ANNEX 1 RP1191 v2 LAND ACQUISITION AND RESETTLEMENT LEGAL FRAMEWORK The basic legislative framework for land acquisition and resettlement under the existing regime consists of the Constitution (1992), the Land Privatization Law (2003) and the Land Law (2006). The Land Law governs expropriation of land allocated for possession or use. The Land Privatization Law was introduced in 2003 and contains provisions respecting expropriation of land given in private ownership. Both laws provide for compensation to a certain extent. The Civil Code may require the State to provide compensation beyond that required by the land laws. Constitution of Mongolia (1992) The Constitution of Mongolia guarantees the citizen of Mongolia the privilege to enjoy the rights for having private property, safe and peaceful living accommodation and to receive material and financial assistance. Article 6.4 of the Constitution is the source of the state’s power to expropriate land owned or possessed privately. The grounds for involuntary acquisition are special public need. Article 16.3 obligates the State to make due compensation and payment in the case of taking private property for public need. Land may also be confiscated (i.e. without compensation) if it is used in a manner adverse to the health of the population, the interests of environmental protection or national security. Land Law (2006) The Land Law contemplates three kinds of private land tenure: (1) ownership, which may be granted only to citizens of Mongolia; (2) possession, granted under license, to Mongolian citizens, economic entities and organizations, for terms of 15 to 60 years, extendable up to 40 years at a time; (3) use, granted under contract or lease to foreign countries and legal entities. Article 13.1 lists special needs for which land in private possession can be acquired by the state: • Land under special government protection • Border strip lands • Land for ensuring national defense and security • Land for foreign diplomatic missions and consulates, as well as resident offices of international organizations • Free zone area • Land for scientific and technological tests, experiments and sites for regular environmental and climatic observation • Aimag level reserve rangelands. The ministry in charge of land issues must notify affected persons and undertake negotiations. If the negotiation is amicably completed, the government issues a decision on land acquisition and the governor of the appropriate level concludes an agreement with the affected person. The affected person must vacate the land within 90 days of the agreement date, except that this may only be required between 15 May and 15 September. If there is no agreement or if a dispute arises, it may be referred to the court. Under Article 43, possessors are entitled to replacement land and compensation for land under possession, reflective of the current market price of buildings and other constructions plus all expenses related to relocation. There is no clear provision in the Land Law concerning LAR over land that is in use, except the obligation of the land office to provide prior notice. The Law is silent on negotiation and compensation, except to say that the provision on compensation for possessors is not applicable to them. There is possible protection for users of land under the principles of the Civil Code, which may entitle them to compensation for immovable assets built in accordance with the contract and with the proper permission. Although the Land Allocation Law and Land Law require that land be compensated at market value, this is not the case in practice. Rather, the practice is to value land for compensation purposes on rates set by the government. Private land is valued at MNT 13,200 per square meter, based on Cabinet Resolution No. 103 of 2003. In case of valuation of buildings, depreciated replacement cost is calculated in accordance with International Valuation Standards, under Cabinet Decree No. 111 of 2006. There is no regulation governing the calculation of other damages. General principles of the Civil Code should apply. Law on Allocation of Land to Mongolian Citizens for Ownership (2003) Article 32.1 of the Land Privatization Law states that special needs for which private land can be acquired are: • Ensuring national defense and security • Creating a permanent surveillance field for scientific and technological tests or experiments and environmental or forecast observation • Building national roads, engineering lines, buildings and constructions. The State must notify owners and enter into negotiations with owners at least one year prior to a decision to expropriate, attempting to agree on: • Value of the land and immovable property located on it • Transportation costs regarding resettlement or relocation • Investment made by the owner on the land • Location, size, characteristics and quality of replacement land that is provided by state • Conditions and deadline for vacating the land • The amount of compensation, payment procedures and date. If an agreement is reached, the owner must vacate within one year of the agreement date. If there is no agreement, the dispute will be referred to the court. Under Article 33, district governors may establish servitudes over private land for the purposes of access through the land, installing survey markers, drainage or other land management measures. No compensation need be paid for such access. If the land becomes difficult or impossible to use because of the servitude, the owner has the right to demand that the authority purchase the land or compensate for damages. Article 37 of the Land Privatization Law outlines the principles applicable to compensation that landowners are entitled to upon expropriation: • Replacement land must be not worse in character and quality than the owner’s land • Land and immovable property will be compensated at their value • Improvements made to the land will be compensated • Losses incurred by the owner due to the taking of the land and relocation must be compensated • No compensation is paid for immovable property built or improvements made after the notice given at the start of the process. Civil Code (2002) The provisions of the Civil Code of 2002 provide a legal framework for land acquisition which place land acquisition for local scale infrastructure facilities unequivocally in the context of negotiated land acquisition and resettlement, as this implies that the state and affected persons engage with each other contractually as equal and autonomous legal persons and participants in a civil legal relationship (Article 1). Citizens and organizations, as well as aimags, the capital city, soums and districts are able to enter into civil legal relations with regard to objects of material and non-materials wealth and their acquisition and possession (Articles 6, 7 and 8). Chapter 10 of the Civil Code defines property and assets, including land and other immovable property. Chapter 11 details provisions for their possession by legal acquisition and Chapter 12 for property ownership by individuals and other legal persons. The Civil Code in Article 101 provides general terms for the possession, use and disposal of property (further elaborated in Articles 109 to 112), but refers to the subsequently enacted Land Law and Land Allocation Law with regard to land ownership and possession. A number of special provisions pertaining to common property ownership (Article 108), common property of family members (Articles 126 and 128) and easements (servitude) (Article 151) may be relevant to specific cases in the Project. Central to a negotiated agreement on transfer of land are the stipulations on contract in Chapter 15. ANNEX 2 DRAFT PRO FORMA RESETTLEMENT ACTION PLAN TERMS OF REFERENCE 1. Introduction and Background a. Proponent Description Describe proponent of the project and what the project name is. Describe who is responsible for resettlement planning and implementation and the authority responsible for review and approval. b. Project Description The sustainable development of Ulaanbaatar’s (UB) informal settlement areas – ger areas – is one of the critical development issues facing Mongolia. The transition to a market economy since the 1990s and a series of severe winters have resulted in the migration of many low-income families from the countryside into the ger areas of UB. The population of the ger areas is now estimated to make up about 60 percent of the total population of UB (over 1.03 million in 2007). Basic services are very limited or non-existent in ger areas – nearly 85 percent of ger residents use wood or coal- burning stoves for heating; ger residents must travel to public kiosks as far as 500m from their homes to purchase water. The Government of Mongolia and Municipality of Ulaanbaatar – with the support of the World Bank – have taken up the improvement of the quality of life of the urban poor in the ger areas of Ulaanbaatar by providing basic urban services to currently underserved households and communities. The Third Ulaanbaatar Urban Service Improvement Project continues this initiative with investment and improvement in four components of urban services. Through the improvement and/or extension of basic services to selected ger areas, the USIP3 endeavours to reduce the vulnerability of Ulaanbaatar’s poor population in the aspects of income generation, living condition and natural disaster. The USIP’s four components are as follows: • Component 1: Priority Infrastructure Investments • Component 2: Solid Waste Collection Improvement • Component 3: Support to Municipal and District Governance: Planning, Coordination and Capacity Building • Component 4: Project Management c. Previous and On-going Studies Provide a brief description of previous studies carried out in support of Project activities, including: • Environmental and Social Impact Assessment and Management Plans • Resettlement Policy Framework • Strategy Documents d. Regulatory Framework Provide a description of applicable laws in Mongolia that govern land acquisition and resettlement practices: • Constitution of Mongolia, 1992 • Land Law, 2006 • Law on Allocation of Land to Mongolian Citizens for Ownership, 2003 • Civil Code, 2002 • Resettlement Policy Framework e. International Best Practice Describe any requirements to apply World Bank Operational Policy 4.12. 2. Objective of the Consultancy Services Describe objectives of the consultancy services: “Overall objective of the consultancy service is to prepare and implement a Resettlement Action Plan according to the applicable laws and guidelines of Mongolia and in keeping with the approved Resettlement Policy Framework.� 3. Scope of Services The scope of services in support of involves the consultation, preparation and implementation of a Resettlement Action Plan in close collaboration with all categories of impacted households, affected community members, relevant government authorities, and other interested and affected parties. The Resettlement Action Plan shall be implemented in strict accordance with national land acquisition, compensation and resettlement policies and legislation of Sierra Leone. The scope of services is broken down into the following Phases and scope of work as follows: Phase I: Public Consultation and Pre-Planning • undertake public consultation efforts in the preparation of resettlement planning and implementation • assess displacement and land acquisition impacts • assess project planning and timelines in anticipation of reducing the scope of displacement • undertake conceptual scheduling and budgeting of land acquisition and resettlement activities that aligns with the overall Project Schedule and identify Phase II: Resettlement Action Plan Preparation • prepare Resettlement Action Plan according to good international resettlement practice as defined in the RPF, and Mongolian laws and regulations governing involuntary land acquisition and resettlement in a collaborative and participatory process involving key stakeholders • carry out baseline surveys and census of affected persons and valuation survey of all public, private and communal assets with full participation of resettlement advisory committee • establish a moratorium date negotiated within the resettlement advisory committee or social/resettlement committee • Identify and prepare conceptual resettlement site options for review by affected households (as applicable) • Identify and prepare replacement housing designs that are sensitive to local cultural preferences and incorporate locally procured construction materials (as applicable) • prepare and enter negotiations with affected households or designated alternate re: resettlement principles, entitlements, compensation, resettlement site selection, replacement housing design, livelihood programs, community development programs • finalise resettlement site designs including all national permitting and registration requirements • design a livelihoods strategy including financial management training focusing on impacted households and vulnerable groups • prepare a vulnerable persons assistance strategy including assistance and support packages and training and programming • design a socio-economic monitoring survey system • design an effective grievances and redress mechanism Phase III: Resettlement Action Plan Implementation • assist in the final review and disclosure of the Resettlement Action Plan • assist in the management and oversight of compensation payments and record keeping – database management – of the same • assist in the implementation, management and oversight of the livelihoods restoration strategy and vulnerable strategy • provide construction management of resettlement site and replacement housing construction, including integration of local employment initiatives (as applicable) • provide oversight to handover and warranty maintenance of all replacement infrastructure and structures (as applicable) • assist in the monitoring and evaluation of the Resettlement Action Plan including the implementation of socio-economic surveys • monitor and evaluate the resolution of grievances 4. Key Tasks Within the scope of services defined above under Section 3, the consultant’s key tasks are identified below. Consultants are encouraged to identify additional tasks that generate additional benefits to local communities through the resettlement management plan: • carry out a literature review • conduct public consultation • design and implement a grievance management system • prepare resettlement policy and procedures • assess and minimize the scope of displacement • identify and implement surveys including socio-economic, Census and asset surveys • prepare socio-economic baseline and database • prepare and manage entitlement framework • undertake resettlement negotiations • plan and supervise resettlement • plan and design and Livelihood Restoration and Enhancement Programme • design and monitor the implementation of a socio-economic monitoring system 5. Deliverables The consultant will be expected to provide deliverables throughout the consultancy period, namely: • Scoping Report detailing the findings of Phase I and including key findings, conceptual budget and work plan • A Resettlement Action Plan/Land Acquisition Plan. The consultant will identify timeline for delivery of first and second draft prior to delivery of final draft. The RAP/LAP will conform to the national resettlement requirements and OP 4.12. • Monthly Progress Reports detailing project progress against budget and timeline milestones in the second and third phase of the Scope of Services • Quarterly Monitoring Reports of the implementation of the Resettlement Action Plan during the consultancy period 6. Personnel At a minimum include the following: • Team Leader/Lead Compensation and Resettlement Specialist who will be responsible for the overall planning, management and oversight of the project and quality assurance of all resettlement planning activities and other deliverables. The proposed Team Leader should demonstrate a breadth of knowledge in resettlement planning processes and skills in constructive dialogue and relationship building with local communities, government and other stakeholders. The Team Leader should have at minimum 15 years of professional experience in preparing and implementing Resettlement Action Plans. The Team Leader should have at minimum a Master’s degree in a related discipline or demonstrate equivalent in work experience with a Bachelor’s degree. • Social Specialist should at least have a Bachelor degree in sociology, anthropology, geography or related discipline with at least 10 years of professional experience, and at least 5 years relevant experience in conducting socio-economic surveys; public consultation and participation process. • M&E Specialist should have at least have a Bachelor degree in sociology, anthropology, geography or related discipline with at least 10 years of professional experience, and at least 5 years relevant experience in establishing and operating monitoring and evaluation systems related to resettlement or development projects. The specialist should be familiar with development of the logical framework approach and other M&E methods and approaches (including qualitative, quantitative and participatory; ii) planning and implementation of M&E systems; (iii) facilitating learning-oriented analysis sessions of M&E data with multiple stakeholders; (iv) information analysis (using SPSS and Excel) and M&E report writing. • Regional Planner / Development Specialist should have at least have a Bachelor degree in geography, sociology or economics or related discipline with at least 10 years of professional experience, and at least 5 years relevant experience in conducting regional planning related to resettlement. The specialist should be familiar with the land use planning and building code regulations of Mongolia; ii) facilitating stakeholder workshops on regional development priorities and initiatives; iii) institutional planning and development. • Database Manager should have at least have a Bachelor degree in information technology (IT) qualification, or a data analyst with at least 10 years of professional experience, and at least 5 years relevant experience in managing interactive data sets. • Surveyor should have a at least a Bachelor Degree in surveying or geography and at least 10 years professional experience out of which 7 years should be working as a property surveyor. 7. Responsibility of Client Identify key responsibilities of the client to the consultant regarding document provision, stakeholder facilitation, materials and supplies. 8. Responsibility of Consultant Identify key responsibilities of the consultant including providing work program and tasks and delivery of the same; provision of tools, computers, printers and other equipment to carry out the work; housing, transportation and communication requirements; cost of report production and other disbursements as required to carry out the project. 9. Financial The consultant will prepare a detailed budget indicating time and fee estimates for each task indicated level of effort for key personnel to carry out the task. The budget should be broken down by phase. ANNEX 3 TEMPLATE FOR RESETTLEMENT ACTION PLAN AND LAND ACQUISITION PLAN A Resettlement Action Plan or Land Acquisition Plan may include the following sections: PROPONENT’S COMMITMENT KEY TERMINOLOGY SUMMARY CHAPTER 1: INTRODUCTION: including a general description of the project and identification of the project area (e.g. map with delineated impacted zone); summary identification of the scope of displacement and scope of the RAP itself; and identification of the RAP’s objectives or principles. CHAPTER 2: INSTITUTIONAL AND LEGAL FRAMEWORK: including an overview of relevant national institutional arrangements, regulations and laws and international standards; and a comparison of national and international practices. CHAPTER 3: EXISTING CONDITIONS: including a description of the Project’s socio-economic setting (regionally, locally and within the project footprint, as appropriate) reflecting baseline data gathered through the Project’s census, socio- economic survey and asset inventory; plus a description of prevailing land tenure and transfer systems and housing and infrastructural conditions in the area. CHAPTER 4: IMPACTS OF LAND ACQUISITION: including a detailed inventory of the scope of displacement, on household assets (e.g. land, structures, crops), public facilities and infrastructure, livelihoods and public access. CHAPTER 5: STAKEHOLDER ENGAGEMENT: including a description of the Project’s approach to stakeholder consultation and participation and a record of past and planned engagement activities. CHAPTER 6: COMPENSATION FRAMEWORK: including identification of the legal basis for the form and valuation of compensation; eligibility criteria; an entitlement matrix of compensation options available to eligible households; and a review of the applied valuation methodology. CHAPTER 7: REPLACEMENT ASSETS: including a description of the design and site selection processes; a description of planned replacement assets; identification of handover and maintenance procedures; and description of measures to integrate relocated households with (and minimize impacts on) host communities. CHAPTER 8: LIVELIHOOD RESTORATION: including an account of the methodology applied to developing livelihood restoration measures and a description of said measures. CHAPTER 9: ASSISTANCE TO VULNERABLE PERSONS: including an account of the methodology applied to identifying vulnerability in the project setting and developing livelihood restoration measures; and a description of assistance measures. CHAPTER 10: GRIEVANCE REDRESS: including an outline of procedures within the grievance redress process; and identification of the redress process’ applicability and its relationship to judicial options. CHAPTER 11: MONITORING AND EVALUATION: including an overview of monitoring and evaluation procedures (e.g. responsibilities, schedules and identified indicators). CHAPTER 12: ORGANISATIONAL ARRANGEMENTS: including identification of responsible parties within the implementation process and mechanisms for coordination between actors. CHAPTER 13: SCHEDULE: including an anticipated schedule for implementation. CHAPTER 14: BUDGET: including an anticipated budget for future phases of implementation (to the furthest extent possible) and identification of sources of funding.