tier of GRM, the complaint should be kept confidential, by the person/persons receiving the complaint, and immediately reported to the national police- led Isange One Stop Center (IOSC) as required by the law. A clear GBV referral pathway for this project shall be articulated in the site-specific instruments such as RAPs. The complaint should be reported to the relevant committee and immediate actions should be taken that is consistent with the wishes and choices, rights and dignity of the complainant. The complainant should be given information in simple and clear terms on the steps for filing complaints and the possible outcomes, the timelines and the types of supports available to be able to make informed decision. For GBV cases, it is important to ensure that access to the complaints processes is as easy and as safe as possible for the complainant survivor. The recording of incidence should be limited to the nature of complaint put exactly in the words of the complainant, the age of the survivor and if possible, to the best of their knowledge, the perpetrator was associated with the project. The complainant should decide on whether they would like to be referred to the grievance committee and the complainant should give consent to share basic monitoring data. Safety & Well-Being: The safety of the survivor shall be ensured at all times including during reporting, investigation, and the provision of victim assistance. Those involved in the management of complaints will need to consider potential dangers and risks to all parties (including the survivor, the complainant if different, the subject of the complaint, and the organizations involved), and streamline ways to prevent additional harm in all the complaint handling process. The survivor is never to blame for reporting an act of GBV and should never be made to feel investigated. On the contrary, it is important that she/he feels that her/his story is heard, believed and valued. The actions and responses of the complaint mechanism will be guided by respect for the choices, needs, rights, and the dignity of the survivor. Confidentiality: The confidentiality of complainants, survivors, and other relevant parties must be respected at all times. All GBV-related information must be kept confidential, identities must be protected, and the personal information on survivors should be collected and shared only with the informed consent of the person concerned and on a strict need-to-know basis. Survivor-Centered Approach: All prevention and responses action will need to balance the respect for due process with the requirements of a survivor-centered approach in which the survivor’s choices, needs, safety, and wellbeing remain at the center in all matters and procedures. 43 As such, all actions taken should be guided by respect for choices, needs, rights and dignity of the survivor, whose agency and resilience must be fostered through the complaint process. Accessibility and non-discrimination: The mechanism must be accessible to all potential complainants and sufficient information must be given on how to access it, making the complaints process accessible to the largest possible number of people. This includes identifying and instituting various entry points that are both gender and context sensitive. To facilitate incidents reporting and avoid stigmatization, reports from third parties (witnesses, people suspicious or aware of an incident, etc.) must also follow accountability protocols. 8.4 Building Grievance Redress Mechanism Awareness The PIU Environmental and Social Specialists will initially brief all staff of the project office, the Project Steering Committee (PSC), consultants, contractors and later stockholders on the Grievance Redress Mechanism and GBV complaints mechanism of the Project and explain to them the procedures and formats to be used including the reporting procedures. Awareness campaigns would be conducted targeting project stakeholders to inform them of the availability of the mechanism; various mediums will be used. The GRM will also be published on the website of the implementing agencies and those of the implementing partners and the project website or Facebook page if there is one. A project site board will be erected on the sites of sub-projects indicating the existence of the mechanism and a phone number, email and address for further information. The GRM will be translated into the local language, Kinyarwanda. 8.5 Monitoring and Reporting of GRM The Environmental Safeguards Specialists and/or Social Specialists will prepare the Monthly and Quarterly Reports on the Grievance Redress issues of the project. The Grievance Redress Committee may review the nature of grievances that have been represented and if grievances are repeated, recommend suitable changes in implementation procedures and forward these to the PSC for implementation. The following indicators could be used as monitoring purposes:  Number of active project complaints and appeals recorded and reported in each institution  Percentage of grievance redressed claims settled within the specified period  Percentage of unresolved complaints or disputes during the monitoring period  Comments received by government authorities, women, youth, family, community leaders and other parties and passed to the Project. 9. PUBLIC CONSULTATION AND DISCLOSURE PLAN The purpose of the Resettlement Policy Framework is to guide the Management of the Resettlement process for project activities. Led by LODA, several actors will be involved as beneficiaries and financiers. These roles are complementary and should therefore be coordinated to achieve maximum and best results. LODA will coordinate and manage the following: a) Project preparation b) Identification of project activities with the involvement and contribution of the local authorities, utility and service deliverers and specialist establishments. c) Preparation of Abbreviated/ Resettlement Action Plans (A/RAPs). d) Management of technical inputs required for the preparation and appraisal of the project for funding by the World Bank. 44 e) Management of the resettlement process f) Preparing and keeping an update road map for the delivery of the project. Public consultation and participation as requirements in ESS10 are essential because they provide an opportunity for informing the stakeholders about the proposed project. Public consultation and participation create a sense of ownership for the project, providing an opportunity for people to present their views and values and allowing consideration and discussion of sensitive social mitigation measures and trade-offs. Public consultation and participation will 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 people and with the management committees will be reduced. In recognition of this, particular attention shall be paid to public consultation with PAPs, households and homesteads (including host communities) when resettlement and compensation concerns are involved. Public consultations in relation to the RAP occur at all stages, starting with inception and planning when the potential lands and alternative sites are being considered. A participatory approach will be adopted as an on-going strategy throughout the entire project cycle. Public participation and consultations related to SPTP will take place via stakeholder engagement workshop and one-on-one engagements in project communities. PAPs are consulted in the survey process; public notices where explanations of the sub-project are made; RAP implementation of activities; and during the monitoring and evaluation process. Selection of ways to consult, and expand participation by PAPs and other stakeholders, will take into consideration literacy levels prevalent in affected communities and cultural aspects and practical conditions (like distance). The role of traditional, political and cultural leaders, including the community elders, in the participation strategy will be important. The RAP team should ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures. 9.1 Data collection phase For projects components that require Resettlement Action Plans, this process should start with acquisition of socio-economic data from affected entities. This information will be used to prepare RAPs, derive equitable compensation and resettlement where applicable. 9.2 Implementation phase During implementation, PAPs will be informed about their rights and options. The grievance mechanism will continue to address grievances which will be recorded and PAPs involved in the whole Grievance Redress Mechanism. The participation of local leaders and PAPs in disseminating information and resolving disputes will be important once RAP implementation starts. A dynamic participatory approach involves PAPs in decision making about livelihood and community development programs. During implementation of the stakeholder engagement plan, national COVID-19 SOPs, compliance with the World Bank Technical note on Public Consultations and Stake holder engagement will be followed. Engagements will include using community meetings, FGDs, online workshops – virtual meetings via ZOOM/WEBEX, etc., among others will be conducted throughout the project life cycle during project preparation, project implementation and engaging different categories, including vulnerable and marginalized groups (VMGs). These might include the refugees, women and children headed households, youth, and persons with disabilities and persons living with HIV/AIDS among others. The project will identify disadvantaged communities and undertake inclusive and culturally appropriate stakeholder consultations. The objective is to give them an opportunity to make input into the decision- making process of the project, register and address their concerns as well as enhance project ownership and community cooperation. The guidelines for inclusion of the vulnerable groups shall include:  Identification of subgroups among the poor, especially those at risk of exclusion;  Structuring Program rules and procedures to promote their participation; 45  Determining participatory techniques that can help facilitate their involvement (where existing systems of social organization are highly inequitable, new groups may need to be created to enable excluded groups to participate);  Ensuring that intermediaries (NGOs, Local Government, etc.) working with communities have expertise in working with these groups and using participatory techniques.  Investigating how local institutions can be made more responsive and inclusive of these groups.  Including specific indicators related to these groups in monitoring and evaluation systems and involve all stakeholders in monitoring and evaluation. 9.3 Monitoring and evaluation phase PAPs’ representatives will participate in the sub-project workshops at mid-term and at the end of RAP implementation. To the extent possible, the RAP should include social accountability tools like citizen report cards to assess the quality of RAP implementation, and in some cases, assist the RAP team in tracking expenditures. The latter would be significant in helping PAPs with money management and restoring their livelihoods. PAPs will be able to suggest corrective measures, as needed, to improve RAP implementation in the sub-project(s). Prior to closing the RAP, PAPs will participate in a feedback survey as part of the RAP’s independent impact evaluation exercise. 9.4 Disclosure Arrangements for RPFs and subsequent RAPs a) In country disclosure LODA shall disclose the RPF on its website, and other media that stakeholders and communities can access. These might include print media, public notice boards for all districts where the project activities will be implemented as well as places in Sectors and Cells where communities can access the information. All RAPs prepared guided by the RPF should also be similarly disclosed. Since most communities do not understand English, the project will explore opportunities of translation and disclosure of documents or part of them in Kinyarwanda. b) World Bank External Website RPF and any subsequent RAPs prepared for the project specific activities shall be cleared and be disclosed on World Bank’s external website before its implementation. 10. ORGANIZATIONAL ELEMENTS AND PROCEDURE FOR DELIVERY OF COMPENSATION Compensation and resettlement will be effected by LODA, in collaboration with District, in conformity with the RAPs prepared for the project. 10.1 The Procedure The compensation process will involve several steps and will be in accordance with the individual project resettlement and compensation plans. a) Public Participation with the local communities would initiate the compensation process as part of an ongoing process that would have started at the land selection/screening stage and at the time the socio- economic assessment is being carried. This would ensure that no affected individual/household is simply “notified” one day that they are affected in this way. Instead, this process seeks their involvement and wishes to inform communities in a participatory approach with the project, from the beginning. b) Notification of PAPs – the respective local/district leaders involved in identifying the land will notify the District, Village leaders and village inhabitants will help to identify and locate the property users. 46 The users will be informed through both a formal notification in writing and, as many people are illiterate, by verbal notification delivered in the presence of the local leaders. Radio stations shall also be utilized in discussing project implementation aspects. In addition, the village leaders and individuals in charge of land will accompany the survey teams to verify owners. Those who hold title deed to the land will be informed about the compensation process and requirements needed to prove ownership. Where there are clearly no identified owners or users, LODA, the respective local government administration and lands offices will be solicited to help identify owners or users and sensitize them on the program and its implications. It is hoped, however that the media publications would be sufficient to avoid such eventuality. Results of the census surveys, including: c) Documentation of Holdings and Assets – Village, Cell, Sector and/or District Officials will arrange meetings with affected individuals and/or households to discuss the compensation process. For each individual or household affected, the District Official completes a compensation dossier containing necessary personal information on the affected party and those that s/he claims as household members, dependents, total landholdings, inventory of assets affected, and information for monitoring their future situation. This information is confirmed and witnessed by Village leaders. Dossiers will be kept current and will include documentation of all assets surrendered and/or impacted. Each individual will be provided with a copy of the dossier at the time of negotiations. This is necessary because it is one way in which individuals and households can be monitored over time. All claims and assets will be documented in writing. d) Agreement on Compensation and Preparation of Contracts – All types of compensation are clearly explained to the individual or household. The Technical Planning Team draws up a contract, listing all property and land being surrendered and/or assets impacted, and the types of compensation (cash and/or in-kind) selected. A person selecting in-kind compensation has an order form, which is signed and witnessed. The compensation contract is read aloud in the presence of the affected party and the respective Technical Planning Team, Village officials and other village leaders or translated prior to signing. e) Compensation Payments – All handing over of property such as land and buildings and compensation payments will be made in the presence of the affected party and the village officials after compensation has been paid. 10.2 Capacity assessment and capacity building need According to the nature of SPTP project LODA need to retain their SPIU positions of environmental safeguard specialist and Social Safeguard Specialist. While the environmental safeguard specialist is in place and has the capacity in environmental and social risk management from lesson learnt and training acquired during SSPP implementation, the social safeguard specialist position is not filled. LODA needs to fill this position in order to implement social safeguards requirements associated with SPTP implementation. At the local level, the project activities will be implemented through the District level under MoUs between LODA and the participating District, in accordance with the national decentralization policies. The Districts have already an environmental officer, One Stop Center office at District level and land administration offices at sector level, staff in charge of social affairs at both District and sector level and this team will receive refresher training and coordinate environmental and social safeguards issues at district level. LODA will continue to organize refresher/ training for its safeguards staff, and those from Districts, on social safeguards implementation according to Government and World Bank guidelines. Capacity building will also be conducted for GRCs’ members after their set up. This capacity building will be done periodically throughout the project period. 47 11. IMPLEMENTATION COSTS FOR THE RAP/ ARAP AND LIVELIHOOD RESTORATION PLANS Although there is some information about SPTP, specific sites related to infrastructure development and sub- projects have not been determined and the exact location and number of PAPs is not yet determined. Since the costs of compensation are based on technical designs, results of scoping, detailed valuation surveys and detailed RAP studies, it is not easy at this stage to produce the exact budget for A/RAP implementation. The cost for implementing A/RAPs and livelihood restoration plans for all sub-projects is estimated to be one million, eight hundred and fifty-eight thousand, and five hundred United States dollars (USD 1,858,500). This figure has been estimated by holistically looking at the sites and possible resettlement that might be needed as well as comparing costs of other A/RAPs for projects with similar scope. Due to the fact that the feasibility studies of the sub projects have not been undertaken, the exact unit prices, the number of people to be affected, and the scope of land acquisition are only estimates. The exact figures will not be known until the A/RAPs are prepared. The following table shows a breakdown of the budget estimates of the RAP/ ARAP and Livelihood restoration implementation across the 4 years’ project period. Unit Cost Total Cost Item Unit Quantity (USD) (USD) Preparation of safeguards instruments Study/ Assessment per RAPs/ARAPs (where applicable) 30 10,000 300,000 District Compensation and/ or livelihood/income restoration Compensation for affected assets Affected assets per District 30 15,000 450,000 Income/livelihood loss per Income/livelihood restoration 30 15,000 450,000 District Capacity building Training of beneficiaries and other stakeholders - GRM, social inclusion, Training session 30 5,000 150,000 disability, gender, etc. Project monitoring SPIU (Mission allowances for staff) 120,000 Resettlement and social audit Study/ Assessment per Consultants 30 10,000 300,000 District Sub Total 1,770,000 Contingency (5%) 88500 Grand Total 1,858,500 12. MONITORING AND EVALUATION PLAN In order to assess whether the goals of the resettlement and compensation plan are being 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 to carry out the monitoring activities. The arrangements for monitoring the resettlement and compensation activities will fit the overall monitoring programme of the entire project, which will fall under the overall responsibility of the different executing agencies. The executing agencies will institute an administrative reporting system that: 48 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, and d) documents timely completion of project 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, e) additional construction damage, f) updates the database with respect to changes that occur on the ground as resettlement and compensation activities are being implemented. Periodic evaluations will be made in order to determine whether the PAPs have been paid in full and before implementation of the subproject activities; and whether the PAPs enjoy the same or higher standard of living than before. This framework suggests that where appropriate and where it is determined to be cost effective, the office of the District Administration shall be structured to host the monitoring and evaluation component of the project. This will take the form of giving the districts the mandate to carry out independent monitoring of the implementation of the resettlement and compensation plans at periodic intervals of quarterly or half yearly (as circumstances dictate) during the program life. The objective will be to make a final evaluation in order to determine: a) Whether affected people have been paid in full and before implementation of the subproject, and b) Whether the people who were affected by the subproject have been affected in such a way that they are now living at a higher standard than before, living at the same standard as before, or they are they are actually poorer than before. 12.1 Monitoring indicators A number of objectively verifiable indicators shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively measuring the physical and socio- economic status of the PAPs, to determine and guide improvement in their social wellbeing. Therefore, monitoring indicators to be used for the RAP will have to be developed to respond to specific site conditions. As a general guide, the following indicators should be utilized during monitoring. i. Number and place of public consultation meetings held with PAPs and local authorities in preparation of, or during A/RAP implementation; ii. Number of PAPs effectively compensated and aggregate amount of disbursed compensation (actual versus planned); iii. Number of people resettled or provided with livelihood restoration support (whatever is applicable); iv. Number of resolved/ received grievances 12.1.1 Performance/evaluation indicators Suggested performance/evaluation indicators include: i) Total nature and level of all complaints received, resolved; ii) Completion of payment within, or after, 3 months of estimated completion date indicated in the A/RAP 49 iii) Completion of demolition of structures (if any) or crops/trees in the project area within 3 months after the notice to demolish/ vacate; iv) Revival of affected businesses /farming activities within 4 months after the compensation payment; v) Submission of monitoring reports at the frequency indicated in the M/E of the A/RAP implementation report or quarterly. 12.1.2 Indicators to Measure A/RAP Performance In terms of the resettlement process, the following indicators could be used to understand the success of the measures identified and the working of the relevant parties in implementation of the RAP: i) Percentage of individuals selecting cash or a combination of cash and in-kind Compensation; ii) The number of contentious complaints as a percentage of the total complaints; iii) The number of grievances and time and quality of resolution; iv) The ability of individuals and families to re-establish their pre-displacement activities; v) Number of impacted locals employed in the public works; vi) General relations between the project and the local communities. These will be determined through the following activities: i) Questionnaire data will be entered into a database for comparative analysis; ii) Each individual will have a compensation dossier recording his or her initial situation, all subsequent project use of assets/improvements, and compensation agreed upon and received; iii) LODA will maintain a complete database on every individual impacted by the subproject land use requirements including relocation/resettlement and compensation, land impacts or damages; and LODA should prepare Resettlement Completion Reports for each A/RAP, in addition to other regular monitoring reports. 12.1.3 Indicators to monitor and evaluate implementation of RAPs Financial records will be maintained by the Local Governments and the executing agencies to permit calculation of the final cost of resettlement and compensation per individual or household. Each individual receiving compensation will have a record containing: i. Individual bio-data information, ii. Number of people s/he claims as household dependents iii. Amount of land available to the individual or household when the dossier is opened. iv. Additional information will be acquired for individuals eligible for resettlement/compensation: v. Level of income and of production vi. Inventory of material assets and improvements in land, and vii. Debts. 12.1.4 A/RAP Implementation Completion Report The RAP Implementation Completion Report should be prepared and submitted to the Bank 6 months after the end of compensation payments by t h e project implementing agency or before the Implementation Completion Report by the Bank, whichever comes first. The A / RAP implementation report should include (but not be limited to) the following information: i) Background of the A / RAP preparation including a description of the project activities, scope of impacts, number of affected persons, and estimated budget. ii) Update of its implementation with actual numbers of displaced persons by segments, compensation paid, issues/complaints raised and solutions provided iii) Complaint’s status iv) Early assessment of the impacts of resettlement and compensation on affected categories at the time of the report production. 50 v) Total sum disbursed vi) Lessons learned from the A/RAP implementation vii) Suggested annex (names of PAPs, estimation of compensation of affected assets or properties, questionnaire – if applicable, any other) 12.2 External monitoring process External monitoring will be conducted by an external agency, e.g., independent entity/consultant. The program management structure will be envisaged to enable effective communication and distribution of responsibilities amongst different participants of the project at all different levels. The external evaluation process will be informed by internal monitoring reports. 12.2.1 Responsibility of the authorities The role of the implementing authorities is critical in the operationalization of the Resettlement Policy Framework. The following are important points to observe: i) Ensure that there is trust between the PAPs and the authorities throughout the process by being transparent in every action and sharing information. ii) Being realistic with time frames and sequencing of related activities:  When registration will be completed,  When assessment will be completed,  When computation of entitlements will be carried out,  When payments will be made by whom and where,  When the acquired land will be vacated and when the contractor will move on site. iii) Adhering to the agreed and publicized timetable of delivery of compensation is critical. This calls for a deliberate effort to ensure funds for compensation are ready set aside and accessible when payment commences. Table 10: Institutions to be involved in project implementation and monitoring Institution /Entity Monitoring Role Local Administrative Entities Development RAP implementation Agency (LODA) Ministry of Local Government (MINALOC) Overseeing project activities Ministry of Gender and Family Promotion, Occupational safety on worksites, gender impacts and Gender Monitoring Office, National Council of impacts on persons with disabilities. Persons with Disabilities Rwanda Environment Management Authority Overseeing environmental compliance during project (REMA) implementation. Rwanda Development Board (RDB) Overseeing environmental and social impact assessment and mitigation during project implementation Institute of Real Property Valuers in Rwanda Overseeing property valuations and monitoring land (IRPV) acquisition. Representative of PAPs from each division Monitoring how PAPs grievances are effectiveness addressed 12.2.2 Indicators to Determine the Status of Affected People These indicators are most important with respect to the RPF policy on resettlement and compensation. They will be informed by the baseline survey and will provide the project team and the World Bank data and trends for refocusing the project and for improving delivery as a whole. The following will be considered: i) Affected individuals, households, and communities are able to maintain or improve their pre-project livelihood standards; 51 ii) The local communities remain supportive of the project. iii) Specific indicators may include the following, which would indicate a change in:  quality of, and access to services, number of people employed;  number of people engaged in income-generating activities;  number of vulnerable people;  sources of income;  Expenditure pattern. 12.2.3 Annual audit The annual audit of RPF implementation and applicable A / RAP implementation in sub-project(s), includes: (i) a summary of A / RAP performance of each sub-project; (ii) a compliance review of RAP implementation process; and (iii) a progress report on the quality of A/RAP implementation in terms of application of guidelines provided in this RPF. The audit will verify results of monitoring of A/RAP implementation indicators, and assess whether the project achieved the resettlement objectives. A specific measure of whether livelihood and living standards have been restored or enhanced will be completed. The audit will also assess the efficiency, effectiveness, impact, and sustainability of A/RAP sub-project activities. The aim is to learn lessons for application to future sub-projects or other projects in the sector and in the country. Finally, the audit will ascertain whether the resettlement entitlements were appropriate, as defined in the RPF guidelines. 12.2.4 Socio-economic monitoring This will entail monitoring project impacts on community wellbeing and livelihoods as well as trading and business activities in the project sites utilizing indicators such as complaints or reported weekly losses occasioned by project activities. 12.2.5 Reporting and documentation Reporting should entail documentation of mid-term and end-term A/RAP evaluation of the implementation process including enforcement of cut-off dates and these reports should be shared with the World Bank. Where A/RAPs are undertaken for given project components, completion reports should be undertaken and shared with the World Bank. 52 REFERENCES 1. Government of Rwanda, Vision 5050 2. Regulation No. 010/R/CR-CSI/RURA/020 OF 29/05/2020 Governing Cyber security 3. The Rwandan Constitution, promulgated in 2015 4. Land Valuation Law promulgated in 2010 5. Expropriation Law No. 32/2015 of 11/06/2015 6. Organic Law N° 27/2021 of 10/06/2021 governing land in Rwanda 7. World Bank, ESS5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement 8. https://waterportal.rwb.rw/sites/default/files/inline-files/Brochure%20Radical%20terraces%20in%20Rwanda_0.pdf 53 ANNEXES Annex 1: Annotated Outline for Preparing a Resettlement Plan This template is extracted from World Bank ESS5. Annex 1. Involuntary resettlement instruments. The scope and level of detail of the RP will vary depending on the magnitude and complexity of resettlement or displacement. The RAP is prepared based on the most recent and accurate information on the: (i) proposed resettlement and its impacts on displaced persons and other adversely affected groups; and (ii) legal issues affecting resettlement. The RP covers elements that are specific to the project and sub-project context. A broad outline of the RP, as applied to sub-projects covered under a RPF includes, but is not limited to, the following: Description of the sub-project: General description of the sub-project and identification of sub-project area or areas. Potential Impacts: Identification of the: (i) the sub-project components or activities that require resettlement or restriction of access; (ii) zone of impact of components or activities; (iii) alternatives considered to avoid or minimize resettlement or restricted access; and (iv) mechanisms established to minimize resettlement, displacement, and restricted access, to the extent possible, during project implementation. Objectives: The main objectives of the resettlement program as these apply to the sub- projects. Socio-economic studies: The findings of socio-economic studies to be conducted in the early stages of project preparation, and with the involvement of potentially affected people will be needed. These generally include the results of a census of the affected populations covering: i. Current occupants of the affected area as a basis for design of the RAP and to clearly set a cut- off date, the purpose of which is to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance; ii. Standard characteristics of displaced households, including a d e scrip t io n of production systems, labor, 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. Magnitude of the expected loss, total or partial, of assets, and the extent of displacement, physical or economic; iv. Information on vulnerable groups or persons, 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, and to measure impacts (or changes) in their livelihood and living conditions. There may be other studies that the RP can draw upon, such as those describing the following: i. Land tenure, property, 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 sub project area; ii. Patterns of social interaction in the affected communities, including social support systems, and how they will be affected by the sub-project; iii. Public infrastructure and social services that will be affected; and 54 iv. Social and cultural characteristics of displaced communities, and their host communities, including a description of formal and informal institutions. These may cover, for example, community organizations; cultural, social or ritual groups; and non-governmental organizations (NGOs) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. Legal Framework: The analysis of the legal and institutional framework should cover the following: i. Scope of existing land and property laws governing resources, including state- owned lands under eminent domain and the nature of compensation associated with valuation methodologies; land market; mode and timing of payments, etc.; ii. Applicable legal and administrative procedures, including a description of the grievance procedures and remedies available to PAPs in the judicial process and the execution of these procedures, including any available alternative dispute resolution mechanisms that may be relevant to implementation of the RP for the sub-project; iii. Relevant laws (including customary and traditional law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage rights, customary personal law; communal laws, etc., related to displacement and resettlement, and environmental laws and social welfare legislation; iv. Laws and regulations relating to the agencies responsible for implementing resettlement activities in the sub-projects; v. Gaps, if any, between local laws covering resettlement and the Bank’s resettlement policy, and the mechanisms for addressing such gaps; and vi. Legal steps necessary to ensure the effective implementation of RP activities in the sub-projects, including, as appropriate, a process for recognizing claims to legal rights to land, including claims that derive from customary and traditional usage, etc., and which are specific to the sub-projects. The institutional framework governing RP implementation generally covers: i. Agencies and offices responsible for resettlement activities and civil society groups like NGOs that may have a role in RP implementation; ii. Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP implementation, monitoring, and evaluation; and iii. Activities for enhancing the institutional capacities of agencies, offices, and civil society groups, especially in the consultation and monitoring processes. Eligibility: Definition of displaced persons or PAPS and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates. Valuation of and compensation for losses: The methodology to be used for valuing losses, or damages, for the purpose of determining their replacement costs; and a description of the proposed types and levels of compensation consistent with national and local laws and measures, as necessary, to ensure that these are based on acceptable values (e.g., market rates). Resettlement Measures: A description of the compensation and other resettlement measures that will assist each category of eligible PAPs to achieve the objectives of ESS5 Aside from Compensation, these measures should include programs for livelihood restoration, grievance mechanisms, consultations, and disclosure of information. 55 Site selection, site preparation, and relocation: Alternative relocation sites should be described and cover the following: i. Institutional and technical arrangements for identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, location advantages, and other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources; ii. Any measures necessary to prevent land speculation or influx of eligible persons at the selected sites; iii. Procedures for physical relocation under the project, including timetables for site preparation and transfer; and iv. Legal arrangements for recognizing (or regularizing) tenure and transferring titles to those being resettled. Housing, infrastructure, and social services: Plans to provide (or to finance provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services to host populations; and any other necessary site development, engineering, and architectural designs for these facilities should be described. Environmental protection and management. A description of the boundaries of the relocation area is needed. This description includes 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). Community Participation: Consistent with the World Bank’s Environmental and Social Standard 10 on Stakeholder Engagement and Information Disclosure, a strategy for consultation with, and participation of PAPs and host communities, should include: i. Description of the strategy for consultation with and participation of PAPs and hosts in the design and implementation of resettlement activities; ii. Summary of the consultations and how PAPs’ views were taken into account in preparing the resettlement plan; and iii. Review of resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g., places of worship, pilgrimage centers, cemeteries); and iv. Arrangements on how PAPs can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that vulnerable groups (including indigenous peoples, ethnic minorities, landless, children and youth, and women) are adequately represented. The consultations should cover measures to mitigate the impact of resettlement on any host communities, including: i. Consultations with host communities and local governments; Arrangements for prompt tendering of any payment due to the hosts for land or other assets provided to PAPs; ii. Conflict resolution involving PAPs and host communities; and iii. Additional services (e.g., education, water, health, and production services) in host communities to make them at least comparable to services available to PAPs. Grievance procedures: The RP should provide mechanisms for ensuring that an affordable and accessible procedure is in place for third-party settlement of disputes arising from resettlement. These mechanisms should take into account the availability of judicial and legal services, as well as community and traditional dispute settlement mechanisms. 56 RAP implementation responsibilities: The RP should be clear about the implementation responsibilities of various agencies, offices, and local representatives. These responsibilities should cover (i) delivery of RAP compensation and rehabilitation measures and provision of services; (ii) appropriate coordination between agencies and jurisdictions involved in RP implementation; and (iii) measures (including technical assistance) needed to strengthen the implementing agencies’ capacities of responsibility for managing facilities and services provided under the project and for transferring to PAPs some responsibilities related to RP components (e.g. community-based livelihood restoration; participatory monitoring; etc.). Implementation Schedule: An implementation schedule covering all RP activities from preparation, implementation, and monitoring and evaluation should be included. These should identify the target dates for delivery of benefits to the resettled population and the hosts, as well as clearly defining a closing date. The schedule should indicate how the RP activities are linked to the implementation of the overall project. Costs and budget: The RP for the specific sub-projects should provide detailed (itemized) cost estimates for all RP activities, including allowances for inflation, population growth, and other contingencies; timetable for expenditures; sources of funds; and arrangements for timely flow of funds. These should include other fiduciary arrangements consistent with the rest of the project governing financial management and procurement. Monitoring and evaluation: Arrangements for monitoring of RAP activities by the implementing agencies, and the independent monitoring of these activities, should be included in the RAP section on monitoring and evaluation. The final evaluation should be done by an independent monitor or agency to measure RP outcomes and impacts on PAPs’ livelihood and living conditions. The World Bank has examples of performance monitoring indicators to measure inputs, outputs, and outcomes for RP activities; involvement of PAPs in the monitoring process; evaluation of the impact of RP activities over a reasonable period after resettlement and compensation, and using the results of RP impact monitoring to guide subsequent implementation. 57 Annex 2: Grievance Information Form Date/Time received: Date: (dd-mm-yyyy) Time: □ am □ pm Name of Grievant: □ You can use my name, but do not use it in public. □ You can use my name when talking about this concern in public. □ You cannot use my name at all. Company (if □ You can use my company name, but do applicable) not use it in public. □ You can use my company name when talking about this concern in public. □ You cannot use my company name at all Contact Information: Phone: Email address: Address: (Kindly indicate the preferred method of communication) 58 Details of grievance: □ One-time incident/complaint (Who, what, when, □ Happened more than once (indicate how many times): ___________ □ where) Ongoing (a currently existing problem) ______________________________________ ______________________________ Grievant/Complainant Signature (if applicable) Date (dd-mm-yyyy) _______________________________________ ________________________________ Signature- Project personnel (to confirm receipt only) Date (dd-mm-yyyy) For PIU use only: Grievance No: ____________________ Grievance Category: □ Problems during material transport □ Smell □ Blocked road access □ Problem with project staff □ Dust □ Other (specify): ___________________ □ Noise Grievance Owner/ Department: ________________________________________ 59 Annex 3: Grievance Acknowledgement Form (GAF) The project acknowledges receipt of your complaint and will contact you within 10working days. Date of grievance/complaint: (dd/mm/yyyy) Name of Grievant/Complainant: Complainant’s Address and Contact Information: Summary of Grievance/Complaint: (Who, what, when, where) Name of Project Staff Acknowledging Grievance: Signature: Date: (dd/mm/yyyy) 60 Annex 4: Grievance Redressal Registration Monitoring Sheet No Date Name Sex Contact Address Institution/ Complaint Feedback Date of detail closure Organization 1. 2. 3. 61 Annex 5: Disclosure/Release Form Grievance No: Name of Grievant/Complainant: Date of Complaint: Summary of Complaint: Summary of Resolution: Resolved at: □ First Level □ Second Level □ Third Level Date of grievance resolution (DD/MM/YYYY): 62 Annex 6: Rwanda Social Protection Transformation Project - Consultation Guide [Umushinga ugamije kuzamura imibereho myiza y’abaturage mu Rwanda – Inyoborakiganiro ] 1. [Description of the community – economic situation, urban or rural, predominantly old, young, vulnerable, unemployed, active, etc.] [– Gusobanura imiterere y’abaturage – ubukungu bwabo, mu mujyi cyangwa mu cyaro, abenshi barashaje, ni urubyiruko, ab’intege nke, abashomeri, bafite imbaraga n’ubushake byo gukora, etc.] 2. [A brief presentation on the project, its background, objectives and components] [–Gutanga amakuru y’ibanze ku mushinga, imvo n’imvano yawo, intego zawo, n’ibyo uzak ora] 3. Were you aware of this project? What do you think about it? – Mwaba mwari musanzwe muzi uyu mushinga? Murawumva mute? 4. What activities would you wish a project like this to finance? – Ni ibiki mwumva uyu mushinga wabateraho inkunga mu birebana n’ikoranabuhanga? 5. What impacts would you consider to be the likely results of this project? Ni izihe ngaruka mutekereza ko mwahura nazo bitewe n’ishyirwa mu bikorwa ry’uyu mushinga? 6. What are your major sources of livelihoods? – Ni ibiki by’ingenzi mukesha imibereho yanyu? 7. How best would you wish to be compensated for possible losses arising from the project? In cash? In kind? – Ni gute mwumva mwakwishyurwa ibyo mwatakaza ku mpamvu zaba ziturutse ku mushinga? Guhabwa ingurane y’amafaranga? Gushumbushwa ibyo mwaba ba takaje? 8. Other than compensation for loss of assets what other form of assistance would you expect? – Uretse kwishyurwa ibyo mwaba mwatakaje, ni ubuhe bufasha bundi mwakwifuza guhabwa? 9. What channels do you use to receive or communicate information? What ICT tools do you normally use? What ICT tools would you wish to have? Do you have enough skills to use them? – Ni ubuhe buryo mukoresha mu kubona cyangwa gutanga amakuru? Ni ibihe bikoresho by’ikoranabuhanga mukoresha? Ni ibihe bikoresho by’ikoranabuhanga mwifuza? Ese mufite ubumenyi buhagije bwo kubikoresha? 10. How would you wish to have grievances arising from the proposed project effectively handled? – Ni gute mwifuza ko ibibazo mwazagira bifitanye isano n’uyu mushinga byakemurwa? 11. Do you have any other questions or concerns you would wish to raise about this project? – Hari ikindi kintu mwumva mwifuza kuvuga kuri uyu mushinga tutaganiriyeho? 63 Annex 7: Sample Table of Contents for Consultation Reports 1.0 Introduction. 1.1 Project Description 1.2 Applicable Laws, Regulations, and Policies to Public Engagement 1.3 Project Lenders 2.0 Stakeholder Analysis 2.1 Areas of Influence/Stakeholders 2.2 Description of Stakeholders 3.0 Stakeholder Engagement 3.1 Previous Consultation Activities 3.2 Implemented Community Engagement Activities 3.3 Project Sponsor’s Community Engagement Plan 3.3.1 Phase 1 – Initial Stakeholder Consultation 3.3.2 Phase 2 – Release of the SEA Terms of Reference and Draft Public Consultation and Disclosure Plan (PCDP) 3.3.3 Phase 3 – Release of SEA Consultation Summary Report 4.0 Summary of Key Issues 5.0 Future Consultation Events 5.1 Phase 4 – Release of the SEA Report and Action Plans 5.2 Phase 5 – Resettlement and Community Development Action Plan (RCDAP) Planning Consultation 5.3 Phase 6 - Ongoing Project Communication 6.0 Disclosure Plan Tables Table 2.1: Consultation Activity Summary Table 3.1: Initial Government Agency Consultations Table 3.2: Summary of NGO Meetings Table 3.3: District Committee Composition Table 3.4: Summary of Community Discussions Table 3.5: Local Community Comments Table 4.1: Summary of Key Issues and Responses Table 5.1: Summary of Future Consultation Activities per Stakeholder Group Template Table on Consultation Activity Summary Location and Meeting Dates Attendees Discussion Summary Communities Represented Example: 64