REPUBLIC OF KENYA MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT KENYA INFORMAL SETTLEMENT IMPROVEMENT PROGRAM PLANNING & SURVEYING OF SELECTED INFORMAL SETTLEMENTS, CLUSTER 4, NYERI COUNTY CONTRACT NO. MLHUD/KISIP/ CS/005D/2013-2014 ABBREVIATED RESETTLEMENT ACTION PLAN REPORT IHWAGI INFORMAL SETTLEMENT PREPARED BY MARCH, 2018 i FACT SHEET Project Name Kenya Informal Settlements Improvement Project (KISIP) Assignment Name Planning and Surveying of 8 Informal Settlements in Nyeri County, Cluster 4 Contract No. MLHUD/KISIP/CS/005/2013-2014 Lead Implementing Ministry of Transport, Infrastructure, Housing and Urban Agency Development Funding Agencies Government of Kenya, World Bank, AFD, SIDA Consultants LER CONSULT LIMITED Start Date April, 2016 Completion Date February, 2018 Team Leader Prof. Plan. Caleb Mireri Target Settlement Ihwagi Informal Settlement ii LIST OF ACRONYMS AFD French International Development Agency AIDS Acquired Immunodeficiency Syndrome ARAP Abbreviated Resettlement Action Plan CAD Computer Aided Design CEC County Executive-in-Charge CGRC Community Grievance Redress committee DEM Digital Elevation Model EMCA Environment Management and Coordination Act EMSF Environmental and Social Management Framework GCI Galvanized Corrugated Iron GIS Geographical Information System GO Grievance Officer GoK Government of Kenya GPS Geographical Positioning System GRC Grievance Redress committee HIV Human Immunodeficiency Virus KISIP Kenya Informal Settlements Improvement Programme, KMP Kenya Municipal Program K-SUP Kenya Slum Upgrading Program LPDP Local Physical Development Plan M&E Monitoring and Evaluation (M&E) MTIH&UD Ministry of Transport, Infrastructure, Housing and Urban Development NGO Non-Governmental Organisation NLC National Land Commission NLP National Land Policy NAMSIP Nairobi Metropolitan Services Project iii NYEWASCO Nyeri Water & Sewerage Company Limited OP Operational Policies OPCT Older Persons Cash transfers PAD Project Appraisal Document PAP Project Affected Persons PDO Project Development Objective PDP Part Development Plan RAP Resettlement Action Plan RFP Resettlement Policy Framework RIC RAP Implementation Committee RIM Registry Index Map RPF Resettlement Policy Framework SEC Settlement Executive Committee SGRC Settlement Grievance Redress Committee SIDA Swedish International Development Agency SRTM Shuttle RADAR Topographic Mission UTM Universal Transverse Mercator WB World Bank iv DEFINITION OF TERMS Abbreviated Resettlement Action Plan is a resettlement document prepared to mitigate impacts that has affected less than 200 Project affected persons in accordance to World Bank OP 4.12. Adoptive planning standards refers to negotiated planning standards that use non- conventional road wayleave widths with the aim of reducing displacement that would result from the use of conventional planning standards (which use road wayleaves of 9m, 12m, 15m, 18m, 25m and 30m). Compensation/Facilitation means payments made in cash and/or in kind in recognition of loss of assets and Livelihoods resulting from impacts caused by planning and surveying. Complete Displacement: means the displacement of a structure owner or institution PAP etc. from one parcel of land to a different parcel of land outside the settlement due to the planning and survey activities including demarcation of roads. Cut-off date normally, is the date the census begins. It could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. In this ARAP, it is the latter. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated/facilitated. In situ planning refers to Planning and Upgrading of a settlement ‘as is’ i.e. largely the way people have settled. This means modification of boundary alignments is minimalised to avoid/reduce disruptions, while the planning exercise largely focuses on improvement/expansion of roads to improve on accessibility where necessary. The Local Physical Development Plan is a reflection of the settlement existing patterns i.e. structures and plots on the ground to the maximum extent possible. Market rate: The selling price of a commodity in the open competitive market. Project Affected Person(s) (PAPs) are persons, households, enterprises, and public or private institutions affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they must move to another location. Rehabilitation Assistance is the additional support, over and above compensation accorded to the vulnerable or at-risk members of the affected community during implementation of the ARAP e.g. labour support. v Relocation/Localized displacement means displacement of a structure owner or institution PAP etc. from one parcel of land to a different parcel of land (within the settlement) due to the planning and survey activities including demarcation of roads. Replacement cost means replacement of assets with same quality and quantity with an amount sufficient to cover full cost of lost assets and related transaction costs and taxes. The cost is to be based on Market rate (commercial rate) according to Kenyan law for sale of land or property, without depreciation in addition to other considerations such as (a) transporting building materials to the construction site; (b) any labour and contractors‟ fees; and (c) any registration costs. Therefore, for Replacement cost for houses and other structures means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures at market rates without depreciation. Resettlement Action Plan (RAP) or Resettlement Plan is a resettlement instrument (document) to be prepared when program locations are identified. In such cases, planning and survey activities including demarcation of roads leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. RAPs are prepared by the party impacting on the people and their livelihoods. RAPS contain specific and legal binding requirements to resettle and compensate/facilitate the affected party before implementation of the project activities. According to provisions by the World Bank OP 4.12, RAP is prepared where project affected persons are more than 200 while an Abbreviated RAP is prepared where project affected persons are less than 200. Resettlement Assistance means the measures to ensure that Project Affected Persons who may require to be physically relocated are provided with assistance during relocation, such as moving/shifting allowances for ease of resettlement, residential housing or rentals, rental allowance whichever is feasible and as required, for ease of resettlement. Resettlement Policy Framework (RPF) has been prepared as an instrument to be used throughout the informal settlements improvement project implementation. The RPF will be disclosed to set out the resettlement and compensation policy, organizational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the project. The Resettlement Action Plans (“RAPs”) for the project will be prepared in conformity with the provisions of this RPF. Survey means a 100% field assessment carried out to identify and determine the number of Project Affected Persons (PAP). Squatters are those who have extended their settlements into Government/public land and have no formal right or claim to the portion of the lands. Vulnerable Groups include all those affected by the project who are below the poverty line, the elderly, women and children headed households, indigenous people, Persons with severe disabilities, ethnic minorities or other Project Affected Person who may not be protected through national land compensation legislation. vi EXECUTIVE SUMMARY Project description The Kenya Informal Settlements Improvement Project (KISIP) is a five-year project, jointly financed by the World Bank, French International Development Agency (AFD) and Swedish International Development Agency (SIDA). It is implemented by the Ministry of Transport, Infrastructure, Housing and Urban Development, with the aim of improving living conditions in Kenya’s informal settlements through specific interventions that include enhancing tenure security, settlement level planning, infrastructure services provision, and planning for future urban growth. KISIP became effective in June, 2011 and is implemented in fourteen (14) Counties including Nyeri County where Ihwagi informal settlement – one of the former colonial villages - is one of the beneficiary settlements. The settlement is located in Ihwagi ward, Mathira East Sub-county. It measures 13.9 acres, hosts 52 plots and a population of 172 people. There are 103 households in the settlement with a mean household size of 2 people. In July, 2016, KISIP started a participatory planning and survey process in Ihwagi, which was expected to culminate in tenure regularisation. The informal settlement had a draft LPDP prepared in 2010 but had not been approved. The plan was therefore not implemented. Over time, and due to lack of development control, the settlement underwent spatial changes, including encroachments of road wayleaves proposed in the 2010 plan. The analysis of an updated base map (prepared by KISIP as a first step, towards accomplishing the key development objective of regularizing the tenure) showed inconsistencies between the draft LPDP and the actual land uses on the ground, necessitating the revision of the LPDP. The participatory revision process led to adjustments in the existing settlement structure/inhabitation. Consequently, 35 persons and 2 institutions (i.e. churches) were affected. Towards addressing the impact on structures, livelihood and vulnerability, an Abbreviated Resettlement Action Plan1 (ARAP) has been prepared. This Plan has been prepared with participation and endorsement from the local community and the entitlements are based on a Resettlement Policy Framework for KISIP, prepared in accordance with the World Bank’s OP 4.12 and approved by the World Bank. Institutional and implementation arrangements developed are captured in the table below. 1 Abbreviated Resettlement Action Plan are prepared in accordance to World Bank OP 4.12 when impacts affected less than 200 Project Affected Persons (for Ihwagi, 12 PAPs have Been Affected). vii Institutional and Implementation Arrangements Table 0-1 Institutional and Implementation Arrangements in the KISIP Project Actor Responsibility i. KISIP Secretariat: This - Tasked with overall coordination and execution of the Project. is the National KISIP - Procurement of consultants to undertake Planning and Survey for Team the different settlements as well as undertake Resettlement Action Plans to mitigate any negative impacts resulting from Planning and Survey. - Ensure all processes associated with tenure regularization2 are complete to facilitate issuance of title deeds to beneficiaries - Undertake and participate in stakeholder Consultations and sensitizations including sensitizations on Joint Titling with The Chief Land Registrar. - Management of Grievances - Ensure Implementation of this ARAP upon approval ii. County KISIP Team: - Tasked with implementing National KISIP directives within the this is National KISIP county. representation at the - The main link between the Settlement Executive Committee (SEC) County Level and the National KISIP. - Ensure the county is fully aware of KISIP Projects being undertaken within the County. - Management of Grievances iii. County Government of - One of the key stakeholders in the KISIP Project Nyeri: One of the - Tasked with selection of Informal settlements to undergo tenure selected counties regularization where KISIP Project - Facilitate all KISIP interventions in selected informal settlements. interventions are - Approval of Local Physical Development Plans for planned being undertaken settlements. iv. Settlement Executive - This is the link between the community and KISIP. Committee: This is the - Ensure adequate and comprehensive consultations are carried out in community all KISIP Tenure Regularization activities. representation in the KISIP Project v. The Community: This - Actively participate in consultations and sensitizations of tenure is the primary regularization process being carried out by KISIP stakeholder that will - Guide the whole process of tenure regularization by ensuring it is benefit from KISIP beneficial to them tenure regularization - Validate and approve at the settlement level prepared Local Physical interventions Development Plan. vi. The Consultant: A - In consultation with relevant stakeholders prepare Local Physical professional in the Development Plans, carry out Survey and prepare Resettlement field of urban Action plan to mitigate any impacts 2 Tenure Regularization Processes are described in detailed in Chapter 2 viii planning tasked with - Ensure all plans are approved by all relevant authorities Planning and Survey - Present a validated and accurate list of Tenure regularization of selected informal beneficiaries in the planned and surveyed settlement. settlement Land Titling In Ihwagi Land titling in Ihwagi has been a community led process where all beneficiaries and stakeholders were involved from the onset of the project. The formation of the Settlement Executive Committee (SEC) ensured that constant communication and consultation is carried out between the community, the consultant, the County and KISIP. During Planning, the consultant involved the SEC in making transect walks aimed at identifying existing plot boundaries of beneficiaries which led to the preparation of the settlements Base Map. Through a participatory planning process, the community was made aware that road wayleaves as proposed in the draft 2010 plan had been encroached into, and would need realignment to minimum standards - informing the revision of the Local Physical Development Plan with plots corresponding to each beneficiary. The community was made aware and agreed that for titling to be successful, access to every plot is mandatory thus minimum reduction in plot sizes in lieu of provision of road wayleaves. This informed the successful first level of approval of the Plan by the community with the plan generating 52 plots comprising of 2 churches and 50 individually owned plots. The breakdown of the 50 individually owned plots is as follows:  2 plots are co-owned by 3 male beneficiaries each3  18 plots are owned by individual male beneficiaries  30 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 56, where 24 are male and 30 are female. The plan adopted a road hierarchy of 9m and 6m roads, and was consequently approved by the County and Director of Physical Planning forming the basis of tenure regularization of the settlement. Surveying and placing of beacons was guided by the SEC in the presence of every beneficiary further building on community participation in the whole process. The resulting survey plan will form the basis of allocating title numbers to beneficiaries whereas all impacts resulting from the planning and surveying and their mitigations have been comprehensively documented in this ARAP. 3 The joint/co- ownership cases are amongst (non-spousal) family members. Chapter 2 details the (ongoing and future) sensitization around these types of ownerships and the legal implications e.g. a spouse cannot sell land without consent. This is to avert conflicts. ix To ensure the beneficiaries are aware of available title registration and the corresponding benefits KISIP and the Chief Land Registrar will carry out more settlement-oriented community sensitizations on titling and registration with emphasis on joint titling for spouses as a means to safeguard women rights to owning land as well as allow for changes to the Title beneficiary list before final printing of the titles. The Land Control Board will also play an important role in regulating land transfers as they are mandated not to approve transactions that lead to disposal of land without consent of both spouses. During Implementation of the ARAP, the National Land Commission as the custodian of Public Land, will officially transfer the land from public to individual beneficiaries through issuance of titles as per Kenyan Land Laws. Planning and Surveying Impacts Planning and Surveying will result in tenure regularization whose primary positive impact is issuance of title deeds to beneficiaries. In Ihwagi Settlement, 37 Project Affected persons were impacted. Of these, 2 beneficiaries experienced localised displacement, but were accommodated within the settlement. Due to the new road layout (in line with the draft 2010 and revised plan by KISIP), their plots were truncated and the residual was too small to put up a dwelling unit. This necessitated their displacement to unoccupied land within the settlement.4 35 other beneficiaries surrendered minimum portions of land to new road wayleaves and to boundary alignment. The beneficiaries were adequately sensitized agreed that the minimum portions of land handed over to road reserves were necessary to facilitate issuance of titles as each plot must have access. However, implementing the approved LPDP will result in impacts on some beneficiaries in the settlement, related to loss of structures and livelihood. The preparation of this Abbreviated Resettlement Action Plan (ARAP) is directed towards identification, documentation and quantification of all losses/impacts that will result from the implementation of the approved LPDP and to provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. Impacts on Project Affected Persons (PAPs) This ARAP is limited to impacts caused by the planning and surveying of Ihwagi informal settlement, which affects 35 structure owner PAPs and 2 institutions. 28 of the structure owner PAPs are vulnerable. There were no tenants affected in the settlement. 4 The SEC as represenattives of the community proposed and agreed that they be relocated to a plot that was unoccupied. The revised plan also shows they received bigger parcels than what they had previously. x Table 0-2 PAPs categorization in Ihwagi Informal settlement Type of Pap Number Category Number Structure owner PAPs 35 Vulnerable PAP 28 PAP Institution 2 Churches 2 Total 37 Survey results shows that more female PAPs have been affected at 75% while men are 17%. 25% of the affected PAPs are married. A larger proportion had primary education qualifications (57%) while 26% of the PAPs do not have any formal education. The occupation profile for the PAPs shows that majority of them are casual labourers (58%). 26% of the PAPs are unemployed. 28 PAPs were identified as vulnerable. Table 0-3 PAP flow Information Table PAPs -37 Male- 9 Female-26 Institutions (churches) - 2 Vulnerable-2 Non-Vulnerable-7 Vulnerable-26 Vulnerable PAPs 2 male PAPs were classified as vulnerable because they were elderly5 as well as 26 female PAPs identified as female household heads. Apart from entitlements as outlined in the KISIP RPF, KISIP will forward the names of the elderly PAPs for consideration into other unconditional national safety net programmes. Such programmes may include the unconditional cash transfer programmes that include Inua Jamii 70 years and above, and the Older Persons Cash transfers (OPCT). These provide a monthly stipend for qualifying older persons. As part of additional assistance during relocation, the RIC and SEC will ensure that Vulnerable PAPs are assisted in reconstruction of affected structures during implementation period of this ARAP. 5 Above 65 years of age xi Project impacts Since to a large extent planning was in situ – i.e. planning the settlement ‘as is’ with minimal disruption to residents’ lives,6 reduction of parcel sizes was minimalised to provide for access and enable tenure regularization. This provision was endorsed and agreed upon by the community during the approval of the LPDP so as to ensure the titling output is achieved - a benefit that overrides the minimal reduced plot sizes given the PAPs in Ihwagi informal settlement occupy public land. More so, the tenure security will enable the beneficiaries to develop their land as the County government indicated during meetings. A total of 75 structures were affected, and the impacts are twofold: loss due to inter- boundary realignment, where 52 structures were affected; and, loss due to new road way leaves alignment whereby 23 structures were affected. In terms of magnitude of impact, 34 structures were fully affected while 41 structures were partially affected. In addition, 212 banana stems and 4 non-food trees were also affected by new road wayleaves. Table 0-4 Structure related impacts Cause of Impact Number of affected Type of Number of affected structures Impact structures Boundary 23 Fully Affected 34 Alignment Road Wayleaves 52 Partially 41 Affected Total 75 Total 75 Table 0-5 Affected structures in Ihwagi Informal settlement Type of structure Road Boundary Number Distribution House 29 12 41 55% Kitchen 5 1 6 8% Pit latrine 10 8 18 25% Animal shed 5 2 7 9% Church hall 1 0 1 1% Shop 1 0 1 1% Store 1 0 1 1% Total 52 23 75 100% 6 Refers to Planning and Upgrading of a settlement ‘as is’ i.e. largely the way people have settled. This means modification of boundary alignments is minimalised to avoid/reduce disruptions. Planning exercise focuses on improvement/expansion of roads to improve on accessibility where necessary. The Local Physical Development Plan is a reflection of the settlement existing patterns i.e. structures and plots on the ground to the maximum extent possible. xii 1 income generating structure i.e. shop was affected during the planning and survey of Ihwagi informal settlement. Approach and Methodology The preparation of this Resettlement Action Plan was guided by the updated project’s Resettlement Policy Framework (RFP) i.e. prepared in 2014. It is based on a number of methods including a Review of relevant documents b Community and stakeholder consultation c Socio-economic survey and census of the PAPs and assets d Valuation of assets and livelihood losses, and preparation of asset register e Preparation of PAP and Asset register Community Consultation and Participation Public participation which is a constitutional requirement was realized through meetings and transects walks. The aim was to identify the interests of the different stakeholders and draw consensus. Three planning meetings were held by the consultant in the settlement (table 0-6 below). ARAP matters such as compensation for public land were discussed during these meetings. In addition, an ARAP PAP sensitization, verification of PAPs and presentation of draft ARAP was held on 6th March 2018 in the settlement. This meeting was attended by the PAPs (7 male and 25 female); County Government of Nyeri, National Land Commission and the National Government. During this meeting, PAPs and the SEC were present to verify inventory of the affected assets. In addition, one GRM sensitisation meeting was also held. Table 0-6 Community Participation Meetings No. Meeting Date Participants Key issues discussed Session Male Female 1. Stakeholders 12th July, Introduction to the consultation 2016 settlement and meeting sensitisation on the planning process, scheduling of planning activities 2. Planning 28th July, Joint Review of Base process and 2016 map and 2010 LPDP review of Basemap 3. LPDP & List of 18th County 2 0  Beneficiary validation Beneficiaries October, Government and tentative PAP validation 2016 of Nyeri identification KISIP Nyeri 2 1 KISIP Nairobi 1 4 xiii Community 25 35  Cut off declared as 18th Members October 20167 National 1 0 Government Total 31 40 4. ARAP Meeting 6th March, County 3 0  This recapped the 2018 Government ARAP process and of Nyeri discussed the draft National Land 1 0 ARAP report before Commission approval. Community 7 25  ARAP implementation Members process and Grievances Total 11 25 redress mechanism discussed.  Verification of the PAP register  Cut off recapped 5. GRC 18th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening County 1 0 Strengthening, 2018  Cut-off date recapped. Government RAP, Planning  GRC sensitisation and of Nyeri and Survey strengthening Issues National 1 0 Government  Recap of resolutions by resolution community to settle the Community 20 32 2 locally displaced Total 22 34 PAPs on unoccupied parcels/land.  Resolution by 2 locally displaced PAPs and agreement to voluntarily move to the unoccupied parcels/land.  Recap of voluntary movement by some PAPs before ARAP completion Implementation of the ARAP The primary responsibility for the implementation of this ARAP remains with KISIP who will ensure all PAPs are adequately facilitated according to the budget below an activity that will be concurrent with the issuance of Title deeds to all beneficiaries including PAPs. The implementation tasks will be carried out by KISIP RAP Implementation Committee (RIC) for Nyeri County. The composition of the RIC as stipulated in the KISIP Resettlement Policy Framework has been described in this ARAP under Section 10.2.2. 7 Refer to RAP and GRC sensitization meeting minutes in Annex 2. xiv ARAP Implementation Budget All persons affected by the project and meeting the cut-off date of 22nd May 2017 will be entitled to a combination of facilitation packages depending on the nature of ownership rights of lost assets and scope of the impacts as outlined in KISIP RPF’s entitlement Matrix. Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. Valuation for loss of livelihood was based on average daily net income from the respective livelihood activity aggregated for a month. Valuation of food crops (banana crops) was based on the value of the standing crop at harvest, determined by the average gross market value of crops for the three previous years, adjusted to take care of time to maturity and inflation. Facilitation of structures will be done concurrently with issuance of titles. Grievance Redress Mechanism A project-based grievance redress mechanism (at no cost to PAPs) has been designed with the objective of solving grievances within the shortest possible time. A settlement GRC has been established as the first level of grievance redress while escalation mechanisms include the RAP implementation Committee (with membership from both national KISIP and County government) and the Courts of Law (highly unlikely since the process has been community led). A grievance log documents all grievances and their resolution status are used to monitor GRM progress. Monitoring and Evaluation The ARAP Monitoring and Evaluation Framework that has been adopted involves internal monitoring by KISIP; impact monitoring commissioned to specialized firms; and an ARAP Completion Audit. The Monitoring Indices include: i. Number of PAPs facilitated ii. Vulnerable PAPs assisted in Rebuilding Structures iii. Number of Titles Issued iv. Number of Joint titles for Spouses Issued v. Grievances Logged and resolved Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this ARAP including the budget for compensation and timelines as per the implementation schedule.  KISIP will ensure all Grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP. xv  KISIP through the NLC will within 3 months of approval of this ARAP begin issuance of title deeds to beneficiaries and PAPs, concurrently with compensation.  KISIP and Area Chief will undertake sensitization aimed at ensuring the community does not cut the trees rather conserve them as community assets.  KISIP and the area Chief will undertake community sensitization to caution the community against any form of Gender based Violence related to issuance of title deeds and land management, as well as the use of compensation Funds by spouses. The Settlement GRC will be key to prevent and resolve any cases of GBV.  KISIP PCT (in collaboration with the Registrar of Titles) will organize and carry out Title registration sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence.  KISIP will work with the County Government of Nyeri in ensuring the sustainability of the project. The County will be part of the RIC in implementing this ARAP, part of the grievance resolution mechanism, provide additional assistance where necessary to vulnerable PAPs in rebuilding their structures through the SEC, undertake development control, Clearance of structures on road wayleaves after the expiry of self-demolition period as well as protecting the road reserves from future encroachment by beneficiaries and/or any other actors.  KISIP will issue a minimum of one-month notice after compensation is issued to PAPs to enable them salvage their assets.  KISIP will undertake Monitoring and Evaluation of this ARAP during and after implementation as indicated in Section 11.0. xvi TABLE OF CONTENTS .................................................................................................................................................i FACT SHEET.................................................................................................................... ii LIST OF ACRONYMS ...................................................................................................iii DEFINITION OF TERMS .............................................................................................. v EXECUTIVE SUMMARY ............................................................................................ vii Project description ................................................................................................................ vii Institutional and Implementation Arrangements ................................................................. viii Land Titling In Ihwagi .......................................................................................................... ix Planning and Surveying Impacts ............................................................................................ x Impacts on Project Affected Persons (PAPs) ......................................................................... x Vulnerable PAPs ................................................................................................................... xi Project impacts ..................................................................................................................... xii Approach and Methodology ................................................................................................ xiii Community Consultation and Participation ........................................................................ xiii Implementation of the ARAP .............................................................................................. xiv ARAP Implementation Budget............................................................................................. xv Grievance Redress Mechanism ............................................................................................ xv Monitoring and Evaluation ................................................................................................... xv Commitments ....................................................................................................................... xv TABLE OF CONTENTS ............................................................................................. xvii LIST OF TABLES .......................................................................................................xxiii LIST OF FIGURES ..................................................................................................... xxiv LIST OF PLATES ........................................................................................................ xxv CHAPTER ONE ............................................................................................................... 1 INTRODUCTION............................................................................................................. 1 1.1 Introduction ............................................................................................................... 1 1.2 Ihwagi informal settlement ........................................................................................ 2 1.3 KISIP’s interventions in Ihwagi informal Settlement ............................................... 3 1.4 Objective of the ARAP .............................................................................................. 4 1.5 Scope of the ARAP ................................................................................................... 4 xvii CHAPTER TWO .............................................................................................................. 6 LAND TENURE REGULARISATION AND TITLING IN IHWAGI INFORMAL SETTLEMENT ................................................................................................................. 6 2.1 Introduction to Land Titling ...................................................................................... 6 2.2 Planning Phase ........................................................................................................ 10 2.2.1 Community Sensitization on Planning ............................................................ 12 2.2.2 Preparation of informal settlement base maps ................................................. 13 2.2.3 Socio-economic survey of the settlements ...................................................... 15 2.2.4 Participatory Planning (Visioning) Workshop ................................................ 17 2.2.5 Validation of Plan and List of Beneficiaries ................................................... 21 2.2.6 Plan approval ................................................................................................... 21 2.3 Surveying Phase ...................................................................................................... 21 2.4 Safeguarding of Ihwagi Informal Settlement from Land Grabbing ........................ 21 2.5 Issuance of Titles ..................................................................................................... 21 2.6 Continuous Community Sensitization on Title Registration ................................... 22 CHAPTER THREE ........................................................................................................ 25 POLICY AND LEGAL FRAMEWORK ..................................................................... 25 3.1 Introduction ............................................................................................................. 25 3.2 The Constitution of Kenya of 2010 ......................................................................... 25 3.3 The National Land Policy (2007) ............................................................................ 26 3.4 Relevant Local Laws for Resettlement .................................................................... 27 3.4.1 The Environment and Land Court Act, 2012 .................................................. 27 3.4.2 The Land Act, 2012 ......................................................................................... 27 3.4.3 The Valuers Act Cap 532 ................................................................................ 28 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 .................................................................................... 28 3.5 KISIP’s Resettlement Policy Framework ................................................................ 29 3.6 World Bank’s Operational Manual OP 4.12 on Involuntary Settlement ................. 30 3.7 Comparison between the Government of Kenya and World Bank Guidelines ....... 30 xviii 3.7.1 Supporting Principles ...................................................................................... 35 CHAPTER FOUR........................................................................................................... 36 APPROACH AND METHODOLOGY ....................................................................... 36 4.1 Introduction ............................................................................................................. 36 4.2 Review of Relevant Documents .............................................................................. 36 4.3 Community and stakeholder consultation ............................................................... 37 4.4 Census of the Project Affected Persons ................................................................... 38 4.5 Inventory of Vulnerable Groups .............................................................................. 39 4.6 Inventory of Affected structures and Valuation Methodology ................................ 40 4.6.1 Valuation of structures .................................................................................... 41 4.6.2 Valuation of Trees ........................................................................................... 41 4.6.3 Valuation for loss of Livelihood ...................................................................... 42 4.7 Cut-off date.............................................................................................................. 43 CHAPTER FIVE............................................................................................................. 44 PUBLIC CONSULTATION AND PARTICIPATION.............................................. 44 5.1 Introduction ............................................................................................................. 44 5.2 Objectives of public participation............................................................................ 44 5.3 Stakeholders ............................................................................................................ 45 5.4 Community Meetings and Issues raised .................................................................. 45 CHAPTER SIX ............................................................................................................... 48 PROJECT IMPACTS .................................................................................................... 48 6.1 Introduction ............................................................................................................. 48 6.2 Positive Impacts of the Project ................................................................................ 48 6.2.1 Secure Land Tenure ......................................................................................... 48 6.2.2 Women empowerment in relation to land rights ............................................. 49 6.2.3 Improved Housing ........................................................................................... 49 6.2.4 Improved Infrastructure ................................................................................... 49 6.3 Negative impacts of the project ............................................................................... 49 6.3.1 Reduced Plot sizes ........................................................................................... 50 xix 6.3.2 Localised Displacement of 2 PAPs ................................................................. 51 6.3.3 Loss of Structures ............................................................................................ 51 6.3.4 Loss of livelihoods .......................................................................................... 53 6.3.5 Loss of trees..................................................................................................... 54 6.3.6 Increased vulnerability among the elderly persons ......................................... 54 6.3.7 Summary of Losses ......................................................................................... 54 CHAPTER SEVEN......................................................................................................... 57 SOCIO ECONOMIC STATUS/BASELINE ............................................................... 57 7.1 Socio-Economic Survey .......................................................................................... 57 7.2 Socio-economic characteristics of PAPs ................................................................. 57 7.2.1. Gender and marital status ................................................................................ 57 7.2.2. Education level of PAPs .................................................................................. 58 7.2.3. Other Household members’ characteristics ..................................................... 58 7.2.4. Construction materials ..................................................................................... 59 7.2.5. Water supply.................................................................................................... 59 7.2.6. Energy ............................................................................................................. 60 7.2.7. Sanitation and solid waste disposal ................................................................. 60 7.2.8. Vulnerable groups ........................................................................................... 60 CHAPTER EIGHT ......................................................................................................... 61 MITIGATION OF IMPACTS ...................................................................................... 61 8.1 Introduction ............................................................................................................. 61 8.2 Eligibility Criteria.................................................................................................... 61 8.3 Notification .............................................................................................................. 62 8.4 Compensation Payment Protocols ........................................................................... 62 CHAPTER NINE ............................................................................................................ 65 GRIEVANCE REDRESS MECHANISM ................................................................... 65 9.1 Overview ................................................................................................................. 65 9.2 Grievance Redress Institutions/Structure ................................................................ 66 9.2.1 Settlement Grievance Redress Committee (SGRC) ........................................ 66 xx 9.2.2 RAP Implementation Committee .................................................................... 66 9.2.3 Legal Redress .................................................................................................. 67 9.3 Procedure of Receiving and resolution of Complaints ............................................ 67 9.3.1 Step 1: Receipt of complaint/grievance ........................................................... 67 9.3.2 Step 2: Determination of Corrective Action .................................................... 68 9.3.3 Step 3: Meeting with the complainant ............................................................. 68 9.3.4 Step 4: Implementation of Corrective Action.................................................. 68 9.3.5 Step 5: Verification of corrective action.......................................................... 68 9.3.6 Step 6: Action by RIC ..................................................................................... 69 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission 69 9.4 Terms of Reference for the Grievance Redress Mechanism Committee ................ 69 9.5 Effectiveness of the Grievance Redress Mechanism ............................................... 69 9.6 Capacity-Building for the Grievance Officer and Grievance Committees .............. 70 CHAPTER TEN .............................................................................................................. 72 INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS .................... 72 10.1 Introduction ............................................................................................................. 72 10.2 ARAP Implementing Institutions under KISIP ....................................................... 73 10.2.1 KISIP Project Coordination Team................................................................... 73 10.2.2 KISIP RAP Implementation Committee (RIC) ............................................... 73 10.2.3 County KISIP Team ........................................................................................ 74 10.2.4 Community Settlement Executive Committee (SEC) ..................................... 75 10.2.5 The Settlement Grievance Redress Committee ............................................... 75 10.3 Sensitization and Information Sharing during ARAP implementation ................... 76 10.4 ARAP implementation Schedule ............................................................................. 78 CHAPTER ELEVEN ..................................................................................................... 81 MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP ................................................................................................................................ 81 11.1 Monitoring and Evaluation ...................................................................................... 81 xxi 11.2 Monitoring and Evaluation Framework .................................................................. 82 11.2.1 ARAP Monitoring Plan ................................................................................... 82 11.2.2 ARAP Monitoring Framework ........................................................................ 83 11.3 Resettlement Completion Audit .............................................................................. 85 CHAPTER TWELVE .................................................................................................... 87 CONCLUSION AND WAY FORWARD .................................................................... 87 12.1 Conclusion ............................................................................................................... 87 12.2 Commitments .......................................................................................................... 87 REFERENCES ................................................................................................................ 89 ANNEXES ........................................................................................................................ 90 ANNEX 1: PAPs AND ASSET REGISTER ................................................................ 90 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION ..................... 100 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE............................................ 135 ANNEX 4: ARAP QUESTIONNAIRE ...................................................................... 154 ANNEX 6: SAMPLE GRIEVANCE REGISTER .................................................... 157 xxii LIST OF TABLES Table 0-1 Institutional and Implementation Arrangements in the KISIP Project ............... viii Table 0-2 PAPs categorization in Ihwagi Informal settlement ............................................. xi Table 0-3 PAP flow Information Table ................................................................................ xi Table 0-4 Structure related impacts ..................................................................................... xii Table 0-5 Affected structures in Ihwagi Informal settlement .............................................. xii Table 0-6 Community Participation Meetings .................................................................... xiii Table 0-7 ARAP implementation budget.............................. Error! Bookmark not defined. Table 2-1 Tenure Regularization and Land Titling Process .................................................. 6 Table 2-2 Community Participation Meetings ..................................................................... 12 Table 2-3 Planning options .................................................................................................. 17 Table 2-4 Types of Title registration. .................................................................................. 22 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context ......................................................................................................... 31 Table 4-1 Community Participation Meetings ..................................................................... 37 Table 5-1 Community Participation Meetings ................................................................. 45 Table 5-2 Stakeholder Concerns and Agreements ........................................................... 46 Table 6-1 PAPs breakdown ................................................................................................. 50 Table 6-2 Project impacts according to gender .................................................................... 50 Table 6-3 Affected structures, Ihwagi informal settlement ................................................. 51 Table 6-4 Construction materials of houses......................................................................... 52 Table 6-5 PAPs vulnerability, Ihwagi informal settlement .................................................. 54 Table 6-6 Classification of losses experienced in Ihwagi informal settlement .................... 54 Table 6-7 Types of losses with number of PAPs ................................................................. 55 Table 7-1 PAPs vulnerabilities, Ihwagi informal settlement ............................................... 60 Table 8-1 Entitlement Matrix............................................................................................... 63 Table 10-1 National and County Government (ARAP) Implementing Institutions .......... 72 Table 10-2 ARAP implementation budget.......................... Error! Bookmark not defined. Table 10-3 ARAP Implementation schedule ..................................................................... 79 Table 11-1 ARAP Monitoring Plan ................................................................................... 82 Table 11-2 Internal Monitoring Indicators......................................................................... 84 xxiii LIST OF FIGURES Figure 1-1 Ihwagi informal settlement location map .......................................................... 3 Figure 2-1 Stakeholders’ analysis ..................................................................................... 11 Figure 2-2 Ihwagi informal settlement base map .............................................................. 15 Figure 2-3 Ihwagi Local physical development Plan ........................................................ 18 Figure 2-4 Ihwagi informal settlement land use budget .................................................... 19 Figure 2-5 Ihwagi ARAP Affected Structure Map .......................................................... 20 Figure 4-1 Asset and Livelihood Valuation Report Preparation ....................................... 43 Figure 6-1 Loss of livelihoods according to gender .......................................................... 53 Figure 6-2 Map showing affected structures and minimal reduction in plot sizes ........... 56 Figure 7-1 PAPs gender .................................................................................................... 58 Figure 7-2 PAPs Level of Education................................................................................. 58 Figure 7-3 Household member’s education level.............................................................. 59 Figure 7-4 Household members’ occupation .................................................................... 59 Figure 9-1 Grievance address procedure ........................................................................... 71 Figure 10-1 ARAP Implementing Institutions .................................................................... 76 Figure 10-2 ARAP Stakeholder Engagement Strategy ....................................................... 77 xxiv LIST OF PLATES Plate 6-1 Typical housing structures in Ihwagi Informal settlement .................................. 52 Plate 6-2 ... One of the pit latrines in the settlement that has been affected by plot boundary realignment .......................................................................................................... 53 xxv CHAPTER ONE INTRODUCTION 1.1 Introduction The Government of the Republic of Kenya prepared the Kenya Informal Settlements Improvement Project (KISIP) as part the national strategy to address inequality and disparities in livelihoods and quality of life within Kenya’s urban areas, the latter systematically and increasingly becoming the main population centres of the country. The Strategy comprises of three multi-sectoral programmes namely; - (i) The Kenya Informal Settlements Improvement Project (ii) The Kenya Slum Upgrading Program (K-SUP) and, (iii) the Nairobi Metropolitan Services Project (NAMSIP) to be financed by the World Bank (KISIP RPF, 2014). The aim of KISIP is to facilitate the improvement of living conditions in the informal settlements through security of tenure and municipal infrastructure development. The project will contribute to the overall Government goals for Vision 2030, through priority interventions in the following areas: institutional strengthening; improving security of land tenure and investing in infrastructure in informal settlements based on plans developed in consultation with communities; and support to proactive planning to better anticipate population growth and help develop options to dampen formation of new slums. These priority areas have been designed with four components. These are: 1 . Institutional strengthening/development and program management - This component assists in strengthening the capacity of the Ministry of Housing, the Ministry of Lands and the participating counties, and also finances program management activities (including preparation of a baseline platform and systems for monitoring and evaluation). 2 . Enhancing tenure security – this supports scale-up and process systematization of ongoing efforts to regularize tenure in urban slums and includes financing for the following types of activities: community organization and mobilization, identification and demarcation of settlement boundaries, preparation of Part Development Plans, and issuance of letters of offer/allotment to individuals/groups. 3 . Investing in settlement restructuring and infrastructure– supports implementation of settlement upgrading plans developed at the community level, investment in settlement level infrastructure and, where necessary, extension of trunk infrastructure to settlements. 4 . Planning for growth: Supporting delivery of affordable housing and serviced land – supports proactive planning to dampen the growth of new slums and mechanisms for 1 delivery of land and housing that can enhance affordability for middle- and low-income households. The Program’ activity covers 14 counties each of which benefits from activities targeting slum improvement. KISIP’s second component on enhancing tenure security means that planning and surveying of informal settlements creates a basis for titling of land in the selected informal settlements. Enhancing security of tenure of land in the informal settlements is critical in promoting the social wellbeing of the vulnerable inhabitants. Communities in informal settlements have in the past been disenfranchised through illegal alienation and forceful eviction. Tenure regularization will make it possible for the occupiers of the land in informal settlements to make long-term commitment including investment. In addition, it will be possible for County Governments and development partners to allocate resources for infrastructure and services investment in the informal settlements, given the planning creates for public utilities and/or infrastructure. Settlement upgrading plans and surveying will determine and provide for infrastructure and services needed in each informal settlement, thus provide a sound basis for systematic investment in the settlement. 1.2 Ihwagi informal settlement Ihwagi informal settlement is one of the colonial villages established in the 1950s, to settle the landless as a result of colonization. Despite a 2010 LPDP, the Government has not been able to formally alienate the land to the settlers. Therefore, the planning and surveying of this informal settlement is seen as a major milestone as it will lead to issuance of title deeds. In addition, the kind of structures built in Ihwagi settlement reveal that no significant investment has been undertaken since most of the houses have dilapidated walls that are either wooden or iron sheets. Lack of security of tenure has hindered the occupiers of Ihwagi from undertaking long-term investment compromising the standard of living of the households. By enhancing security of tenure through issuance of ownership documents, planning and surveying of the informal settlement will open up opportunities for the development of the settlement for the good of the affected households and the County. The settlement is located in Mathira East sub-county along the road between Karatina Town and Karatina University. The settlement measures 13.9 acres, with a population of 172 people. It is located next to Ihwagi shopping centre, about 4 km from Karatina town centre. The settlement has generated 52 plots comprising of 2 churches and 50 individually owned plots. The breakdown of the 50 individually owned plots is as follows: 2  2 plots are co-owned by 3 male beneficiaries each8  18 plots are owned by individual male beneficiaries  30 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 56, where 24 are male and 30 are female. The plan adopted a road hierarchy of 9m and 6m roads, Figure 1-1 Ihwagi informal settlement location map 1.3 KISIP’s interventions in Ihwagi informal Settlement The land tenure in Ihwagi informal settlement is classified as public land. This land is held by Nyeri County Government in trust for the people and administered on their behalf by the National Land Commission. KISIP’s component 2 intervention in Ihwagi informal settlement entails physical planning and surveying of the informal settlement. This leads to the revision of the Local Physical 8 The joint/co- ownership cases are amongst (non-spousal) family members. Chapter 2 details the (ongoing and future) sensitization around these types of ownerships and the legal implications e.g. a spouse cannot sell land without consent. This is to avert conflicts. 3 Development Plan (LPDP) for the settlement. The surveying component will ensure the settlers are issued with title deeds for the plots they occupy. 56 direct beneficiaries (which includes 2 churches) will be issued with title deeds. To achieve the objective of the second component, KISIP is working with relevant national institutions, counties and local institutions. At the national level, institutions involved include the Ministry of Lands and Physical Planning, National Land Commission (NLC) and Ministry of Transport, Infrastructure, Housing and Urban Development. The counties are represented by the relevant ministry that houses the Physical Planning functions, KISIP County Coordination Board and the survey department. The local community is represented by the Settlement Executive Committee (SEC) which is a representation of all stakeholders at the settlement level. Like any other project, surveying and mapping of informal settlements may adversely affect some households. For example, as a result of boundary alignment and provision of wayleaves, 37 PAPs will lose part or whole of their structures. This led to the preparation of this Abbreviated resettlement action plan. 1.4 Objective of the ARAP The objective of this ARAP is to therefore identify, document and quantify all losses and impacts which include loss of assets and livelihoods and impacts on vulnerable PAPs as a result of planning and surveying of Ihwagi Informal Settlement, and to provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. The ARAP provides Project Affected Persons with compensation for their loss of structures at full replacement cost, livelihood restoration measures and support for vulnerable groups. Additionally, a Grievance Redress Committee (GRC) has been established, to acknowledge and resolve grievances arising from resettlement issues, compensation to PAPs and issuance of title deeds. 1.5 Scope of the ARAP The scope of this ARAP was to: a. Develop a ARAP for the settlement in line with national legislation, KISIP Resettlement Policy Framework and world Bank’s OP 4.12 b. Study the Socio-economic reports undertaken during planning and surveying aimed at identifying data relevance, adequacy and the gaps therein in preparation of the ARAPs. c. Develop innovative resettlement options (Legally sound, socially, economically and environmentally sustainable) for the displaced persons based on existing situation and context of each settlement, best global resettlement practices. d. Conduct extensive and in-depth stakeholder consultations with all project stakeholders. e. Document acceptable entitlements to guide compensation and other mitigation actions to Project Affected Persons (PAPs). f. Compile an accurate PAP and Asset register (see annex 1). 4 This ARAP is therefore limited to impacts caused by the planning and surveying of Ihwagi informal settlement which resulted in 37 PAPs of which 2 were locally displaced and accommodated within the settlement. Every beneficiary was allocated a plot and will a receive title deed during implementation as outlined in the implementation schedule of this ARAP. 52 structures were affected by new road wayleaves while 23 structures were affected by inter- boundary alignment. In terms of magnitude of impact, 34 structures were fully affected while 41 structures were partially affected. In addition, 212 banana stems and 4 non-food trees were also affected by new road wayleaves. The ARAP does not cover compensation for any loss of land since the PAPs in Ihwagi informal settlement occupy public land. Since planning has been done in-situ, efforts have been made to ensure minimal reduction parcel sizes to provide for access which a requirement for successful titling process. Since Planning was community-led, the community was made aware of the minimum reduction in plot sizes and the benefits of tenure regularisation and titling. The community fully endorsed this provision leading to the approval of the LPDP by the community. 5 CHAPTER TWO LAND TENURE REGULARISATION AND TITLING IN IHWAGI INFORMAL SETTLEMENT 2.1 Introduction to Land Titling KISIP interventions in Ihwagi informal settlement began in July, 2016 where the project’s component 2 will culminate to tenure regularization in the settlement. To actualize land tenure regularization, the following activities were undertaken in Ihwagi settlement: community organization and mobilization, identification and delineation of settlement boundaries, preparation of settlement base map, review of the basemap versus the 2010 plan, preparation and approval of Local Physical Development Plans (LPDPs), settlement survey and beaconing as per LPDP, preparation of ARAP to mitigate impacts of planning and survey, community sensitization on title registration and benefits of title deeds, implementation of ARAP and issuance of title deed to the beneficiaries (including PAPs) in the settlement. This process of tenure regularization and land titling is illustrated in the table below: Table 2-1 Tenure Regularization and Land Titling Process Stage Activities Primary Secondary Indicators Timelines Actor Actor Mobilization  Community  SEC County  Equal Undertaken Stage Mobilization  KISIP Government representation  Introduction of  Consultant in SEC KISIP activities in composition Ihwagi Settlement  Community  Outlining the welcomed the objective of Planning project as they and Survey which have been will lead to issuance waiting on title of title deeds. deed for a long time.  Community committed to embrace and support the project until completion  Community committed to use existing local level governance/ma nagement structures to resolve grievances. 6 Planning Stage Base Map  Transect walks  Community  KISIP  Base map of Undertaken and physical guided by SEC  SEC  County Ihwagi Preparation  56 Beneficiaries  Consultant Government  Every identified. Beneficiary is  Existing Plot enumerated Boundaries form  Participation basis for Planning of SEC and surveying ensured that  100 % only members Socioeconomic of Ihwagi are survey of the Beneficiaries Beneficiaries  Mapping of  Beneficiary structures as on the list ground. representative of women beneficiaries. Revision of  A community led  Community  KISIP  Active Undertaken plan visioning process  SEC  County Women  Presentation of the  Consultant Government participation in findings of the every planning basemap versus 2010 stakeholder approved plan. meeting.  Community  Community prioritizes endorse road accessibility hierarchy for  Community through the settlement. SEC is involved in  Community revision of plan that aware of and best represents their endorse interests. minimum reduction in plot sizes to provide accessibility and facilitate titling  SEC proposed 2 beneficiaries settled on road wayleaves to be relocated to unoccupied plot Plan  A community led  Community  KISIP  Community Undertaken Validation validation of revised  SEC  County approval of and Approval plan ensured  Consultant Government plan 7 community vision is  County and represented Director of  Every beneficiary Physical allowed to scrutinize Planning the plan to ensure approval of their plot is Plan step represented. towards tenure  Community regularization endorsed and and issuance of approved revised titles Plan  Revised Plan approved by county and Director of Physical planning Validation of  Every beneficiary  Community County  Beneficiaries Undertaken Beneficiary allowed to  SEC Government ensure List scrutinize the  Consultant existence of beneficiary list to  KISIP all plots in the ensure correct plan. details have been  Beneficiaries input. ensure correct  Women encouraged details are in to participate. the beneficiary list and sign against the details  Women ensure correct details are in the beneficiary list and sign against the details Surveying stage Surveying  Physical Survey of  Community  KISIP  Women aware Undertaken and Plots  SEC  County of plot beaconing of  Women asked to be  Consultant Government boundaries. plots present during  Impacts and exercise and shown PAPs boundaries of new documented plot where beacons have been placed.  2 locally displaced PAPs shown new plots  Identification of impacts Approval of Survey approval and Survey of KISIP New RIM Ongoing Survey Plan adjustment of Kenya forwarded to 8 Registry Index Map Ministry of (RIM) to include Land for individual surveyed Titling process. Plots numbers ARAP Preparation ARAP Identified impacts are  Community  KISIP Entitlements are Undertaken Preparation as a result of planning  SEC  County given to and survey are  Consultant Government mitigate identified, impacts documented and mitigated ARAP  Ensure client  KISIP Consultant Approved Ongoing Approval commitment to  World ARAP to guide implementation of Bank implementatio ARAP. n process and  All safeguards issuance of provisions are met Titles and addressed ARAP Implementing ARAP  KISIP Consultant  Facilitation of Not yet implementati activities as per  Community PAPs undertaken on implementation  County  GRM schedule  Issuance of Title Deeds (undertaken after facilitation) Land Titling Sensitization Registrar of Titles  Registrar of  County  More women Ongoing on Title Sensitizes Titles Government aware on Joint owner ship Beneficiaries and  Community  Consultant Titling their spouses on  SEC  Men allow for (i) Joint Ownership of  KISIP joint titling titles with spouses. (ii) Types of  Beneficiaries registrations (iii) Benefits of aware of the Titles Benefits of the (iv) Conditions to title being be granted on issued. leasehold Titles  Beneficiary (v)Law requirements grievances in Regulation of land transactions adequately addressed Change of Beneficiary list open  Community County  Increased On Going beneficiary for final change of  SEC Government number on List names to appear in the  Consultant Joint Title title  KISIP between spouses 9  Beneficiaries on the final beneficiary list forwarded to the Ministry of Lands for Title printing. Titles The final beneficiary Ministry of Signed Titles Not yet Printing and list is the basis of Lands- Chief are handed undertaken Signing printing of Titles Land over to Registrar National Land Commission for Approval. Gazzettement The NLC approves National The names of Not yet transfer of Public land Land Beneficiaries is undertaken to individual Commission officially beneficiaries in published in the Ihwagi Kenya Gazette as individual title holders securing their tenure Issuance of Upon facilitation of  NLC County Beneficiaries Not yet Title All PAPs, Titles are  KISIP finally have undertaken issued to respective individual titles beneficiaries in a to their land. public event. Tenure regularization is complete 2.2 Planning Phase The assignment began with an intention to plan notice in the local dailies and public notice boards. This was aimed at informing the relevant stakeholders and the general public on the anticipated planning and surveying of Ihwagi informal settlement. In the settlement, the assignment began with a reconnaissance survey of the informal settlement, with an aim of familiarising with the stakeholders and the settlement. In addition, key institutions relevant to the study were visited. These included the County Government of Nyeri, National Land Commission-Nyeri County, KISIP Nairobi and KISIP Nyeri County. At the local level, local communities are represented by Settlement Executive Committee (SEC) with a membership of about 15. Figure 2-1 below shows the stakeholders’ engagement framework in the settlement. 10 Ministry of Transport, Infrastructure, Housing and Ministry of Lands and Urban Development Physical Planning Houses the KISIP and provides Responsible for planning, policy framework surveying and titling of the Coordination of KISIP activities informal settlements National KISIP (Nairobi) Government Coordination and implementation of KISIP activities National Land Commission Local Community Manage public Participate in all activities relating to planning and land on behalf of surveying of their settlement the national and county Settlement Executive Committee: representative of the governments; community whose role includes: 1. Conflict resolution; 2. Safeguard interest of the community Encourage application of traditional dispute Nyeri County 3. Conflict resolution; resolution Government Nyeri County KISIP Coordination Committee mechanisms in 4. Safeguard interest of the community; land conflicts; Coordination and implementation of KISIP activities in Nyeri County Monitor the COUNTY GOVERNMENT OF registration of all NYERI rights and interests in land County CEC Lands, Housing and Physical Assembly of Planning Nyeri Chief Officer Lands Housing and Physical Planning District Survey Office County Director for Physical Planning Figure 2-1 Stakeholders’ analysis Responsible for planning and surveying of the informal settlements in Nyeri County 11 2.2.1 Community Sensitization on Planning In Ihwagi informal settlement three community planning meetings were conducted, i.e. (i) at the beginning of the planning process and socio – economic survey, (ii) Discussion of the draft 2010 plan and the updated basemap, (iii) Beneficiary validation, approval of the LPDP and other reports. Table 2-2 shows the participation and key issues discussed, as well as gender representation in these meetings. The first meeting was particularly key in sensitising the community on a number of issues: 1 . The importance of planning and surveying and its end outcome i.e. tenure regularization in form of titles. Through this process, planning was framed as a pre-requisite to titling, to ensure accessibility of homes, as well as providing a basis for future provision and improvement of infrastructure in the settlement, as the planning process would designate road reserves. Community was sensitized that titles indicate private ownership of land which would open avenues for them to develop the land, among other benefits. Despite occupying the parcels for many years, the community had no recognized ownership rights as witnessed by lack of legally recognized documents to back up claims of occupation. The titles would however change this. 2 . Gender concerns in land ownership as defined by the Constitution 2010. The community was also sensitized that the Constitution allows for ownership of land by women – thus plots where the woman is the household head would be registered in the woman’s name. Joint ownership of titles between spouses was also encouraged, with both spouses to be registered where there were such agreements. Table 2-2 Community Participation Meetings No. Meeting Date Participants Key issues discussed Session Male Female 1. Stakeholders 12th July, Introduction to the consultation 2016 settlement and meeting sensitisation on the planning process, scheduling of planning activities 2. Planning 28th July, Joint Review of Base process and 2016 map and 2010 LPDP review of Basemap 3. LPDP & List of 18th County 2 0 Beneficiary validation Beneficiaries October, Government and tentative PAP validation 2016 of Nyeri identification 12 KISIP Nyeri 2 1 KISIP Nairobi 1 4 Community 25 35 Members National 1 0 Government Total 31 40 National Land 1 0 Commission Community 7 25 Members Total 11 25 County 1 0 Government of Nyeri National 1 0 Government Community 20 32 Total 22 34 2.2.2 Preparation of informal settlement base maps The preparation of the base map entailed several sequential processes: 1. Sourcing available data and maps on the Settlement: Registry Index Map (RIM), existing LPDP, aerial photograph map of the settlement were acquired in the form of hard copies (for LPDPs and RIMs) and soft copy aerial images for the site. The hard copy LPDPs and RIMs were scanned and geo-referenced using both GIS and CAD software i.e. ArcGIS and AutoCAD to bring them to a common coordinate system i.e. Universal Transverse Mercator (UTM) projection on Arc 1960 datum. KISIP also provided a settlement boundary sketch as sourced from the County Government of Nyeri. 2. Overlay aerial image and other sourced data. The aerial image was integrated with the digital PDPs and settlement boundary sketch provided by client to extract the settlement site boundary corner coordinate data for later ground verification of settlement site boundaries. This boundary (after verification) would later be used to demarcate the settlement boundaries on the ground using key features. 3. Establishment of settlement site survey controls: Using the RIM information, survey plans were sourced in the neighbourhood of the settlement to identify previously used cadastral survey control points or existing property corner 13 beacons that could be used as reference in verification of settlement site boundaries and site plan demarcation. 4. Verification of settlement boundary and other salient features in the settlement: Field ground truthing and accurate demarcation of the informal settlement perimeter boundaries, fixing of survey control point and identification of salient topographic features, public institutions, public spaces, utilities and other land uses of interest within the project site was undertaken through transect walks and in collaboration with the beneficiary community representatives and Nyeri County Government officials. These features were mapped using GPS. The SEC was particularly important in the verification and demarcation of the settlement boundary to confirm the spatial extent of the settlement site. During a transect walk in the settlement, the SEC was able to confirm the extent of their settlement using key features. Additionally, there are some other buildings within the settlements which belong to individual institutions and other organizations such as churches which needed to be identified. In addition, the SEC was able to confirm the existing beneficiary plot boundaries which were also identified during the transect walks. The result of this process was a base map (figure 2-2) which would later be used for the subsequent physical planning of the settlement. It showed structures on ground and claimed boundaries. 14 Figure 2-2 Ihwagi informal settlement base map 2.2.3 Socio-economic survey of the settlements The prepared base map was used as a basis for conducting the socio-economic survey. The structure maps in the settlement base map were used to identify the structures, mark and number them according to the numbering system that fitted the informal settlement. 15 A digital data collection system was employed to undertake socio – economic survey and generate the list of beneficiaries and geo – referenced the plots. Recruitment of research assistants from the informal settlement was an integral part of the socio economic survey and ensured successful execution of the assignment. The research assistants were trained and piloting done to ensure efficacy of the approach and methodology A 100 percent socio-economic survey (using questionnaire in annex 3) was based on agreed eligibility criteria, and undertaken in close collaboration with the community representatives, i.e. SECs and KISIP Nyeri County Office. The following approach was adopted: a. Identification, enumeration and verification of people against identified structures: Each beneficiary was identified by the community representatives, i.e. SEC officials to avoid cases of land grabbing. Appropriate identification documents (National Identity Cards, ownership documents issued by lawful authority) were assessed to form the basis for issuance of identification documents to the enumerated household/businesses, which were scanned and recorded. A photograph of the beneficiary was also taken. All beneficiaries were captured; whether male headed or women headed. Men were encouraged to register their spouses as co-owners of their plots. b. Enumeration of structures: Each identified structure was marked using GPS coordinates. A digital photo of the structure was captured for inclusion in the database of the structures. All other attributes of the structures were captured as they are in the questionnaire (Annex 3). Each plot as identified by the beneficiary was measured by a metre rule to ascertain the size. 15 (plot) owners were retained their current plot locations and sizes apart from the 37 PAPs that were affected by new road wayleaves and boundary realignment. c. Enumeration of structure attributes: Alongside the spatial attributes, other non- spatial attributes of each structure were captured in the field questionnaire (Annex 3) such as names of the structure owners, and tenants, the entire household of both structure owners and the tenants. All this and other necessary data were captured in the digital questionnaire during the socio-economic survey. d. Verification of socio-economic data: The final socio-economic data was verified by the community representatives and county government at the end of the exercise. 16 The end product was a tentative list of beneficiaries which was subjected to a community verification process. The verification process was continuous as copies were left with the SEC for owners to also verify names and other details such national Identification Card numbers. 2.2.4 Participatory Planning (Visioning) Workshop A participatory planning meeting was held on 28th July, 2016. The workshop brought together the SEC together with relevant stakeholders, with the aim of undertaking a participatory planning session that involved the review of the prepared basemap versus the 2010 draft plan, to identify planning concerns and prepare a physical development plan that responds to these issues. During this session, it was discussed that roads proposed in the previous draft plan were occupied, while those on the ground did not meet minimum planning standards resulting in poor connectivity in the settlement. The community was therefore informed of the need to align these roads to minimum standards. Considering the discussions, the following planning options were generated. Table 2-3 Planning options Option one Option two: preferred option Options  Prepare a new LPDP based on  Implement existing LPDP subject to minor updated base map modifications. Strengths  Possible to introduce very new  The survey pickings of roads and plots within land uses. the settlement are largely in harmony, apart from a number of areas.  The external boundary of the settlement as per the LPDP and that of ground survey control are in tandem  The vision of the settlement for connectivity and accessibility will be realized  Ideal road sizes would be realized (9m and 6m) Limitations  High number of PAPs would be  37 PAPs would be affected by new road realised wayleaves and inter-boundary re-alignment The community preferred option two because the plan would address their challenge of poor connectivity in the settlement e.g. improving accessibility to plots that were previously not accessible. The project design (Preferred option 2) is deliberately conceptualised to ensure minimal loss of land to provide for accessibility within the settlement. This was concretised through implementation of a road hierarchy and adoptive planning standards where lower width road wayleaves were considered in some sectons of the settlement. The exercise mostly focused on improvement of roads to improve on accessibility only where necessary. The plan also adopts a road hierarchy 17 system where main access roads were retained as 9m but reduce in size, up to 6m as they approached homesteads. Figure 2-3 Ihwagi Local physical development Plan Figure 2-3 shows the LPDP for Ihwagi informal settlement. The plan will generate 52 plots comprising of 2 churches and 50 individually owned plots. The breakdown of the 50 individually owned plots is as follows:  2 plots are co-owned by 3 male beneficiaries each9  18 plots are owned by individual male beneficiaries  30 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 56, where 24 are male and 30 are 9 The joint/co- ownership cases are amongst (non-spousal) family members. Chapter 2 details the (ongoing and future) sensitization around these types of ownerships and the legal implications e.g. a spouse cannot sell land without consent. This is to avert conflicts. 18 female. The plan adopted a road hierarchy of 9m and 6m roads. The primary tangible benefit to each beneficiary is a title deed (land tenure security) for plots that were previously considered as public land. This is a document that vests in the beneficiary the absolute ownership either freehold or leasehold against any other claimants, and thus eliminates disputes or eviction if any regarding the parcel of land. In this context, a title deed has the following benefits:  Act as security/collateral for mortgage/loan from a financial institution. This enhances economic empowerment.  Act as a surety in a court of law.  Raises the value of the land. This paves way for other infrastructural development.  Eliminates risk and possibilities of future dispossession and eviction from the land as it no longer public land. Figure 2-4 Ihwagi informal settlement land use budget An overlay of the approved LPDP against the existing settlement was made to highlight the affected in the settlement. This is presented as figure 2-5 below. 19 Figure 2-5 Ihwagi ARAP Affected Structure Map 20 2.2.5 Validation of Plan and List of Beneficiaries On 18th October 2016, the draft plan was presented in a meeting to the community, Nyeri County Government and KISIP Nyeri and Nairobi staff. The beneficiaries were allowed to scrutinise the plan and verify that all their plots appear on the plan. The plan was endorsed by the community and approved for submission to the authorities. In the same session, the beneficiary list was validated. The beneficiaries were allowed to scrutinise the list and make any changes to it, e.g. adding beneficiaries or correcting misspelt names etc. 2.2.6 Plan approval Ihwagi Informal Settlement LPDP has since been approved by the relevant authorities i.e. County Government of Nyeri and the Department of Physical Planning. 2.3 Surveying Phase The placing of beacons was then undertaken. The SEC guided the surveyor in placing the beacons in the presence of each beneficiary. The survey plan was then submitted and approved by the Director of Surveys. The preparation of the RIM is currently underway. The RIM will be used by the Ministry of Lands in Registration of Titles against the final beneficiary List. 2.4 Safeguarding of Ihwagi Informal Settlement from Land Grabbing Land grabbing is a common phenomenon in informal settlements. In Ihwagi informal settlement, there were no cases of land grabbing. However, to safeguard the community from any chance of land grabbing or claims by unknown people, the following measures were undertaken: i. The SEC (the representative of the community) was involved in ascertaining ownership of structures on the public land. ii. The list of beneficiaries involved only those who made use of the public land at the time of the exercise. Therefore no one was allowed to claim land that they do not use. iii. During the validation of list of beneficiaries, all beneficiaries were encouraged to identify their neighbours. This was to avoid unknown people being allocated land. 2.5 Issuance of Titles The issuance of titles will be the next process in this tenure regularisation process. This will be concurrent to the payment of facilitation/compensation to PAPs so as to encourage them to move into their surveyed plots and clear from road reserves. 21 2.6 Continuous Community Sensitization on Title Registration Sensitisation is foreseen as a continuous process thus as is the norm, KISIP will engage the Registrar of Titles before the issuance of titles to undertake more community sensitisation on a number of issues:  Benefits of Title Deed  Types of Registrations (table below)  Encourage Spouses on Joint Registration of Titles  Avoidance of Gender Based Violence on title related matters Table 2-4 Types of Title registration. Type Of Title Details Emerging issues under KISIP Registration Absolute  Only applies in free hold  In case of Death, Land is automatically Proprietorship land transferred to the spouse.  Both Husband and wife are  May not appear in KISIP as most land in absolute proprietors of land question is located within former municipals, thus qualifying as leases Single  Singe person completely  In case of death, transfer of the land Ownership owns the Land. becomes lengthy and costly.  If Married, Consent of wife  Discouraged under KISIP if husband and is required before any wife are involved. Husband and wife transaction on the land is encouraged to go for joint undertaken tenancy/ownership.  Consent has to be reached between husband and wife on who will be the single owner of the title.  If consent is not reached between husband and wife on absolute ownership, Tenancy in common shares joint ownership is to be explored as the alternative Co-tenancy Joint Tenancy/Ownership  This type of ownership is encouraged under  Ownership of  These are naturally man and KISIP; Sensitization is ongoing land by two or wife.  It is encouraged especially during succession more persons  On the death of a joint tenant, that tenant’s and both interest shall vest in the surviving tenant or registered in tenants jointly. the title.  Tenant can transfer their interest to the other  Each co tenant tenant(s) but not to any other person. receives a copy Tenancy in common shares  Of major importance, the shareholding must of the title,  These are owners who are be stated on the title. This may be in equal not necessarily man and shares or respective percentages. 22 wife. They can be more than  Each party decides what to do with his/her two. shares since they own only a stipulated share  If applies to spouses, of land. husband and wife own the  The title can only accommodate 5 entries of land in shares. Common in names cases where there is more  In case of more than 5 owners, additional than one wife and/or parties to the land are required to nominate children are involved. one to hold their shares in trust of the others  In non-spousal cases, similar  This is explored especially if children are ownership in shares. involved.  On the death of a tenant, the deceased’s share shall be treated as part of their estate Sectional Title  This applies to ownership of  In case a beneficiary builds an asset and Assets like high-rise decides to share among children/Wives, buildings/apartments each floor is entitled to a sectional title. This sectional title can be further subjected to Joint co-ownership among children  Conditions to be granted on Leasehold Titles: Majority of KISIP related informal settlements are located in towns/municipalities where lease hold titles as opposed to free hold titles are issued in line with the law.  Law requirements in Regulation of land: o Regulation of Land transactions: The Land Control Board and functions and roles it plays in safeguarding women land rights e.g. requirement for spousal consent in land sales. o Regulation of transfers/succession when a beneficiary dies, children transfer etc.  Change of beneficiary where applicable to include joint ownership by spouses. Gender inclusivity is one of the guiding principles of this ARAP and the tenure regularization exercise. Land ownership ratio in Ihwagi informal settlement is in favor of women (30 female beneficiaries to 24 male beneficiaries). However, KISIP will undertake more gender empowerment sensitization exercises to build the capacity of women in the settlement to safeguard their Land rights. In implementing these exercises, key stakeholders include: Registrar of Titles, KISIP and Nyeri County Government Gender Department. In particular, the Land Control Board will be a key avenue to safeguard women rights to owning land where every land transaction will be regulated by the board and spousal consent will be mandatory. The gender sensitization exercises will include but not limited to the following: 23 i. Enhancing women’s legal rights to own and inherit land, which to an extent is ongoing as women heads are already recognized through the titling process, while joint spousal registration was discussed with all settlement beneficiaries during the planning process ii. Enhancing women’s decision-making capabilities on land they use, regardless of whether they are a named owner of the land or if their names appear on title deed. For example, women will be sensitised to know that a spouse cannot sell land without their consent and the role that the Land Control Board plays in enforcing the requirement of spousal consent thus acting as an avenue of safeguarding the rights of women on land ownership. iii. Addressing norms and customs for how women acquire land (e.g., purchase, inheritance), the quality of land they receive, and how land is transferred at marriage or a spouse’s death through the sensitization process. Particularly, succession processes when a male spouse dies will be highlighted to ensure women are not dispossessed of their right to ownership of the land previously held by their husbands. iv. Educating both women and men on the benefits of recognizing women’s land rights. 24 CHAPTER THREE POLICY AND LEGAL FRAMEWORK 3.1 Introduction Land alienation and tenure regularization may trigger Project impacts to people’s assets and sources of livelihood. These activities may include; i. Partial demolitions of structures to re align road reserves; ii. Reclamation of encroached way-leaves; iii. Displacement of open and mobile shops (kiosks) to realign road reserves, provide drainage canals etc.; iv. Displacement of settlements to reclaim public utility land; v. Land reservation for receptacles and waste collection centres, posts for security lighting; and, vi. Removal of structures to create room for trunk infrastructure such as water mains and hydrant points towards mitigating severity of fire disasters. According to KISIP Resettlement Policy Framework (RPF) 2014, there is insignificant potential for displacements within the KISIP project towns since the projects are being undertaken within the public/designated way leaves and reserves, and public land reserved for such purposes. However, given the land is public; there is potential risk for evictions especially where it concerns road reserves. Even with minimal displacements, such may result to loss of means of livelihood, disruption of economic activities, persistent land- related conflicts, and displacements to poorly developed areas, inadequate and late compensation and environmental degradation. In order to mitigate the negative impacts on affected persons, Government of Kenya as well as international institutions have prepared guidelines and safeguard policies to cushion people from the potential negative impacts of forced displacements. Therefore, this chapter describes the relevant local and international policies and legislations that will apply to the Project Affected Persons in Ihwagi informal settlement, Nyeri County. 3.2 The Constitution of Kenya of 2010 The constitution acts as the overarching law in matters of property including land, and displacement. Section 60 of Chapter 5 lays down the principles of land ownership and use as follows: i. Equitable access to land; ii. Security of land rights; iii. Sustainable and productive management of land resources; 25 iv. Transparent and cost-effective administration of land; v. Sound conservation and protection of ecologically sensitive areas; vi. Elimination of gender discrimination in law, customs and practices related to land and property in Kenya; and vii. Encouragement of communities to settle land disputes through recognized local community initiative. The Constitution entrenches the protection of legally acquired land and property rights, and any acquisition of rights in land and property, be it voluntary or involuntary, must comply with the law. However, in Ihwagi informal settlement, planning and surveying is on public land therefore land acquisition is not applicable. The recognition of alternative dispute resolution mechanisms is aimed at expediting issues of land rights, transfer and supporting economic development. 3.3 The National Land Policy (2007) The National Land Policy (NLP) presents policy recommendations on issues of land rights and provides for strategies on dealing with land rights of vulnerable groups, minority groups, refugees and internally displaced persons, informal settlements, children and people living with HIV/ AIDS. Section 3.6 of the Policy is exclusive on Informal Settlements, the policy provides that to deal with the challenges presented by squatters and informal settlements, the Government shall: a. Take an inventory of genuine squatters and people who live in informal settlements; b. Determine whether land occupied by squatters is suitable for human settlement; c. Establish appropriate mechanisms for the removal of squatters from unsuitable land and their resettlement; d. Facilitate planning of land found to be suitable for human settlement; e. Ensure that land subject to informal settlement is developed in an ordered and sustainable manner; f. Facilitate negotiation between private owners and squatters in cases of squatter settlements found on private land; g. Facilitate the regularization of existing squatter settlements found on public and community land for purposes of upgrading or development; h. Establish a legal framework and procedures for transferring unutilised land and land belonging to absentee land owners to squatters and people living in informal settlements; i. Develop, in consultation with affected communities, a slum upgrading and 26 resettlement programme under specified flexible tenure systems; j. Put in place measures to prevent further slum development; k. Facilitate the carrying out of informal commercial activities in a planned manner; l. Regulate the disposal of land allocated to squatters and informal settlers; and m. Establish an appropriate legal framework for eviction based on internationally acceptable guidelines Sub section (g) above applies to planning and regularization of Ihwagi informal settlement in Nyeri. The same section provides guidelines on gender and equity principles relating to land rights on matters to do with land and resettlement. It particularly makes provisions for joint spousal registration and documentation of land rights, and for joint spousal consent to land disposals, applicable for all forms of tenure. 3.4 Relevant Local Laws for Resettlement 3.4.1 The Environment and Land Court Act, 2012 The Act enacts Article 162(2) (b) of the Constitution; to establish a superior court to hear and determine disputes relating to the environment and the use and occupation of, and title to land, and to make provisions for its jurisdiction, functions and powers, and for connected purposes. The established Court has power to hear and determine disputes relating to; a. Environmental planning and protection, climate issues, land use planning, title, tenure, boundaries, rates, rents, valuations, mining, minerals and other natural resources; b. Compulsory acquisition of land; c. Land administration and management; d. Public, private and community land and contracts, choices in action or other instruments granting any enforceable interests in land; and e. Land administration and management; f. Any other dispute relating to environment and land. This shall be an important institution in case of grievances with regard to displacement that cannot be solved through the ARAP grievance redress mechanism of SGRC and the RIC. 3.4.2 The Land Act, 2012 Part II section 8 of the Land Act, 2012 provides guidelines on management of public land by the National Land Commission on behalf of both national and county government. This law, in section 8(b) stipulates that the Commission shall evaluate all parcels of public land based on land capability, classification, land resources mapping consideration, overall potential for the land use, and resource evaluation for land use 27 planning. Section 8(d) stipulates that the Commission may require the land to be used for a specified purpose subject to such conditions, covenants, encumbrances or reservations as are specified in the relevant order. In managing public land, the Commission is further required in section 10(1) to prescribe guidelines for the management of public land by all public agencies, statutory bodies and state corporations in actual occupation or use. In these guidelines management priorities and operational principles for management of public land resources for identified uses shall be stated. The land under which Ihwagi informal settlement falls is classified as Public land hence invoking some sections of this Act. 3.4.3 The Valuers Act Cap 532 The Valuers Act is an Act of Parliament to provide for the registration of Valuers and the regulation of the valuation profession and practice in Kenya. Clause 21 of Cap 532 prohibits any person who is not a Registered Valuer and whose name does not appear in the register to prepare and submit a valuation report. The importance of these provisions is that a valuation report prepared by a person or firm not registered under the provisions of Clause 21 is invalid and cannot be used for the basis of compensation. The provisions of this Act are relevant to the ARAP as a Registered Valuer is required for the purposes of determining types and amount of compensation, whether the acquisition is going to be under Cap 295 or Cap 288 or World Bank OP 4.12. 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 The provisions of this Act apply to all internally displaced persons that arise either through calamities, social conflict or development projects and are guided by the Bills of Right under the Constitution of Kenya. Section 5 of the Act lists development projects among the displacement factors and outlines involvement of the affected persons through awareness, sensitization, training and education on causes, impacts, consequences and prevention measures. Section 6 of the Act provides that displacements as a result of development project sites will only be justified by compelling and overriding public interest. The procedures to follow are listed under section 22 and include: - i. Justification as to why the displacement is unavoidable and that there is no other feasible alternative. ii. Seeking free and informed consent from the affected person iii. Holding public hearing on project planning 28 iv. Provision of reasonable notice time to allow the affected persons review and react to the displacement conditions; and v. Displacement process should reflect respect to human rights. Displacement of the affected persons will be guided by the following factors: - i. Full information on the affected persons and ensuring their participation; ii. Identification of safe, adequate and habitable alternatives; iii. Availability of safety, nutrition, health, and hygiene as well as protection at the new location; and iv. Acceptability by the host communities in the new location (if re-location is implemented) The Act therefore provides enacted guidelines in the event of displacement in Ihwagi informal settlement. 3.5 KISIP’s Resettlement Policy Framework The main purpose of the RPF is to guide resolution of any displacement anticipated from project activities. The RPF conforms to OP 4.12 of the World Bank and anchored in the policy and legal provisions of the Government of Kenya pertinent to Involuntary Resettlement namely; - The National Constitution, Sessional Paper No. 3 of 2009 on National Land Policy, Chapter 288 of the laws of Kenya among others. OP 4.12 of the World Bank requires that an RPF be prepared for all projects that anticipate displacement of both settlements and livelihoods. Though minimal, if any displacement is anticipated from KISIP activities, this RPF: i. Provides for a policy, legal and institutional framework for responding to all displacement impacts occasioned by activities undertaken under KISIP. This policy covers direct economic and social impacts that both result from Bank- assisted investment projects, and are caused by:  the involuntary taking of land resulting in relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or  The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the project affected persons. ii. Offers choices among, and identify technically and economically feasible resettlement alternatives; and, iii. Puts in place modalities for providing prompt and effective compensation at full replacement cost for loss of assets attributable directly to the project and provide 29 support during the transitional period to enable the affected people to improve or at least restore their pre-impact living standards. 3.6 World Bank’s Operational Manual OP 4.12 on Involuntary Settlement The World Bank’s IRP outlines the conditions under which the World Bank will fund a project if it displaces persons or affects their social and economic wellbeing. The objective of the Bank’s Resettlement Policy OP 4.12 is to ensure that population affected by a project receives benefits from it. The policy has the following key objectives: a. To outline measures to ensure that the affected persons are: - i Informed about their options and rights pertaining to resettlement; ii Consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and iii Provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project b. If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the affected persons are: - i Provided assistance (such as moving allowances) during relocation; and ii Provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. c. Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also includes measures to ensure that affected are: - i. Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and Kenya ii. Provided with development assistance in addition to compensation measures demanded by the policy; iii. Such as land preparation, credit facilities, training, or job opportunities. 3.7 Comparison between the Government of Kenya and World Bank Guidelines GoK, and World Bank requirements are found to converge on some points such as the need for participation of all stakeholders, and consultation with project affected persons at every stage, need for mechanisms for addressing s mechanisms for project affected persons. The table 3-1 below provides a summative comparative analysis of the World Bank guidelines and the Kenyan Law context: 30 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context World Bank OP4.12 Kenyan Context Gap filling measures General ARAP Requirements Involuntary resettlement should be avoided wherever Involuntary resettlement possible in contexts of Ensure that resettlement issues are possible, or minimized, exploring all alternatives. projects of public interest e.g. the Land Act does not considered at the design stage of the stipulate that resettlement should be avoided wherever project in order to avoid/minimize possible; on the contrary, as long as a project is for resettlement and associated issues. public interest, involuntary resettlement is considered to be unavoidable. PAPs should be assisted in improving livelihoods etc. or at The Land Act 2012 guarantees the right to fair and just Implement World Bank OP 4.12 policy least restoring them to previous levels. compensation in case of relocation. Just and fair compensation as outlined in the Land Act is vague and can only be determined by NLC. In most cases, construed as market prices thus restoring to pre-project status. ARAP Process Requirements Grievance Redress Mechanism: The Constitution of Kenya, 2010, envisions a Adopt both Kenyan legislation and The ARAP should provide for appropriate and accessible prominent role for alternative dispute resolution, World Bank. grievance mechanism will be established. Appropriate and including traditional dispute resolution mechanisms. accessible grievance mechanisms This is in addition to other legislative frameworks are established for these groups. which provide for non-formal methods of dispute resolution. For instance, Land Act 2012 clearly outlines the steps and process for grievance redress that includes alternative dispute resolution, and is backed by the judicial system through Environmental and Land Court Act. Consultation: The IDP Act internalizes high value safeguards Adopt both Kenyan legislation and techniques such as the application of a free, prior and World Bank. 31 The ARAP process should provide for opportunity for informed consent process that emphasizes the quality meaningful consultations with affected persons and and meaningfulness of affected community communities, local authorities, and, Non-Governmental participation including the impact that views obtained Organizations (NGOs) where appropriate. during consultations have on the final decision. Information Disclosure: Kenyan Legal Framework not clear on Information Implement World Bank OP 4.12 policy Once approved, the ARAP, is made available to the public disclosure of Approved ARAP through its InfoShop. KISIP is also required to disclose it in line with The World Bank Policy on Access to Information. Eligibility Criteria The Land Act 2012 provides that written and unwritten Ensure ALL users (including illegal Determined by: agreements are recognized as valid land right. squatters, labourers, rights of access) (a) those who have formal legal rights to land The Land Act 2012 provides that people eligible for of affected lands are included in the (b) those who do not have formal legal rights to land at the compensation are those holding land tenure rights census survey and all compensation for time the census begins but have a claim to such land or The Land Act 2012 also recognizes those who have loss of assets will be at replacement assets—provided that such claims are recognized under the interest or some claim in the land such pastoralist or value and measures to restore laws of the country or become recognized through a process who use the land for their livelihood. livelihood undertaken. identified in the resettlement plan. The constitution recognizes occupants of land even if Those without legal right i.e. all (c) Those who have no recognizable legal right or claim to they do not have titles and payment made in good faith beneficiaries in place of resettlement the land they are occupying. to those occupants. However, this is not mandatory and receive tenure security of land Therefore, although O.P 4.12‘s recognizes eligibility as both does not apply to those who illegally acquire land. The occupied. formal (legal) and informal owners of expropriated land, it Traffic Act which recognises encroaching into e.g. road does not specifically recognize all users of the land to be reserves as illegal is repugnant or encroachers into e.g. compensated. road reserves as stipulated under Traffic Act. O.P 4.12 describes that normally the cut-off date is the The Land Act, 2012 is not specific on the cut-off date date the census begins. It could also be the date the but proposes a final survey of land (with regard to Implement World Bank OP 4.12 policy project area was delineated, prior to the census, private land) to be undertaken before compensation is paid. It does not cover public land. provided that there has been an effective public dissemination of information on the area delineated, 32 and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation or resettlement assistance. Similarly, fixed assets such as structures, established after the cut- off date will not be compensated. Measures: Cash based compensation should only be made where (a) Land Act 2012 appears to prefer mode of cash Ensure that all alternative options are land taken for the project is a small fraction of the affected compensation by the Government to the affected considered before providing cash asset and the residual is economically viable; (b) active population. compensation. markets for lost assets exist and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. World Bank OP4.12 Article 6(a) requires that affected persons are provided with prompt and effective Land Act talks of prompt, just compensation before the Use World Bank OP 4.12 procedures compensation at full replacement cost for losses of assets acquisition of land. However, interpretation of just in determining form of compensation attributable directly to the project. If physical relocation is an compensation is yet to be clearly outlined through a Implement prompt and effective impact, affected persons must be provided with assistance specific schedule defining just compensation has not resettlement assistance. during relocation and residential housing, housing sites been put in place. Therefore, Costs such as attorney’s and/or agricultural sites to at least equivalent standards as the fees, cost of obtaining advice or cost incurred in previous site. preparing and making written claim not in the Land Replacement cost does not take depreciation into account. In Act. Similarly, the Act does not out rightly stipulate terms of valuing assets, if the residual of the asset being assistance for relocation but can only be implied. taken is not economically viable, compensation and assistance must be provided as if the entire asset had been taken. 33 Compensation and other assistance required for relocation The Land Act, 2012 is not specific on any other Ensure that ALL resettlement options should be determined prior to impact on assistance to affected persons. Assistance ends at are agreed on with PAPs and put in livelihoods/structures, and preparation and provision of compensation. place prior to impact on affected PAPs resettlement sites with adequate facilities, where required. Impact must not occur before all necessary measures for resettlement are in place, i.e., measures over and above simple compensation. Implement World Bank OP 4.12 policy O.P 4.12 stipulates measures for livelihood restoration are The Land Act, 2012 is not specific on livelihood considered during resettlement of PAPs. restoration. Valuation: Land Act 2012 talks of just compensation for the lost Apply the World Bank OP4.12 With regard to land and structures, ―replacement cost is assets but it is not specific of the exact amount or valuation measures, as outlined in part defined as follows: procedures on the same. Interpretation of just 6, in order to fully value all affected For houses and other structures, it is the market cost of the compensation has not been defined. assets in a consistent manner. materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labour In case of conflict between OP/BP 4.12 and national laws, OP 4.12 will prevail. 34 3.7.1 Supporting Principles In approaching rehabilitation assistance within the KISIP, provisions of both GoK and OP 4.12 of the World Bank will apply and where gaps are encountered, additional provisions in mitigation have been identified. Additionally, project development has been firmly anchored on principles aimed at mitigating any impact as follows: - a) Avoidance, minimization, mitigation and compensation of Impacts/displacement: This project subscribes to the policy of minimization of impact as follows: -  KISIP interventions within Ihwagi are by design quite small and targeted at enhancing quality of life among the settlers. This has and will greatly minimise the need for displacement.  Revision of Local Physical Development Plans utilized existing way leaves to extent possible. Thus, wherever permanent dwellings were potentially affected (e.g. by a proposed road wayleave), the latter was redesigned to avoid major impact;  To the extent possible, projects will utilize public easements- sewer lines, other linear infrastructures etc. will be routed inside existing right-of-way (roads, streets, and power lines) wherever possible. b) Enhancement of benefits and Livelihood Restoration: One of the objectives of KISIP RPF is to ensure that livelihoods are improved or restored to pre- impact levels. c) Assistance to vulnerable groups: The Project recognises the need for providing additional support to vulnerable groups so as to cushion them from impacts associated with the project and to facilitate faster adjustment in the new environment. d) Gender Empowerment and Inclusivity: The Constitution of Kenya Advocates for gender inclusivity at every level of decision making. In this regard, the preparation of Ihwagi informal settlement Plan was no exception. To effect this, the composition of SEC accurately met the gender inclusivity principle as it ensured women are involved in decision making. This rule was reflected in stakeholder engagement meetings where women were present, actively participated and raised concerns and deliberations that entrenched their views in the plan preparation. 35 CHAPTER FOUR APPROACH AND METHODOLOGY 4.1 Introduction The preparation of this Resettlement Action Plan was guided by the project’s Resettlement Policy Framework (RFP). The RPF sets out the process to be undertaken in the preparation of ARAPs, and key components to be included in the ARAPs e.g. provision of socio-economic baseline information, policy, legal and institutional framework, grievance redress mechanism, public consultation, census of Project Affected Persons (PAPs) and assets, entitlement matrix, implementation schedule, budget, and monitoring and evaluation. At the conceptual stage, during project development, social and environmental analysis was undertaken to determine the nature and magnitude of the potential impacts on the environment, people and livelihoods; and to determine the level of environmental and social assessment required. The social analysis revealed that the project will lead to delineation of public utilities; alignment of the plot boundaries; and alignment of road wayleaves. This therefore triggers the World Bank’s safeguards policy OP 4.12 which requires the preparation of ARAP to ensure that all the Project Affected Persons (PAPs) are adequately compensated for the loss they are likely to incur. The methodology adopted in the preparation of this ARAP involved various steps. These steps are discussed in the following sections: 4.2 Review of Relevant Documents As a first step, and throughout the ARAP process, a number of key documents relating to KISIP project were consulted to provide guidance:  Project Appraisal Document (PAD) for KISIP which is the official project document  Environmental and Social Management Framework (EMSF) which provides a framework for identification and mitigation of potential environmental and social impacts arising from any KISIP project intervention  Resettlement Policy Framework (RPF) which provides a framework consistent with the World Bank’s OP 4.12 for mitigating physical and livelihood related impacts.  Socio Economic Report for Ihwagi 2016 prepared as part of this consultancy covering the settlement to provide baseline information for design and monitoring project interventions. 36  Community Consultation Report Ihwagi 2016 which documents community involvement in the identification and prioritization of project interventions.  Environmental and social screening report that informed the need for an ARAP.  Survey Plans, Registry Index Maps (RIMs) and Physical Development Plans (PDPs). The maps provide for the main settlement access road (R1) minimum width of 12m and internal settlement roads (R2) require a minimum width of 9m or 29.7ft. Therefore, any structure or livelihood within the above referred dimension was considered to be an encroachment. 4.3 Community and stakeholder consultation Public consultations were realized through community meetings; transect walks, and participatory planning and mapping. The aim of public consultation process was to identify the interests of the different stakeholders and draw consensus. Public participation is also constitutional requirement. Three community planning meetings were therefore held in the settlement; (i) at the beginning of the planning process and socio – economic survey, (ii) Discussion of the draft 2010 plan and the updated basemap, (iii) Beneficiary validation, approval of the LPDP and other reports. During these meetings, ARAP issues such as compensation for public land were discussed. One ARAP and one GRM sensitization meeting was held in the settlement. The details of the meetings are in table 4-1 below: Table 4-1 Community Participation Meetings No. Meeting Date Participants Key issues discussed Session Male Female th 1. Stakeholders 12 July, Introduction to the consultation 2016 settlement and meeting sensitisation on the planning process, scheduling of planning activities 2. Planning 28th July, Joint Review of Base process and 2016 map and 2010 LPDP review of Basemap 3. LPDP & List of 18th County 2 0  Beneficiary validation Beneficiaries October, Government and tentative PAP validation 2016 of Nyeri identification KISIP Nyeri 2 1  Cut off declared as 18th October 201610 KISIP Nairobi 1 4 Community 25 35 Members National 1 0 Government 10 Refer to RAP and GRC sensitization meeting minutes in Annex 2. 37 Total 31 40 4. ARAP Meeting 6th March, County 3 0  This recapped the 2018 Government ARAP process and of Nyeri discussed the draft National Land 1 0 ARAP report before Commission approval. Community 7 25  ARAP implementation Members process and Grievances Total 11 25 redress mechanism discussed.  Verification of the PAP register  Cut off date recapped 5. GRC 18th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening County 1 0 Strengthening, 2018  Cut-off date recapped. Government RAP, Planning  GRC sensitisation and of Nyeri and Survey strengthening Issues National 1 0 Government  Recap of resolutions by resolution community to settle the Community 20 32 2 locally displaced Total 22 34 PAPs on unoccupied parcels/land.  Resolution by 2 locally displaced PAPs and agreement to voluntarily move to the unoccupied parcels/land.  Recap of voluntary movement by some PAPs before ARAP completion 4.4 Census of the Project Affected Persons The ARAP Team conducted a household survey which included 100% census of the affected persons in May 2017. The local community represented by the SEC was vital in identifying and authenticating the PAPs i.e. the PAPs must have their structures within the settlement boundary and listed in the list of beneficiaries agreed during the validation of the LPDP and the list of beneficiaries. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons, ii. Identify affected assets and livelihoods for each PAP, i. Establish an accurate PAP register. ii. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates, and 38 iii. Provide a baseline for monitoring and evaluation of the resettlement interventions. A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation and economic activities, housing and health conditions. This information was used: i. To establish a list of PAPs; ii. To establish a socio-economic profile of PAPs based on existing conditions; and, iii. To provide a baseline for resettlement monitoring and evaluation The standard questionnaire was also used collect inventory of losses information from PAPs about assets that are affected: i. Structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; ii. Business losses, by types. The information was provided by the PAP as required and validated by the team on the ground. The questionnaire was signed by the PAP or representative. The ARAP team ensured PAPs or their representatives were present during asset enumeration. The PAPs were required to sign the asset inventory collecting tool (annex 4) to show a confirmation that it’s the true copy of the information collected. In the event that the head of the household was not available at the time of asset inventory, a member of the household would sign and confirmed by the SEC member available. 4.5 Inventory of Vulnerable Groups As part of the Socio-economic baseline survey (tool in annex 3), people considered to be disadvantaged as compared to rest of society were inventoried to ensure provision of soft landings in the compensation process. According to KISIP’s RPF, such groups should include; - i. Indigenous people: These are people who are closely tied to their traditional or customary lands and natural resources on these lands, but these lands may not be under legal ownership. Going by tradition, indigenous peoples are rarely encountered in urban centres and it is unlikely that any will be displaced under the KISIP. ii. Persons with severe disability: Such are usually disadvantaged in that their labour is challenged which makes them often unable to secure employment and locks them out of certain businesses. 39 iii. Elderly persons: Elderly people without assets or investments and people to depend on suffer numerous vulnerabilities. Any impact will affect their economic viability while displacement would damage their economic viability even more than losing land since it will separate them from the person or household on whom they depend for their support. iv. HIV/AIDS afflicted persons: Relatively high percentages of the poor and total population are living with HIV or are terminally ill with AIDS. Many are beneficiaries of numerous health programmes from the government, international organizations and the NGO community. v. Orphans and street children: Due to the impacts of the AIDS pandemic, there are a considerable number of orphaned children, whose parents have died from AIDS related diseases. These children today fall into three categories of care namely (i) those being looked after by close relatives, (ii) those being looked after by the government, local authorities or NGOs and (iii) those living alone and providing for themselves and other siblings. These children are more vulnerable since they are often "voiceless" because they have no parents to defend or stand up for them. vi. Widows and women headed household heads: women household heads rarely own the land that they farm (rendering them vulnerable to landlessness on divorce or widowhood). They are also more likely to experience difficulties in accessing credit, organising labour, or securing insurance. Thus, female household heads possibly need special provision for coping with major shocks. Ihwagi informal settlement recorded 2 male vulnerable persons in the elderly persons’ group. 26 female PAPs were also identified as female household heads. These vulnerable PAPs were identified for extra cushioning which includes additional cash support for the first three months for all vulnerable PAPs. In addition, rental expenses for vulnerable PAPs whose main dwelling structure is fully affected will be offered for the first three months. In addition, depending on the type of vulnerability, these groups will also through the County government of Nyeri Ministry of Gender, Social Services and Sports be recommended for additional assistance. Such programmes will include the unconditional cash transfer programmes that include Inua Jamii 70 years and above, and the Older Persons Cash transfers (OPCT) programmes run by the government of Kenya Ministry of Gender, Social Services and Sports. 4.6 Inventory of Affected structures and Valuation Methodology During the exercise, structures including main houses and pit latrines were affected by the planning and surveying project in Ihwagi informal settlement. An inventory of all the affected structures was therefore required to determine the number, their descriptions and size, so as to facilitate the valuation process. However, at the time of undertaking the ARAP, 40% of the structures had already been moved. Most PAPs 40 moved their structures immediately after beaconing and some after asset inventory (during the planning and surveying stage), without the knowledge of the consultant. This was later indicated to be voluntary and without any pressure from any authority (i.e. SEC or county government), and something uniquely undertaken in Nyeri settlements. The community later indicated that it was triggered due to the nature of their structures i.e. wooden, where some structures e.g. houses could be literally moved, or e.g. latrines could be reconstructed re-using part or most of the materials. While some indicated that they interpreted the beacons to mean they were occupying other people’s land or road reserve, thus movement to ensure they lived within their ‘own’ plots/parcels. The inventory information was therefore collected (using tool in annex 3) and included the nature of the structure, materials used for construction, its size (measurements) and the claimant. In the case of the structures that had already been moved, their location was verified using the basemap that had been prepared during the planning process.11 In addition, the SEC was used to verify the structure description given by the PAPs for valuation. The SEC and the PAP then signed the ARAP questionnaire (annex 4), to verify the description given. The values given are estimations of the structures that had been moved. This process was undertaken by the project ARAP specialist while valuation was done by a registered valuer. 4.6.1 Valuation of structures Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. The rate adopted was inclusive of the cost of site preparation, building materials, labour, transportation and any other associated costs. These rates adopted were obtained from mixed sources including the Institution of Quantity Surveyors of Kenya and Ministry of Transport, Infrastructure, Housing and Urban Development. 4.6.2 Valuation of Trees The rates applied in valuation of trees were based on the market rate of similar trees. For the affected non-fruit or timber trees, the age, size and life of the tree was considered in the valuation. Payment of PAPs for loss of trees is calculated on a net loss basis i.e. the difference between the number of trees lost less the number of trees gained. After compensation, trees on road reserves will be reserved as community assets. Agreement to this effect will be sought through the SEC and involvement of the County Government. KISIP in collaboration with the Area Chief will sensitise the community not to cut the trees. Part of this sensitisation will cover the elaborate processes involved in cutting trees i.e. notification to the Chief and obtaining a permit. 11 As explained in chapter 2, all plots and structures had been mapped during the planning and survey process. 41 4.6.3 Valuation for loss of Livelihood The only source of livelihoods affected was related to a shop that retails household items like sugar and soap. In this case, livelihood restoration was based on average daily net income from the respective livelihood activity aggregated for a month. The optimal in this case, would have been inspection of daily records for the previous three months. However, since these were missing, comparison with similar businesses with known returns were undertaken. 1 month was estimated as appropriate time for re-establishing the business elsewhere. Figure 4-1 shows the asset and livelihood valuation report preparation. 42 Asset and Livelihood inventory was established RAP ensured data from various stakeholders including Surveys of Kenya, Ministry of Lands and other relevant parties was gathered Asset inventory was prepared Asset and Livelihood Valuation Roll was established Valuation was done by Registered Valuer Figure 4-1 Asset and Livelihood Valuation Report Preparation 4.7 Cut-off date In line with OP 4.12, the cut-off date normally, is the date the census begins. It could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. Here the latter applies. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated. Establishing this cut-off date is essential in the process, as new inhabitants coming to the project affected areas after the cut-off date will not be considered for compensation. The Project Cut-off Date for Ihwagi informal settlement was declared as 18th October, 2016. The PAPs were reminded on 6th March 2018 and 18th December 2018. 43 CHAPTER FIVE PUBLIC CONSULTATION AND PARTICIPATION 5.1 Introduction Public consultation in relation to the ARAP occurs at all stages, starting with inception and planning when the potential land and alternative sites are being considered. A participatory approach was adopted as an on-going strategy throughout the entire project cycle. Public participation and consultations was done through individual and community meetings. Selection of ways to consult, and expand participation by PAPs and other stakeholders, took into consideration gender, literacy levels prevalent in affected communities; ethnicity and cultural aspects; and practical conditions (like distance). Public consultations were realized through individual meetings e.g. during the socio-economic baseline survey, community meetings; and transect walks. Community consultations were held during socio-economic surveys to identify and prioritize project interventions based on the needs identified the resources available and the likely impacts of the proposed interventions. Before the ARAP process, 3 planning meetings had been organised within the settlement with the local Settlement Executive Committees (SECs), beneficiaries, with representation from the County and National Land Commission. ARAP related issues were also raised in the planning meetings. In general, in Ihwagi 3 planning meetings and 1 PAP meeting were held. Details of these meetings are discussed in section 5.4 below 5.2 Objectives of public participation The aim of public consultations was to identify the interests of the different stakeholders and draw consensus. Public participation is also a constitutional requirement. The objectives of the stakeholder consultations were:  To sensitize the community about the project and potential impacts on people and livelihoods;  Provide a platform for the community to air views and concerns which are relevant to the ARAP and need to be resolved,  Involve them in key processes of census and the undertaking of the affected asset inventory,  Provide an opportunity for the community to themselves propose the most appropriate mitigation measures for asset and livelihood losses,  To seek support from the community and other all relevant stakeholders in the preparation and implementation of the ARAP.  To discuss the draft ARAP report and its recommendations. 44 5.3 Stakeholders During the public consultations, multiple groups of stakeholders were consulted. The stakeholders were those who have an interest in the project development, and who will be involved in the further consultative process. The main groups of stakeholders are: i. Project Affected Persons These are the people who reside in the area or derive their livelihood from the affected land. These people will lose their structures due to the planning and surveying activities in Ihwagi informal settlement. Most of the directly affected people were informed and consulted on major issues concerning structure loss, livelihood rehabilitation and income restoration. They participated in the socio-economic survey. ii. Government Agencies  KISIP  National Land Commission  Area chief’s office  County government of Nyeri  Ministry of Lands and Physical Planning The two groups of stakeholders attended the ARAP meeting as shown in annex 2. 5.4 Community Meetings and Issues raised The ARAP issues such as compensation for land were discussed during the planning meetings (shown in table 5-1). The minutes and attendance lists have been annexed (annex 2). Table 5-1 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female th 1. Stakeholders 12 July, Introduction to the settlement and consultation 2016 sensitisation on the planning meeting process, scheduling of planning activities 2. Planning process 28th July, Joint Review of Base map and and review of 2016 2010 LPDP Basemap 3. LPDP & List of 18th County 2 0  Beneficiary validation and Beneficiaries October, Government of tentative PAP identification validation 2016 Nyeri  Cut off declared as 18th October KISIP Nyeri 2 1 201612 KISIP Nairobi 1 4 12 Refer to RAP and GRC sensitization meeting minutes in Annex 2. 45 Community 25 35 Members National 1 0 Government Total 31 40 4. ARAP Meeting 6th March, County 3 0  This recapped the ARAP process 2018 Government of and discussed the draft ARAP Nyeri report before approval. National Land 1 0  ARAP implementation process Commission and Grievances redress Community 7 25 mechanism discussed. Members  Verification of the PAP register Total 11 25  Cut off date recapped 5. GRC 18th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening County 1 0 Strengthening, 2018  Cut-off date recapped. Government of RAP, Planning  GRC sensitisation and Nyeri and Survey strengthening Issues resolution National 1 0 Government  Recap of resolutions by community to settle the 2 locally Community 20 32 displaced PAPs on unoccupied Total 22 34 parcels/land.  Resolution by 2 locally displaced PAPs and agreement to voluntarily move to the unoccupied parcels/land.  Recap of voluntary movement by some PAPs before ARAP completion Asset inventory was conducted in the community on 22nd May, 2017 during the census of the PAPs. During this exercise, PAPs and the SEC were present to confirm individual boundaries for PAPs and inventory of the affected assets. The Asset Register was verified by the community on 6th March 2018. The relocation of the two PAPs (locally displaced) was discussed in the planning meetings, and additionally consulted during the asset inventory/valuation process, during PAP verification exercise held on 6th March 2018 and the GRC sensitisation meeting on 18th December 2018. The following were the community concerns during the ARAP sensitization meeting Table 5-2 Stakeholder Concerns and Agreements Issue Response Some PAPs were concerned that during the asset The community was informed that an asset valuation exercise they were not captured verification exercise would be held on the same day.13 13 It was found that all PAPs and their structures had been documented. 46 PAPs were concerned about compensation for loss PAPs were informed that there would no of land facilitation for loss of land since the land in the settlement was public land. Tenure regularization in Ihwagi led to localised displacement of 2 PAPs who were accommodated within an unoccupied part of the settlement. The other PAPs in the settlement were retained in their existing locations but minimum loss of parcel was experienced to provide for new road wayleaves and inter-boundary realignment, in lieu of tenure regularization which will lead to issuance of title deeds to the beneficiaries. The issue of the localised displacement was discussed during the community meetings where the impact of new road wayleaves was indicated as having led to relocation of 2 PAP beneficiaries. Particularly, the SEC was concerned about the fate of these 2 beneficiaries, and proposed relocation to an adjacent plot that was unoccupied. Following discussions, it was agreed on that these PAPs be allocated the unoccupied land existing within the settlement which was sufficient to resettle the displaced PAPs. The 2 PAPs were shown the parcels by the SEC and consultant, and voluntarily agreed to move rather than occupation of road reserves which would in the future make them susceptible to major losses during road development. The proposal/agreement to relocate to the unoccupied plot was also verified during the PAP and GRC sensitisation meetings as indicated in minutes for the respective meetings in Annex 2. 47 CHAPTER SIX PROJECT IMPACTS 6.1 Introduction According to the Resettlement Policy Framework, Project Affected Persons (PAPs) are persons affected the impacts caused by the approved LPDP. These persons are affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they must move to another location. In Ihwagi, the project resulted in local displacement of 2 PAPs (but accommodated within the same settlement), impact on additional 33 structure owner PAPs and 2 churches. There was no loss of private land in Ihwagi informal settlement since the land in the settlement is public land and the project is focused on tenure regularization. An asset register (annex 1) has been compiled to show the losses experience by each PAP in the settlement. The settlement does not have any tenants as PAPs and no community structures and infrastructure were affected. 6.2 Positive Impacts of the Project Given the trends in urbanization and slum populations, slum upgrading interventions may be an important component of the development process. However, investing resources in slum upgrading projects should ideally be based on clear evidence of which specific interventions should be given priority because they are more effective. The following are some of the gains the beneficiaries in Ihwagi informal settlement are going to experience from the planning and surveying of their settlement: 6.2.1 Secure Land Tenure The main objective of KISIP intervention in Ihwagi is to provide land tenure security in Ihwagi informal settlement. Secure land tenure is an important means of improving the standard of living of those living in the informal settlement. With secure land tenure, those living in the informal settlement can make long – term investment commitment in the land, which would not be possible in the present circumstance characterized with persistent fear of eviction by the government as the land is public. Ihwagi informal settlement has a long history having been established in the 1950s. Therefore, the original inhabitants of the land have occupied it for over 50 years. Despite the long duration, the Government has not been able to formally alienate the land to the settlers. Therefore, the complete planning and surveying of this informal settlement is seen as a major milestone as it will lead to issuance of title deeds. This will be a big relief to the inhabitants who have waited for decades for title deeds. With secure land tenure, it is possible to expect increased interest in the development of the land by the land owners as well as County and National Governments. 48 6.2.2 Women empowerment in relation to land rights In relation to the security of tenure, enhanced women empowerment in relation to land rights is a key impact of tenure security. The project lays emphasis on joint titling for spouses as well as allows for changes to the Title beneficiary list before final printing of the titles. This is a means to safeguard women rights to owning land that has ensured more women beneficiaries (at 30) as compared to men (24).14 6.2.3 Improved Housing Housing in Ihwagi settlements are of poor quality made up of rusted roofing, timber walling and flooring. These conditions may be attributed to insecurity of tenure in the settlement. With the tenure of the land secured, it is expected that the beneficiaries in Ihwagi informal settlement will invest in better housing for their families. 6.2.4 Improved Infrastructure Infrastructure is vital to improvement of informal settlements where construction of roads will open up the settlement to other social economic benefits such as investments, improved security, accessibility to public services among them education, water, health, recreation, social and urban integration, among others. Thus, the beneficiaries’ welfare is improved. Currently, accessibility in the informal settlement is a major challenge as roads are narrow and poorly developed. Roads proposed in the draft 2010 plan are non-existent on the ground as the plan was never implemented, others encroached into. Some of these roads wayleaves were adopted in the new approved LPDP prepared under KISIP impacting on PAPs who have been provided for mitigation within this ARAP. The approved LPDP proposed 9m and 6m roads within the settlement to promote accessibility and circulation. See figure 2.3. In addition, 89 percent affected PAP’s access domestic water supply from the river/stream, thus predisposing PAPs to environmental and public health risks. There is need to improve access to safe drinking water in the informal settlement, which is possible as the approved LPDP provides sufficient wayleaves to lay various utilities. For instance, new road wayleaves have provided space for laying of water pipes by Nyeri Water & Sewerage Company Limited (NYEWASCO). 6.3 Negative impacts of the project 35 structure owner PAPs and 2 Institutions were negatively affected by the project; this section details the impacts experienced. 14 Additional gender and land rights sensitization will be carried out as detailed in Chapter 2 of this ARAP. This might lead to more female beneficiaries. 49 Table 6-1 PAPs breakdown Type of PAP Number Category Number Structure owner PAPs 35 Vulnerable PAPs 28 Institution owned structure PAPs (Churches) 2 Total 37 Table 6-2 below shows how different genders were affected by the project. Table 6-2 Project impacts according to gender Category Number Distribution Men 9 25% Women 26 75% Total 35 100% 6.3.1 Reduced Plot sizes Ihwagi informal settlement sits on public land; therefore, the beneficiaries did not experience loss of private land. The beneficiaries in Ihwagi informal settlement experienced minimum reduction of initial plot sizes due to new road wayleaves. In addition, project benefits of security of tenure and improved road network outweigh the minimal reduction in parcels. However, to minimise significant loss of plot sizes during the regularisation exercise, the following measures were adopted: a. The lowest possible road hierarchy was adopted. In Ihwagi road hierarchy of Road hierarchy of 9m and 6m roads was adopted instead of 12m, 15m and 18m roads. This ensured that the reduction of plot sizes in the affected plots is minimized. b. During the demarcation of the roads, beneficiaries on either side of the road contributed an equal amount of land for the roads, apart from the 2 locally displaced PAPs. This ensured affected beneficiaries shared the loss of the plot sizes. c. In lieu of minimal loss of plot sizes to provide for accessibility, tenure regularization will be realized and each beneficiary will be issued with a title deed. The Community was sensitized, agreed and endorsed the minimum loss of plots sizes during the validation and approval of the LPDP to provide for access to every plot as this will enable the success of the tenure regularization. 50 6.3.2 Localised Displacement of 2 PAPs Planning and surveying of Ihwagi informal settlement resulted in localised displacement of 2 PAPs. Due to proposed road wayleaves alignment, their plots were truncated and the remaining portion was too small to put up a dwelling unit. This necessitated their local displacement to unoccupied land within the settlement. 2 residential houses and 2 pit latrines were affected during the relocation. Following discussions, the community (through the SEC) proposed and agreed that these PAPs be allocated the unoccupied land existing within the settlement which was sufficient to resettle the displaced PAPs. The plan also shows they received bigger parcels than what they had previously. The 2 PAPs were shown the parcels by the SEC and voluntarily agreed to move rather than occupy small parcels that would not allow them enough space for rebuilding the structures. 6.3.3 Loss of Structures Given that 75 structures were affected by the planning and surveying project in Ihwagi informal settlement, including houses, kitchens and pit latrines, this is the main type of loss identified. The structures are of temporal nature (wooden walls and earthen floors) and are mainly used as dwelling units by the owners. The impact on the structures will be two-fold: i. Total loss: where the whole structure will need to be removed or where the residual will not be viable and functional. This applied to 34 structures comprising 2 houses, 18 pit latrines, 6 kitchens, 7 animal sheds and 1 store. ii. Partial loss: where part of the structure will be affected, and the residual will still be viable and functional with reconstruction/repairs. This loss applied to 41 structures. These include 39 houses, 1 church hall and 1 shop. 52 structures will be affected by the new road wayleaves while 23 structures will be affected due to boundary re-alignment. In the case of the residential houses, the PAPs have adequate space to rebuild their structures. Further, since the houses were partially affected (only 2 houses were fully affected resulting to complete losses i.e. the localised displacement cases), the PAPs will still use these structures during reconstruction and will not require alternative accommodation during this period. The following structures (table 6-3) were affected in Ihwagi informal settlement: Table 6-3 Affected structures, Ihwagi informal settlement Type of structure ROAD BOUNDARY Number Distribution House 29 12 41 55% Kitchen 5 1 6 8% Pit latrine 10 8 18 25% Animal shed 5 2 7 9% Church hall 1 0 1 1% Shop 1 0 1 1% 51 Store 1 0 1 1% Total 52 23 75 100% The data shows that 55% of the affected structures in Ihwagi informal settlement were dwelling units. 1 income generating structure (retail shop) was affected during the planning and surveying of this settlement. Table 6-4 shows the construction materials for the affected houses. Table 6-4 Construction materials of houses Construction material Number Distribution of the structure GCI roof timber off cut wall earth floor 39 95% GCI roof GCI wall earth floor 1 2.5% GCI roof timber wall cement floor 1 2.5% Total 41 100% Most of the houses that were affected in Ihwagi informal settlement were made of galvanised iron sheet roofs, timber off cut walls and earth floor. Others were constructed of galvanised iron sheet roofs, galvanised iron sheet walls, and earth floor or galvanised iron sheet roof, timber walls and cement floor. Plate 6-1 shows the typical housing structures in the settlement. Plate 6-1 Typical housing structures in Ihwagi Informal settlement Pit latrines in Ihwagi informal settlement are mainly constructed using galvanised iron sheet roofs, galvanised iron sheet walls and timber off cut floors. Others were constructed of galvanised iron sheet roofs, galvanised iron sheet wall on stone foundation and concrete floors; and others of galvanised iron sheet roofs, timber off cut walls and timber off cut floors. 52 Plate 6-2 One of the pit latrines in the settlement that has been affected by plot boundary realignment 6.3.4 Loss of livelihoods Most of the affected households derive their livelihood from farming which includes growing of perennial crops. The impact of the project to these households will be loss of crops that they consume and selling i.e. banana stems. 19 PAPs experienced loss of source of livelihood. The livelihood activities for these PAPs will need time to re-establish to their current position. Compensation entitlements for the affected PAPs will enable them to reestablish their farming to the level that is more or less per with their current status. One business shop will be affected by the new road wayleaves alignment in Ihwagi informal settlement. The shop is a business retail shop that stocks household items like sugar and soap. Figure 6-1 shows the impact of loss of livelihoods according to gender. Male 21% Female 79% Figure 6-1 Loss of livelihoods according to gender 53 6.3.5 Loss of trees Ihwagi informal settlement is endowed with trees. These trees include indigenous trees such as Meru oak and planted trees such as eucalyptus. 1 male PAP experienced loss of 4 mature eucalyptus trees. 6.3.6 Increased vulnerability among the elderly persons As part of the Socio-economic baseline survey, people considered to be vulnerable as defined earlier in Section 4.5 were enumerated to ensure provision for vulnerability support and additional assistance in the compensation process. Table 6-5 below shows PAPs vulnerability in Ihwagi informal settlement. One of the female household head was locally displaced and accommodated within the settlement. Table 6-5 PAPs vulnerability, Ihwagi informal settlement Type of vulnerability Men Women Elderly 2 0 Female household head 0 12 Elderly, widowed and 0 7 household head Widowed household head 0 4 Elderly household head 0 3 Total 2 26 6.3.7 Summary of Losses In summary, the following are the number of assets affected in Ihwagi informal settlement: Table 6-6 Classification of losses experienced in Ihwagi informal settlement Type of assets Assets owned by Assets owned by Number of assets individual PAPs churches affected House 41 0 41 Kitchen 6 0 6 Pit latrine 16 2 18 Animal shed 7 0 7 Church hall 0 1 1 Shop 1 0 1 Store 1 0 1 Total 72 3 75 Non-food trees 4 0 4 Banana stems 192 20 212 Table 6-7 below shows the types of losses in the settlement with the number of PAPs. 54 Table 6-7 Types of losses with number of PAPs Type of PAP Structure Loss Livelihood Vulnerability Structure owner PAPs 35 19 28 Tenants 0 0 0 Institutional PAPs 2 0 0 Note that some of the structure owner PAPs experience multiple impacts i.e. loss of structures, livelihoods and even likely increased vulnerability due to project impacts. The breakdown of the losses is as follows: Table 6-8 Types of losses with number of PAPs Type of assets Male Female Institutions Loss of structures only 5 10 1 Loss of structures and banana trees 2 10 1 Lost banana trees to the project 1 5 Loss of an income generating shop 1 Loss of structures, banana trees and non- 1 food trees. Total 9 26 2 55 Figure 6-2 Map showing affected structures and minimal reduction in plot sizes 56 CHAPTER SEVEN SOCIO ECONOMIC STATUS/BASELINE 7.1 Socio-Economic Survey The ARAP team conducted a household survey which included 100% census of the affected persons in May 2017. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons ii. Identify affected assets and livelihoods for each PAP iii. Register the affected population iv. Establish a list of legitimate beneficiaries before the project’s onset that counters spurious claims from those moving into the project area solely in anticipation of benefits v. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates vi. Provide a baseline for monitoring and evaluation of the resettlement interventions A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation, health and housing conditions. This information was used (i) to establish a list of PAPs; (ii) to establish a socio-economic profile of PAPs based on existing conditions; and, (iii) to provide a baseline for resettlement monitoring and evaluation. The standard questionnaire was also used collect inventory of losses information from PAPs about assets that are affected (i) structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; (ii) business losses, by types. The information was provided by the PAP as required and validated by the team on the ground. The questionnaire was accompanied with photographs of the PAP and key affected assets. The questionnaire was signed by the PAP or representative. During the census, requisite procedures were followed. This included notifying people; collecting data, validating the collected data, approval and disclosing information on eligible PAPs and affected assets. The ARAP team ensured PAPs or their representatives were present during asset enumeration. The PAPs were required to sign the asset inventory collecting tool to show a confirmation that it’s the true copy of the information collected. 7.2 Socio-economic characteristics of PAPs Planning and surveying of Ihwagi informal settlement resulted in 35 structure owner PAPs. There were no tenants in the settlement. The mean household size for the affected PAPs in Ihwagi informal settlement is 3 people. The highest household size was 10 and the lowest is 1. 7.2.1. Gender and marital status More women PAPs are affected, accounting for 75 percent of the PAPs. This is also largely because 57 there are more women beneficiaries in the settlement. Male 25% Female 75% Figure 7-1 PAPs gender On marital status of structure owners, it is worth reporting that a significant proportion of structure owners are married and widowed, each accounting for 35 percent each, while 26 and 2% are, respectively, single and separated. 7.2.2. Education level of PAPs Literacy levels in Nyeri County are relatively high with an overall Gross Enrolment Ratio (GER) of 85.9 percent, which is above Kenya’s GER of 73.4 percent (Republic of Kenya, 2014). However, the survey results reveals that 26 percent of PAPs in Ihwagi have no formal education, with 57 percent having only primary education. Secondary and tertiary education is represented by 15 and 2 percent. Percentage of B_12a_education, Primary, 56.5% Percent Percentage of Percentage of B_12a_education, Percentage of Percentage of Non Formal, 26.1% B_12a_education, B_12a_education, Secondary, 15.2% B_12a_education, College/University, Adult Education, 2.2% 0.0% College/University Level Secondary of Education Primary Adult Education Non Formal Figure 7-2 PAPs Level of Education 7.2.3. Other Household members’ characteristics The average age for household members is 22. 2% of the household members had attained a college/university education and 58% had secondary education (figure 7-3). 58 Series1, None, Series1, 3%, 3% College/Unive Series1, rsity, 2%, 2% Primary, 37%, 37% Series1, Secondary , 58%, 58% Figure 7-3 Household member’s education level The occupation profile for the household members showed that 26% were unemployed. 58% were gainfully employed as casual labourers mainly outside the village (figure 7-4). Figure 7-4 Household members’ occupation 7.2.4. Construction materials The housing typology in Ihwagi informal settlement is mainly temporary, characterized by iron sheet roofing (97.8%), wooden walling (95.6%) and earth flooring 91.1%. These temporary building materials may be linked to insecure tenure of the settlement, or in the case of wooden wall material, availability and cost of this type of building materials. 7.2.5. Water supply This survey shows that most (89 percent) affected PAP’s access domestic water supply from the river/stream, thus predisposing PAPs to environmental and public health risks. Other water sources are roof water harvesting and shallow wells. It is expected that with secure land tenure, it will be possible to improve access to water supply, i.e. piped water supply. In an area where agriculture is the dominant land use and pit latrines are the most important means of disposal of human excreta, the safety of river/stream water cannot be guaranteed. Farming involves application of chemicals, so it is possible to expect chemical residue to find its way into water bodies. Further, with increased densification of settlement, heavy reliance on pit latrines increases the risk of cross - contamination of water sources. Therefore, domestic water supply is a major socio – economic, public health and 59 environmental issue in the informal settlement. Access to clean water supply is an important indicator for improved standard of living. Therefore, necessary measures should be taken to address the issue. 7.2.6. Energy The survey results show that the main source of energy in Ihwagi settlement is firewood with about 80% of the population using it. Though electricity connectivity has expanded in the recent past due to the rural electrification programme and funding of electricity projects, most of the PAPs cannot afford to connect electricity to their homes or even pay for it. Results of this study show that 82 percent of PAPs in Ihwagi have no connection to electric power, hence the need to improve connection to the households and businesses. As per the evidence above, it would be necessary to consider other sources of energy, such as solar and biogas. 7.2.7. Sanitation and solid waste disposal The survey results show that there is no proper solid waste management system in the settlement. The affected PAPs reported different mechanisms of waste disposal including, dumpsite within the structures. About 96 percent of the affected structures have pit latrines, so there exist mechanism to dispose of human excreta. Pit latrines are important means of disposing human excreta in the rural areas. Although this settlement is typically rural, but it is located in proximity to Karatina town and Karatina University suggesting that pit latrines will give way for other sanitation mechanisms. Solid waste management will similarly attract great attention with increasing intensification of land use. 7.2.8. Vulnerable groups According to the RPF, this study identified the elderly, widowed and female household heads as vulnerable. Table 7-1 shows the various vulnerabilities in Ihwagi informal settlement. One of the female household head was locally displaced and accommodated within the settlement. Table 7-1 PAPs vulnerabilities, Ihwagi informal settlement Type of vulnerability Men Women Elderly 2 0 Female household head 0 12 Elderly, widowed and 0 7 household head Widowed household head 0 4 Elderly household head 0 3 Total 2 26 60 CHAPTER EIGHT MITIGATION OF IMPACTS 8.1 Introduction World Bank’s Safeguard Operational Policy O.P. 4.12 on ‘Involuntary Resettlement’ requires that displaced persons should be compensated at full replacement cost. Under this policy, displaced persons should be:  Compensated at full replacement cost prior to the actual move;  Supported during the transition period, and/or income restoration measures and support to vulnerable groups offered. 8.2 Eligibility Criteria The entitlement matrix defines the type of compensation and assistance to be provided to the different categories of project affected households. The following principles will guide payment of compensation for lost assets  Compensation shall be paid prior to displacement;  Compensation shall be extended to all PAPs irrespective of tenure status;  Compensation will be at replacement cost meaning that replacement of assets with an amount sufficient to cover full cost of lost assets and related transaction costs.  Compensation for structures shall include the full cost of materials and labour required for reconstructing a building of similar surface and standing. In other words, the affected person must be able to have their structure rebuilt in a different location using the compensation paid for the old building. Depreciation will not be taken into account while calculating the cost of affected structures. The Compensation package will also include cost of moving, such as transport costs.  PAPs will be offered livelihood restoration support, where the income sources are impacted. The affected persons, irrespective of their status, are eligible for some form of assistance if they occupied the land or engaged in any livelihood income-generating activity at the affected sites before the entitlement ‘cut-off date’ which has been taken as 22nd May 2017. All persons affected by the project and meeting the cut-off date requirements will be entitled to a combination of facilitation packages and resettlement assistance depending on the nature of ownership rights on lost assets and scope of the impacts. As part of the Socio-economic baseline survey, vulnerable PAPs were inventoried to ensure provision of soft landings in the compensation process. In this case, Ihwagi informal settlement recorded 2 male and 26 female vulnerable PAPs. This group of vulnerable persons were identified for extra cushioning in the compensation process including additional cash transfers. KISIP - through the County government of Nyeri Ministry of Gender, Social Services and Sports - will forward the names of the elderly PAPs for consideration into other national safety net programmes. 61 Such programmes will include the unconditional cash transfer programmes including the Inua Jamii 70 years and above cash transfer programme and the Older Persons Cash transfers (OPCT). In addition, vulnerable PAPs will be accorded specific assistance or services in the ARAP implementation process e.g. assistance with reconstruction of structures (where such assistance is needed, and on a case by case. This will require the SEC in consultation with the PAP, to identify artisans to be involved in the reconstruction, and in collaboration with the RIC will provide oversight, supervision and quality control of the structures been constructed. 8.3 Notification After the issuance of title deeds (which will be issued concurrently with compensation), the PAPs will be served with adequate notice of minimum 30 days to self-demolish salvage and rebuild affected structures within their new boundaries. All the stakeholders in the project will also be notified of the self-demolition notice through a community meeting. The County Government will be allowed to demolish any structures on the roads after expiry of the notice period. 8.4 Compensation Payment Protocols The RAP Implementation committee will verify the correctness of each PAP as stated in the register. KISIP RIC will carry out a sensitization (meeting to be held in the settlement) on opening of joint accounts and appropriate use of compensation funds for PAPs. Part of this sensitization will include discussions on the importance and need for disclosure of full facilitation payment to both spouses and the need for both to sign for the payments so as to ensure funds are utilized well. Explicitly and in partnership with the area chief who is the local law enforcement Government official especially on domestic matters, the RIC and Area Chief will undertake sensitization on Gender based violence in relation to the facilitation funds as well as Title Ownership and management. The Community will be advised against any form of gender related violence related to the implementation of the project and the GRM at settlement level will be key in intercepting and resolving any form of GBV. In addition, the cutting down of the affected trees will not happen during implementation of this RAPs as the PAPs (who would Have been compensated for the Loss of trees) will be advised and sensitised by KISIP and the Area Chief on the need to retain the trees after compensation. The trees will remain as community assets. KISIP will then allow PAPs to open individual and joint accounts with financial institutions of their choice. KISIP will confirm and verify the PAP and Asset registers and acquire more details on the PAPs, which will include their telephone numbers and their bank account numbers. This ARAP also proposes that where possible, KISIP considers alternative mechanisms for remitting facilitation to the PAPs. Mobile money transfer may be adopted for small amounts Ksh. 62 20,000.00. In both cases (i.e. mobile money or other financial institutions), all transactional costs will be borne by the project. The PAP register and the PAP details will then be submitted to KISIP accounts office for processing of funds. The funds will be deposited directly to Bank accounts (or via Mpesa/mobile money accounts) provided by the PAPs. KISIP will follow up using phone calls to confirm to the PAPs (including those in joint ownership) that funds have been disbursed. Table 8-1 shows the entitlement matrix that was used to determine the compensation for the PAPs. Table 8-1 Entitlement Matrix NO TYPE OF PAP ENTITLEMENTS LOSS CATEGORY A. Loss of structures 1 Partial loss but Squatter  Cash compensation at replacement cost without depreciation residual viable  Repair costs equivalent to 25% of the compensation  Right to salvage material 2 Fully Squatter  Alternative accommodation where possible, or affected/part  Cash compensation at replacement cost without depreciation affected and  One-time shifting allowance of Ksh. 2500 where main dwelling unit remaining is affected. structure is  Right to salvage materials. non-viable  Additional cash support of Ksh. 2500/month for the first three months as rental expenses for PAPs who are locally displaced. B. Support to vulnerable groups (Elderly)  Additional cash support of Ksh 2000/month for the first three months  On a case-by-case basis, assistance in reconstruction of structures.  KISIP will through the County government of Nyeri Ministry of Gender, Social Services and Sports forward the names of the elderly PAPs for consideration/enlisting into national social protection programmes which include the unconditional cash transfer programme known as the "Inua Jamii 70 years and above cash transfer programme.’ C. Loss of trees and crops Loss of non-  Cash compensation equivalent to the market value of the tree food trees (considering the timber). Loss of Banana  Value of the standing crop at harvest, for the three previous years, Plants adjusted to take care of time to maturity and inflation.  Right to harvest fruits prior to facilitation/compensation of the affected plants during implementation of the ARAP.  Right to salvage (some banana plants can be relocated) 63 D. Loss of Livelihoods Shop Owner  Cash grant equivalent to 1-month average income. NB: 1-month average income is income lost due to shifting of business to a new location, and reestablishing. Employee15  Lump sum maintenance allowance equivalent to 1 month of minimum wages as per local guidelines. 15 The owner of the shop is the sole employee considered in this ARAP as he indicated the shop is his full time job. 64 CHAPTER NINE GRIEVANCE REDRESS MECHANISM 9.1 Overview Regardless of its scale, involuntary resettlement inevitably gives rise to grievances among the affected population over issues ranging from rates of compensation to eligibility criteria. It is important to address these grievances in a timely manner to facilitate the resettlement process and the implementation of the project. Grievance procedures may be invoked at any time, depending on the complaint and on the people involved. The Nature of grievance to be solved by this GRM include. a) Grievance related to issuance of Title Deeds to beneficiaries b) Misidentification of assets or mistakes in valuing them; c) Dispute over the ownership of a given asset (two individuals claim to be the owners of this asset); d) Disagreement over the valuation of the asset; e) Successions, divorces, and other family issues, resulting in disputes between heirs and other family members, over ownership or ownership shares for a given asset Therefore, this ARAP has identified procedures to allow affected people to lodge a complaint or a claim without cost and with the assurance of a timely and satisfactory resolution of that complaint or claim in which case, dialogue is a vital element. The grievance redress mechanism is designed with the objective of solving disputes at the earliest possible time which will be in the interest of all parties concerned and therefore implicitly discourages referring such matters to the Courts which would otherwise take a considerably longer time. The grievance procedure will be simple, administered as far as possible at the local levels to facilitate access, flexible and open to various proofs. In addition, and in following the principles of simplicity and avoidance of parallel GRMs, the project has a singular grievance redress mechanism for tenure regularization as well as ARAP related grievances such as compensations. The grievance mechanism presented in the following sections of this ARAP will therefore include those related to issuance of titles, thus the representation by a surveyor and land administrator in the RAP Implementation Committee level. Grievance redress is anticipated at 3 levels namely: - (i) The first tier will allow for amicable review and settlement of the grievance at the settlement level (ii) The second tier will involve the RIC in case the grievance cannot be solved at the first level (iii)The third tier will be the option of allowing the aggrieved party to seek redress at the court of law. Levels (i), and (ii) are costs free. The legal redress option however, may incur some costs for the parties involved. 65 Expectations for each level are highlighted in below. 9.2 Grievance Redress Institutions/Structure 9.2.1 Settlement Grievance Redress Committee (SGRC) It is desirable to resolve all the grievances at the community level to the greatest extent possible. The community or settlement level grievance mechanism must be credible and generally acceptable. The grievance redress mechanism will aim to solve grievances at the earliest possible time in the interest of all parties concerned. The Settlement Grievance Redress Committee (SGRC) was established within the Project location on 18th December 2018, after sensitisation on the procedures of the GRM. Although the RPF indicates this should comprise of 2 SEC Members and other 2 respected community members elected by the Community (1 male and 1 female), the community preferred to have 4 members of the SEC designated as the GRC to avoid 2 parallel institutions given the 2 additional members are not members of the SEC. In the spirit of flexibility and need to contextualise such committees to existing context and given the SEC had been handling all grievances so far in the planning process, 4 members of the SEC were designated as the SGRC. The 4 are enjoined by the Location Chief who chairs the committee. 9.2.2 RAP Implementation Committee In case the grievance is not resolved at first tier, the SGRC handling resettlement-related grievances will be enjoined by the proposed RAP Implementation Committee (RIC) of KISIP and one representative of County Administration (e.g. Assistant County Commissioner). The RIC is a proposed committee in KISIP according to the RPF. In addition, while the document proposes an elaborate composition for RIC, for the relevance of this ARAP related to planning and survey, the following are the recommended members the committee is comprised of: From KISIP National PCT: a) Head of Component 1 b) Environmental and social safeguard specialist c) Community Development specialist d) 3 members from Component 2 – Surveyor, land administrator and valuer e) KISIP Finance Officer From the County a) County KISIP Coordinator who will be the chairman b) Community Development Officer c) County Surveyor d) County Physical Planner e) County Environmental Officer f) Representative from enforcement department 66 g) Town Administrator The members of parliament and members of the County Assembly (MCAs) may be co-opted as ex- officio members. Nyeri County - Office of the County KISIP Coordinator will provide the secretariat for the committee. 9.2.3 Legal Redress In situations where PAPs are not satisfied with the decision of Grievance Redress committee and KISIP representatives; and on complaints and grievances that specifically pertain to the valuation of affected assets, the PAPs may seek legal redress. 9.3 Procedure of Receiving and resolution of Complaints 9.3.1 Step 1: Receipt of complaint/grievance A verbal or written complaint from a PAP or community member will be received by the Grievance Officer (GO) on behalf of the SGRC (refer to Box 9-1 for the roles of the GO). This will take the form of annex 5. Box 9.1: Role of a Grievance Officer The Grievance Officer (GO), is the secretary of the GRC. Principal responsibilities of the GO include: a) Recording the grievances, both written and oral, of the affected people, categorising and prioritising them for handling within the specified time period. He will sort the grievances as those:  That need clarifications etc.  To be handled by SGRC  To be forwarded to RIC/KISIP Headquarters directly e.g. complains on compensation amounts and problems related to issued titles. In the case of titles, the GO will be sensitized on the supporting documents to collect from the complainant e.g. a copy of the title, national ID, nature of issue. Upon recording, the GO will inform the SGRC on the received grievance. b) Discussing grievances on a regular basis with the SGRC and coming up with decisions/actions regarding issues that can be resolved at that level. c) Reporting to the aggrieved parties about developments regarding their grievances and the decisions of the SGRC and RIC. d) Providing inputs into the monitoring and evaluation process. The grievance team will hold meetings at site level based on grievances received by the GO. The GO will record the grievance and progress into the grievance register (annex 6). The grievance register will indicate grievances, date opened/lodged, actions taken to address or reasons why the grievance was not acted upon (e.g. the grievance was not related to the resettlement process), information provided to complainant and date on which the grievance was closed. 67 Grievances can be lodged at any time directly to the GO based at the settlement level. The process of lodging complaint is outlined below: (i) The GO will receive a complaint from the complainant. (ii) The GO will ask the claimant questions in their local language, write the answers in English and enter them in English onto the grievance form. (iii)The local leader (representative of an independent local civil society organisation) and the complainant both sign the grievance form after they have both confirmed the accuracy of the grievance. (iv) The GO lodges the complaint in the grievance register. 9.3.2 Step 2: Determination of Corrective Action If in their judgment, the grievance can be solved at this stage and the GO and SGRC will determine a corrective action in consultation with the aggrieved person. A description of the action, the time frame within which the action is to take place, and the party charged with implementing the action will be recorded in the grievance register. Grievances will be resolved and the status reported back to complainants within 14 days. If more time is required, this will be clearly communicated in writing and in advance to the aggrieved person. In cases that are resolvable within the stipulated time, site investigations will be undertaken and results discussed with the affected persons. In some instances, it may be appropriate to appoint independent third parties to undertake the investigations. 9.3.3 Step 3: Meeting with the complainant The proposed corrective action and the time frame in which it is to be implemented will be discussed with the complainant within 14 days of receipt of the grievance. Acceptance of the agreement and corrective action will be documented, with the complainant appending the signature. If no agreement is reached Step 2 will be revisited. 9.3.4 Step 4: Implementation of Corrective Action Agreed corrective actions will be undertaken by the party agreed by SGRC within the agreed time frame. The date of the completed action will be recorded in the grievance register. 9.3.5 Step 5: Verification of corrective action To verify satisfaction, the aggrieved person will be approached by the GO and SGRC to verify that the corrective action has been implemented. A signature of the complainant will be obtained and recorded in the grievance register (see Step 3). If the complainant is not satisfied with the outcome of the corrective action, additional steps may be undertaken to reach agreement between the parties. If additional corrective action is not possible, the matter is escalated to the RIC. 68 9.3.6 Step 6: Action by RIC If the complainant remains dissatisfied and a satisfactory resolution cannot be reached, the complaint will be handled by the RIC, whose membership has already been discussed under earlier sections of this report. This committee however must have a quorum of at least five persons. Decisions will be reached by simple majority. The Grievance Committee should be constituted for as long as grievances are being lodged, and a register (annex 6) kept to track progress on the resolution of grievances Once the RIC has determined its approach to the lodged grievance, this will be communicated to the GO, who will communicate this to the complainant. If satisfied, the complainant signs to acknowledge that the issue has been resolved satisfactorily. The RIC has 14 days to resolve the grievance. If the complainant is not satisfied, however, the complainant notes the outstanding issues, which may be re-lodged with the Grievance Committee or the complainant may proceed with judicial proceedings. 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission In case this mechanism will not lead to resolution of the grievance, the complaint is free to se ek redress at the courts of law at any given time. 9.4 Terms of Reference for the Grievance Redress Mechanism Committee The Terms of Reference for the Grievance Redress Mechanism Committees will be as follows:  Address all forms of grievances relating to the implementation of this ARAP expeditiously and impartially.  To consult with all the relevant parties involved in the disputes in the process of seeking solutions, and further to seek technical advice where necessary to reach a verdict  Document the grievance handling process from the time a complaint is received to the final determination. To this end, the committee shall maintain a grievance register, minutes of all meetings held to address grievances, and correspondences  To notify the concerned parties promptly once a verdict has been reached, and the next steps. The grievance redress form (annex 5) includes components like name of the recorder; definition of the grievance, information about the complainant and the details of grievance. 9.5 Effectiveness of the Grievance Redress Mechanism The following measures are proposed to ensure the effectiveness of the Grievance Redress Mechanism: 69  The SGRC and the RIC will be trained on their roles and the process flow before the start of ARAP implementation.16 Training of the SGRC and RIC is to be undertaken by the KISIP social safeguards team, and where necessary with support from the World Bank.  Necessary technical and financial support will be extended to the SGRC to enable them function effectively,17  The SGRC and the RIC will make monthly reports on the progress in addressing grievances e.g. grievances received and handled,  The committees will maintain records such as: grievance registers, minutes of meetings, and correspondences, for reference and inspection.  The community will be sensitised by the RIC/ KISIP social safeguards team about the proposed GRM through community level meetings.18 Culturally appropriate information and explanation about the GRM will be included in planned community sensitization meetings. 9.6 Capacity-Building for the Grievance Officer and Grievance Committees It will be important for the GO to be appointed based on his/her experience and training in conflict resolution through mediation and reconciliation. It will also be important for the GO to have sufficient skills in mediating disputes involving parcels of land, ownership shares, and data management, including data entry, data analysis and storage. This notwithstanding, it will be important that steps are taken to orient and build the capacity of the GO as part of the project implementation team in conflict resolution procedures, such as mediation and reconciliation, and other management areas such as record-keeping, report-writing and ICT equipment management. The Grievance Committee members will also need to be oriented to the grievance management system suggested in the ARAP as adopted from the RPF. The capacities of the Grievance Committee members will also need to be built around issues of conflict identification, conflict information analysis and conflict resolution as provided for in the land legislation. Figure 9-1 gives a presentation of the grievance redress mechanism. 16 Part of this sensitisation and strengthening was carried out in December 2018. Refer to the implementation schedule/table 10.3 for timelines for more sensitization. 17 Refer to the implementation schedule/table 10.3 for timelines. 18 Part of this sensitisation was carried out in December 2018. Refer to the implementation schedule/table 10.3 for timelines for more sensitization. 70 Level 1 Levelwith Registration of the grievance 2 GO and resolution by SGRC (14 days) Registration of the grievancewith GO and resolution by SGRC (14 days) Level 3 2 Forward findings Forward findings Complainant and and YES YES satisfied with NO recommendation recommendatio outcome s to ns to RIC Mediation Committee Grievance Final closure Final closure YE YES Complainan processing S t satisfied by with RIC Mediation outcome committee (14days) (14days) NO NO Level 3 Complainant seeks legal redress Figure 9-1 Grievance address procedure 71 CHAPTER TEN INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS 10.1 Introduction KISIP is the primary implementing actor for this ARAP. This ARAP will be implemented within a period of not more than 60 days upon approval from the World Bank. During implementation, KISIP will ensure all PAPs are adequately facilitated according to the provisions of this RAP concurrent with issuance of Title Deeds to all beneficiaries (including the PAPs). The implementation tasks will be carried out by KISIP RAP Implementation Committee (RIC) for Nyeri County whose composition is outlined in this ARAP. Government Institutions and their responsibilities in implementation of this ARAP are outlined in the table 10-1 below: Table 10-1 National and County Government (ARAP) Implementing Institutions No. Institution Role Capacity 1. Ministry of  It houses the KISIP project and provides for policy The Ministry has the Transport, direction. capacity for implementation Infrastructure, of this ARAP Housing and The Ministry has the Urban capacity for infrastructure Development improvement in the planned settlements 2. Ministry of  It handles land tenure matters and issues titles The Ministry has experts in Lands and the necessary key areas: land Physical management, land Planning administration and physical planning 3. Ministry of  Financial management on behalf of the Borrower Capacity exists and funds Finance (GoK) will be made available.  Provision of counterpart funding – part of which is used to settle compensation claims by PAPs 4. National Land  Custodian of all public land on behalf of the county The commission has the Commission governments. capacity to this mandate  It is responsible for allocation public land 5. Nyeri County  Clearance of structures if people don’t self-demolish The County has experts in Government after notice period and compensation both social and  Part of grievance redress mechanism environmental safeguards.  Recommendation of vulnerable PAPs for additional assistance to relevant actors.  Delivery of other assistance to PAPs will be the responsibility of county governments under the coordination of respective RICs e.g. allocation of trading space as this is a devolved function.  Responsibility for appropriate and suitable measures to prevent further encroachments after the cut-off date.  Clearance of structures if people don’t self-demolish after notice period and compensation  Part of grievance redress mechanism 72 In addition to the above governmental institutions, several structures have been established to ensure effective implementation of this ARAP: 10.2 ARAP Implementing Institutions under KISIP 10.2.1 KISIP Project Coordination Team The overall coordination of the whole process, from development to implementation and monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit has the following roles: i. Overall supervision and coordination of the entire process from conception to implementation ii. Ensure compliance is adhered to in as far as all legal, policy and quality control is concerned including compliance with agreed implementation procedures and guidelines iii. Ensure fair play and adherence to law and timely facilitation/compensation to PAPs. iv. Bid and procure the required consultants for different assignment in the implementation of the ARAP. v. Provide necessary support and capacity building to other engaged institutions in local level. vi. Prepare Progress Reports on the implementation of the environmental and social safeguards. vii. Supervise ESMF/RPF implementation during and after project implementation. viii. Ensure integration of EMPs and ARAPs into Contract and Bid Documents. ix. Ensure adequate community participation. The KISIP PCT has a safeguards team that is responsible for ensuring that project meets its obligations under the ESMF and RPF. 10.2.2 KISIP RAP Implementation Committee (RIC) A RAP Implementation Committee, appointed by the Project Coordinator is proposed and will have the overall responsibility of monitoring and evaluation of the resettlement process. While the RPF proposes an elaborate composition for RIC, for the relevance of this ARAP related to planning and survey, and for efficiency and effectiveness purposes, the following are the recommended members: From KISIP National PCT: a. Head of Component 1 b. Environmental and social safeguard specialist c. Community Development specialist d. 3 members from Component 2 – Surveyor, land administrator and valuer e. KISIP Finance Officer From the County a. County KISIP Coordinator who will be the chairman b. Community Development Officer c. County Surveyor 73 d. A representative from enforcement department e. Town Administrator The members of parliament and members of the County Assembly (MCAs) may be co-opted as ex- officio members. Nyeri County - Office of the County KISIP Coordinator will provide the secretariat for the committee. The committee works with the Project Affected Persons for each settlement. The committees’ roles are as presented below. (i) The RAP implementation committee shall ensure the list of all PAPs has been verified and documented in the PAP register. The register shall have, among other parameters, (1) the name of the person, (2) type of loss (structure / Livelihood) (3) identification number of the PAP, (3) Compensation Amount (3) Bank Details or Mpesa details of the PAP. (ii) The RAP implementation committee will verify the identity of each PAP as stated in the register and ascertain that every identity card holder is correctly documented in the register. (iii)RAP implementation committee will support KISIP in carrying out sensitization about opening of joint accounts and appropriate use of compensation funds for households. RIC will support PAPs in opening individual and joint accounts with financial institutions of their choice. RIC will support KISIP in following up on PAPs to ensure they have received their compensation. In addition, in partnership with the area chief, the RIC will undertake sensitization on GBV as indicated under commitments under section 12.2. (iv) The RIC will undertake translation of the executive summary in a local language and engage the SEC in translation role during disclosure of the ARAP meeting at the settlement level (v) On completion of the PAP Audit list, the committee shall recommend payment and compensation. Payments will be made according to locations and adequate information will be made available to all affected persons prior to payment. Such information will include: dates and locations of payment, List of eligible people and amount Mode of payment, etc. 10.2.3 County KISIP Team For effective implementation of the Project, Counties have established County KISIP Teams whose composition is a replica of the national team. The county team was crucial in development of this study and they will also be important during implementation the ARAP prior to commencement of civil works. The role of the County KISIP Team includes: i. Validation of assets and PAPs before compensation ii. Formation of the grievance redress committee iii. Capacity building of ARAPs committee iv. Sensitization of PAPs on bank accounts and use of compensation funds v. Monitoring of ARAP activities 74 10.2.4 Community Settlement Executive Committee (SEC) This was instrumental in mobilizing the community and providing a link between KISIP, the Consultants, and the community. The Committee has been involved in all stages of ARAP development and is expected to continue playing an active role in monitoring its implementation. The settlement executive committee role is crucial in the ARAP process: • It provides an entry point into the informal settlement • It is the crucial link between the community and other institutions • Plays an important role in the formulation of the community resettlement committee and other engagement structures. • Will play a crucial role in assisting the vulnerable households organise for rebuilding of structures, and movement, where such assistance is required. 10.2.5 The Settlement Grievance Redress Committee This will be formed to address all grievances related to the development and implementation of this ARAP. 75 KISIP Project Coordination Team Overall coordination Overall responsibility of ARAP implementation Ensure budget for implementation is available RAP Implementation Committee Monitoring and Coordination of resettlement process Grievance redress Nyeri County KISIP County Government of Team Nyeri Validation of Assets Ensure sustainability of the Handling grievances project ARAP implementation The Settlement Grievance Redress Committee First tier of grievance redress Figure 10-1 ARAP Implementing Institutions 10.3 Sensitization and Information Sharing during ARAP implementation Given that various types of sensitization and information sharing will be undertaken by KISIP, Figure 10.2 below summarizes the sensitization and information to be shared. Overall, KISIP through the PCT will ensure coordination with the various stakeholders in ensuring the right type of information is given, and in a timely basis. 76 What Why Areas Whom How - Avert Disputes/conflicts and GBV - Benefits of Title Deed - Chief Registrar of Titles - All Community Titles Sensitization - Enhance/safeguard Women’s - Types of Registrations - KISIP beneficiaries meetings Land Rights - Joint Registration of Titles - NLC - Spouses with G - Regulation of land transactions - Land Control Board Joint E (mandatory spousal consent) Ownership - Relevant land related institutions N - Allow PAPs to self-demolish, - Entitlements - RIC PAPS Community D salvage and rebuild affected - PAP register - County Government of meetings Notification & E structures in time - Notice for self-demolish and implications Nyeri (CGN) Disclosure - Ensure PAPs use compensation of failure to do so within time - Area Chief R for right purpose - Ensure grievances are directed - Unilateral Grievance Redress Mechanism RIC PAPS Community Sensitization on towards the right institutions for for ARAP implementation meetings C timely resolution - Procedures and processes in GRM GRM O - Avert conflicts and GBV over - Full disclosure of facilitation payment to - RIC PAPS - Community N compensation both spouses - CGN meetings Compensation & C - Ensure PAPs use funds for right - Opening of Joint Accounts - Area Chief - Individuals/ Joint Accounts E purpose - Utilization of funds, GBV - SGRC Spouses meetings Sensitisation R N - Ensure trees are not cut and - Ecological impacts of cutting trees - RIC PAPS Community S reserved as community assets - Requirements and processes involved in - Department of Water, meetings Sensitization on cutting trees Environment, and Natural Resources Trees (CGN) Guiding Principles Proactive Engagement Clear and Open Information Sharing Learning & Modifying performance Overall Coordination by KISIP PCT Figure 10-2 ARAP Stakeholder Engagement Strategy 77 10.4 ARAP implementation Schedule The implementation schedule (table 10-3) for this ARAP covers the period from the preparation of the ARAP to the conclusion of the envisaged projects in Ihwagi informal settlement. It should be noted that the procedure in the schedule starting from notification of the PAPs before impact through compensation and resettlement will be done in phases to synchronize with the various phases of the project. The ARAP Implementation Schedule defines the duration and timing of the key milestones and tasks. The major component tasks for the schedule include:  Disclosure of ARAP – Meetings will be organized at settlement level and coordinated by the KISIP RAP Implementation Committee, during which a summary of the main findings and recommendations, entitlements, and PAP register will be presented to the community. This includes ensuring a translated version of the Executive summary is availed at the settlement. In addition, and in line with past practice (during planning and survey, RAP meeting), the RIC in collaboration with the SEC will ensure that disclosure meetings are held in a language understandable to all PAPs.19 Stakeholders in this process will include the county government, the National Land Commission who have been part of the planning process, among other relevant stakeholders. In addition, the ARAP will be made available on the Ministry of Transport, Infrastructure, Housing and Urban Development website and the World Bank’s Info shop. Copies of the report will also be made available to the SEC, Grievance Committees, and the County offices.  Audit of PAP register and compensation package due to each PAP. This can also include negotiation on the facilitation packages.  Resolution of emerging grievances  Notification and sensitisation of PAPs prior to the commencement of the activities that will affect them.  Commencement of project operations including issuing of titles  Monitoring and evaluation, including baseline update 19 Meetings have so far been held in Swahili, while translations are made to the local language i.e. Kikuyu given the settlement is homogenous in terms of language spoken. 78 Table 10-2 ARAP Implementation schedule Period in Months Sl. No. TASK NAME Actor Implementation to begin within 60 days of Approval of ARAP 1 2 3 4 5 6 7 8 9 1. Approval of ARAP World Bank Sensitization on Title Registration (including Gender KISIP, Chief Registrar 2. Empowerment and avoidance of GBV on land ownership) of Titles 3. Disclosure of Updated ARAP RIC Formation and capacity building of Grievance management KISIP, RIC, 4. committees Beneficiaries Validation of asset valuation/values, Sensitization of community RIC, Area Chief 5. on Conservation of trees and community assets 6. Sensitisation of Community on Grievance Redress Mechanism RIC, Area Chief, SGRC County KISIP, RIC, 7. Grievance Redress PAPs, GRC RIC, Area Chief, SGRC Sensitization of PAPs on bank accounts and use of compensation 8. funds including joint spousal management of cash, GBV on use of facilitation Funds as well as titles 9. Payment of compensation20 KISIP, RIC 10. Issuance of notice for self-demolition RIC, Nyeri County 11. Issuance of titles21 Ministry of Lands 12. Self-Demolition PAPs, SEC 20 Indicated as a continuous process to allow for resolution of grievances on compensation/amounts if any arises. 21 Indicated as a continuous process to allow for resolution of grievances on titling if any arises. 79 Period in Months Sl. No. TASK NAME Actor Implementation to begin within 60 days of Approval of ARAP 1 2 3 4 5 6 7 8 9 Demolition of any structures that have not been demolished at the Nyeri County 13. expiry of the notice period KISIP 14. Monitoring activities MoTIH&UD 80 CHAPTER ELEVEN MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP 11.1 Monitoring and Evaluation Monitoring and Evaluation (M&E) procedures establish the effectiveness of all resettlement activities, in addition to the measures designed to mitigate adverse social impacts. The procedures include internal track-keeping efforts as well as independent external monitoring. The purpose of resettlement monitoring for the Project is to verify that: (i) Actions and commitments described in the ARAP are implemented; (ii) Eligible project-affected persons receive their full compensation prior to the impact; (iii) All Grievances are resolved in time by the GRM. (iv)All beneficiaries (including PAPs) are issued with title deeds. Monitoring and evaluation activities will be funded through budget item No. 8 while the primary responsibility for monitoring and evaluation will be under KISIP through its National Environmental and Social Safeguards Team under the guidance of PCT. The team includes: (i) 3 social safeguards experts, (ii) A community development officer (who also doubles as the main person in charge of GRM), (iii)1 Environmental expert, (iv) A social safeguards expert who also doubles as the coordinator for the team, (v) An M&E officer, (vi) A valuer, and (vii) An overall component head. The team is often backed by desk officers from the planning component where 1 desk officer is attached to this settlement (and other planning and survey officers e.g. surveyor, land administrator, planner etc. as and when needed). At county level, activities are joined by relevant officers from Nyeri County including the community development officer. All members of the above team are responsible for implementing and monitoring of gender concerns as these are cross cutting issues e.g. the GRM officer reports on resolution of grievances disaggregated by gender, safeguards officers ensure that all community 81 meetings and mobilisation covers both genders. However, the M&E officer acts as the final focal person in compilation of all reports. 11.2 Monitoring and Evaluation Framework 11.2.1 ARAP Monitoring Plan The ARAP Monitoring Plan and Framework is presented in table 11-1 below. It involves: (i) Internal monitoring by MoTIH&UD (ii) Impact monitoring commissioned to specialized firms; and (iii) ARAP Completion Audit Table 11-1 ARAP Monitoring Plan Component Type of Source of Information/ Responsibility Frequency/ Activity Information/ Data collection for Data Audience of Data Collected Methods Collection, Reporting Analysis and Reporting Performance Measurement of Monthly or quarterly MoTIH&UD Semi- Monitoring input indicators narrative status and Project annual/annual as against proposed financial reports Implementation required by the time-table and budget Team Proponent (MoTIH&UD) Impact Tracking Quarterly or semi- Project Annual or more Monitoring effectiveness of annual quantitative and resettlement unit frequently as inputs against qualitative surveys or contracted required by the baseline indicators external Proponent Regular public meetings monitoring (MoTIH&D) Assessment of PAP and other consultation agency satisfaction with with people affected by inputs the project; review of grievance mechanism outputs Completion Measurement of External Contracted On completion Audit outcome indicators assessment/sign-off external auditing of the ARAP such as productivity report based on and evaluation time table gains, livelihood performance and impact agency restoration, and monitoring reports, developmental independent surveys and impact against consultation with baseline affected persons 82 11.2.2 ARAP Monitoring Framework ARAP Monitoring framework provides for the below listed provisions; (i) Internal ARAP Implementation Reports will be verified by a field check of the following: - Payment of compensation including its levels and timing - Adequacy of training and other developmental inputs - Rehabilitation of vulnerable Persons - Enterprise displacement, compensation and its adequacy - Transition allowances - Gender Concerns (ii) Random samples of affected people will be interviewed in open-ended discussions to assess their knowledge and concerns regarding the resettlement process, their entitlements and rehabilitation measures. (iii) Public Consultations with affected people at the community level will be observed. (iv)The resettlement operation at all levels will be observed to assess its effectiveness and compliance with the ARAP. (v) The type of grievance issues and the functioning of grievance redress mechanisms will be checked by reviewing the processing of appeals at all levels and interviewing aggrieved affected people. (vi)The standards of living of the affected people after implementation of resettlement will be surveyed to assess whether the standards of living of the affected people have improved or been maintained. (vii) Project management will be advised regarding necessary improvements in the implementation of the ARAP, if any. The Table 11-2 below shows a selection of Internal/External Monitoring Indicators that will be checked during Internal Performance Monitoring by MoTIH&UD or during the external evaluation. To avoid conflict of interest, the external evaluation will be undertaken by an external evaluation agency. 83 Table 11-2 Internal Monitoring Indicators Activity/Parameters Indicators Compensation and  Number of PAPs promptly paid disaggregated by gender Livelihood restoration  Number and amounts of payments made to PAPs  Number of PAPs with restored assets disaggregated by type of structure  Number of PAPS with restored livelihood enterprises  Number of restored structures disaggregated by type, building/construction material, asset use/purpose and standard  Average income level by source  Employment status of household head  Use of compensation cash  Number of people/groups with improved livelihoods  Development of settlement triggered by land tenure process  Changes in land values and plot ownership Access to services  Number of PAPs with access to water services disaggregated by type of water source  Number of PAPs with access to sanitation services disaggregated by type of water source  Number, type of educational establishments and proximity to PAPs  Number, type of religious establishments and proximity to PAPs  Number, type of health facilities establishments and proximity to PAPs Vulnerability  Status of “vulnerable” homesteads  Structures constructed to PAPs through Additional Assistance Community participation  Number of local consultative meetings held and public engagement  Type of issues raised at public consultation meetings  Number of participants attending public consultation meetings related to ARAP, disaggregated by gender Training and Capacity  Number of trainings held disaggregated by target group/institutions and Building issues  Number and type of participants disaggregated by gender  Themes discussed in various trainings  Perception of PAPs on usefulness and timing of these issues discussed Gender Concerns  Number of women with land ownership disaggregated by type (e.g. sole owners, joint owners)  Participation of women in trainings  Number of women involved/consulted by spouses on use of compensation cash Grievance management  Number of grievances received  Number of grievances resolved promptly (within the duration allowed in the grievance redress mechanism)  Number of grievances not resolved in time but completed  Number of outstanding grievances not resolved  Average timelines for resolution of grievances disaggregated by the various levels of grievance redress mechanism/institutions 84  Number of grievances referred to Level 3 (Courts of Law)  Number of complaints referred to World Bank Awareness and Access to  Type of information disclosed to PAPs during each meeting Information  Accessibility of the ARAP document at the local level  Accessibility of the ARAP document on the Ministry’s website and the Bank’s Info shop  Awareness on ARAP/Entitlement information  Number of people seeking information on compensation Process Management  Formation of proposed institutions or better alternatives  Census and asset verification/quantification procedures in place  Effectiveness of compensation delivery system by KISIP  Efficiency of compensation delivery system by KISIP  Co-ordination between KISIP national, KISIP County, County Government and the community The indicators presented above will be revised and appropriate Terms of Reference (ToR) established for the external monitoring consultant. Evaluation will be done against the existing baseline information identified in the ARAP and indicators identified in table above. Therefore, monitoring (and evaluation) will be undertaken regularly during implementation and post implementation for the purposes of compiling the Project Completion Report. The report will include an evaluation that ascertains whether resettlement compensation goals and objectives were realised. 11.3 Resettlement Completion Audit The purpose of the Completion Audit is to verify that the resettlement process has complied with resettlement commitments defined by the ARAP. Reference documents for the Completion Audit are the following: (i) This ARAP Report, (ii) Kenyan policies and legal statutes as defined in section 4 of this Report The Completion Audit will have the following specific objectives: (i) General assessment of the implementation of the ARAP against the objectives and methods set forth in the ARAP, (ii) Assessment of compliance of implementation with laws, regulations and safeguard policies; (iii) Assessment of the fairness, adequacy and promptness of the compensation and resettlement procedures as implemented; 85 (iv)Evaluation of the impact of the compensation and resettlement program on livelihood restoration, measured through incomes and standards of living, with an emphasis on the “no worse -off if not better-off” requirement; and (v) Identification of potential corrective actions necessary to mitigate the negative impacts of the program, if any, and to enhance its positive impacts. The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People. The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People. 86 CHAPTER TWELVE CONCLUSION AND WAY FORWARD 12.1 Conclusion The subject of this ARAP Report is for mitigating impacts from the planning and surveying of Ihwagi informal settlement that will result to tenure regularisation and issuance of Title Deeds. This ARAP has been prepared consistent with the applicable policy provisions of Kenyan Government and the provisions of the World Bank's Safeguard Policy on Involuntary Resettlement (OP 4.12). It presents an inventory (register) of PAPs, an Asset register of affected assets and the entitled compensation package. The preparation of this ARAP was community led and all affected persons have been adequately consulted and informed of the content of this ARAP there the implementation of this ARAP is expected to be embraced and owned and by the community. The objective of this ARAP was to identify, document quantify and mitigate all losses from impact on assets and livelihoods as a result of the implementation of the approved LPDP and provide adequate mitigation measures in conformity with the World Bank OP 4.12, the Government of Kenya policies and laws and KISIP RPF. This objective was met by the ARAP by ensuring all affected persons have been entitled to adequate compensation for their losses, Vulnerable PAPs receive additional assistance, Women land rights are safeguarded, implementation institutions are constituted and made aware of their roles, an implementation budget and schedule is provided and a monitoring and evaluation framework is in place. This will pave way for issuance of title deeds to beneficiaries ultimately achieving Component 2 Objective. 12.2 Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this ARAP including the budget for compensation and timelines as per the implementation schedule.  KISIP will ensure all Grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP.  KISIP through the NLC will within 3 months of approval of this ARAP begin issuance of title deeds to beneficiaries and PAPs, concurrently with compensation. 87  KISIP and Area Chief will undertake sensitization aimed at ensuring the community does not cut any trees rather conserve them as community assets.  KISIP and the area chief will undertake community sensitization to caution the community against any form of Gender based Violence related to issuance of title deeds and land management as well as the use of compensation funds by spouses. The Settlement GRC will be key to prevent and resolve any cases of GBV.  KISIP PCT in collaboration with the Registrar of Titles will organize and carry out sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence. This will also caution the community against any GBV related to titles.  KISIP will work with the County Government of Nyeri in ensuring the sustainability of the project. The County will be part of the RIC in implementing this ARAP, part of the grievance resolution mechanism, provide additional assistance where necessary to vulnerable PAPs in rebuilding their structures through the SEC, undertake development control, Clearance of structures on road wayleaves after the expiry of self-demolition period as well as protecting the road reserves from future encroachment by beneficiaries and/or any other actors.  KISIP will issue a minimum of one-month notice after compensation is issued to PAPs to enable them salvage their assets.  KISIP will undertake Monitoring and Evaluation of this ARAP during and after implementation as indicated in Section 11.0. 88 REFERENCES 1. KISIP Resettlement Policy Framework 2. Republic of Kenya (2010): The Constitution of Kenya, 2010 3. Republic of Kenya (2009) Sessional Paper No. 3 of 2009 on National Land Policy. 4. Republic of Kenya (2011): Environment and Land Court Act, 2011 5. Republic of Kenya (2012): The Land Act, 2012 6. Government of Kenya (2012). The Valuers Act, Chapter 532. 7. Republic of Kenya (2012): The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 8. World Bank. Operational Policy OP. 4.12 updated 2001 – Involuntary Resettlement 89 ANNEXES ANNEX 1: PAPs AND ASSET REGISTER SR Plot OWNER DEVELOPMENT PHOTO DEVELOPMENT EXTENT OF CONSTRUCTION VULNERABILITY NO. No. TYPE IMPACT 1. 46 Charity Main house Partial loss Roof: GCI Female household Nyaguthii Wall: Timber off cut head Kinyua Floor: Earth House Partial loss Roof: GCI Wall: Timber off cut Floor: Earth Kitchen Total loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial loss Roof: GCI Wall: Timber off cut Floor: Earth Kitchen Total Loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial loss Roof: GCI Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: Timber off cut Floor: Timber off cut 2. 43 Charity House Partial loss Roof: GCI Female headed Wamuyu Wall: Timber off cut household Munene Floor: Earth House Partial loss Roof: GCI Wall: Timber off cut Floor: Earth 90 Chicken house Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Goat pen Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: Timber off cut Floor: Timber off cut 3. 13 Charles Pit latrine Total Loss Roof: GCI None Kinyua Wall: Timber off cut Nguru Floor: Timber off cut Crops Total Loss Bananas 4. Church of Church Partial Loss Roof: GCI None Christ Wall: Timber off cut Floor: Earth Crops Total Loss Bananas 5. 19 Ephantus House Partial Loss Roof: GCI Elderly Kinyua Wall: Timber off cut Ndoria Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth Crops Total Loss Bananas 6. 10 Francis House Partial Loss Roof: GCI None Muhoro Wall: Timber off cut Ndamburi Floor: Earth Wanjiru House Partial Loss Roof: GCI 91 Ndamburi Wall: Timber off cut Simon Floor: Earth Mathenge House Partial Loss Roof: GCI Ndamburi Wall: Timber off cut Floor: Earth 7. Full gospel Pit latrine block Total Loss Roof: GCI None church Wall: GCI on stone foundation Concrete slab Pit latrine block Total Loss Roof: GCI Wall: GCI on stone foundation Concrete slab 8. 27 Grace House Total Loss Roof: GCI Elderly, widow Gicheru Wall: Timber off cut female headed Floor: Earth household House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth 9. 37A Jane Crops Total Loss Bananas Elderly, widow Njiriku female headed Gachira household 10. 2 Jane Pit latrine Total Loss Roof: GCI Female headed Wanjiku Wall: Timber off cut household Mwangi Floor: Earth Crops Total Loss Bananas 11. 1 Pit latrine Total Loss Roof: GCI 92 Jane Wall: Timber off cut Female headed Wanjiru Floor: Earth household Muriithi Crops Total Loss Bananas 12. 26 Janerose Pit latrine Total Loss Roof: GCI Female headed Njeri Wall: Timber off cut household Kihara Floor: Earth 13. 6 Jecinta Crops Total Loss Bananas Female headed Wanjiku House Partial Loss Roof: GCI household Karanja Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: GCI Floor: Timber off cut 14. 42 Ladia Pit latrine Total Loss Roof: GCI Female headed Njeri Wall: GCI household Kinyua Floor: Timber off cut 15. 16 Lucy House Partial Loss Roof: GCI Widow female Gathigia Wall: Timber off cut headed household Machina Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth 16. 37B Lydiah House Partial Loss Roof: GCI Elderly, widow, Gathoni Wall: Timber off cut female headed Gacira Floor: Earth household House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: GCI Floor: Earth 93 Crops Total Loss Banana stems House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth 17. 34 Mary House Partial Loss Roof: GCI Female headed Njamio Wall: Timber off cut household Gichanga Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: GCI Floor: Earth 18. 31 Mary House Partial Loss Roof: GCI Female headed Nyambura Wall: GCI household Nyaga Floor: Earth Kitchen Total Loss Roof: GCI Wall: GCI Floor: Earth Cowshed Total Loss Roof: GCI Wall: Timber off cut with gaps Floor: Cement screed Chicken pen Partial Loss Roof: GCI Wall: GCI Floor: Earth 94 19. 17B Mary Shop Partial Loss Walls: Natural stone Widow female Wambui Floor: Concrete slab headed Muriithi Roof :GCI Metal sheet door 20. 29 Michael Crops Total Loss Bananas None Munyua Wachira Total Loss 21. 30 Peter Pit latrine Total Loss Roof: GCI None Miano Wall : GCI Macharia Floor: Timber off cut Trees Total Loss Mature Eucalyptus House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth Crops Total Loss Banana stems 95 House Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Store Partial Loss Floor; Cement screed Kitchen Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Goat shed Total Loss Roof: GCI Wall: Raised timber off cut Cow shed Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Chicken shed Total Loss Roof: GCI Wall: Suspended timber off cut 22. 5 Philip House Partial Loss Roof: GCI None Karanja Wall: Timber off cut Gachuru Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth 23. 38 Priscilla House Partial Loss Roof: GCI Female headed Gathigia Wall: Timber off cut household Kamuri Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth 96 24. 23 Salome House Total Loss Roof: GCI Elderly female Njoki Wall: Timber off cut headed household Muthee Floor: Earth 25. 24 Symon Pit latrine Total Loss Roof: GCI Widowed Nyamu Wall: Timber off cut Karoki Floor: Timber off cut 26. 13B Thomas House Partial Loss Roof: GCI Wall: None Muriuki Timber on 3 course Nguru natural stone foundation Floor: Cement screed window Glazed casement 27. 4 Wangechi Crops Total Loss Bananas Elderly widowed Kamuiru female headed Wamahiu household 28. 32 Ziphora House Partial Loss Roof: GCI Elderly widowed Wambui Wall: Timber off cut female headed Karoki Floor: Earth household Kitchen Total Loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth House Partial Loss Roof: GCI Wall: Timber off cut Floor: Earth Pit latrine Total Loss Roof: GCI Wall: GCI Floor: Earth Crops Total Loss Bananas 29. 9 Crops Total Loss Bananas Elderly female headed household 97 Mary Wanjiru Kihoro 30. 17A Grace Crops Total Loss Bananas Elderly female Mumbi Residential house Roof: GCI headed household Njogu Wall: Timber off cut Floor: Earth 31. 12 Agnes Crops Total Loss Bananas Widowed female Njambi headed household Muthee 32. 3 Grace Residential house Partial Loss Roof: GCI Female headed Gathoni Wall: Timber off cut household Gichuhi Floor:Cement screed Crops Total Loss Bananas 33. 39 Salome Pit latrine Total Loss Roof: GCI Wall: Elderly, widowed Njeri Timber off cut Floor: female headed Kihara Timber off cuts Crops Total Loss Bananas 34. 45 Esther Residential house Partial Loss Roof: GCI Elderly female Wangui Wall: Timber off cut headed household Ngatia Floor: Earth Kitchen Total Loss Roof: GCI Wall: Timber off cut Floor: Earth Residential house 2 Total Loss Roof: GCI Wall: Timber off cut Floor: Earth 98 Pit latrine Total Loss Roof: GCI Wall: Timber off cut Floor: Timber off cut Crops Total Loss Bananas 35. 44 Francis Pit latrine Total Loss Roof: GCI None Mbuthia Wall: Timber off cut Ngatia Floor: Timber off cut 36. 28 Mercy Residential house Partial Loss Roof: GCI Female headed Wambere Wall: Timber off cut household Wanjiru Floor: Earth 37. 7 Lucy Residential house Partial Loss Roof: GCI Elderly, widowed Nyaguthi Wall: Timber off cut female headed Muthee Floor: Earth Crops Partial Loss Bananas 99 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE KENYA INFORMAL SETTLEMENTS IMPROVEMENT PROJECT (KISIP) YA KUHESABU WAKAAZI WA VIBANDA INFORMAL SETTLEMENT ENUMERATION FORM Date: Serial No: Enu. No: County: Nyeri – NYR Settlement: Villages ZoneID ParceID Structure ID RoomID A Enumeration details Mwenye kujibu (Respondent): 3 Jina la kwanza (First Name): 4 Jina la kati (Middle Name): 5 Jina la mwisho (Last Name): 6 Nambari ya kitambulisho (ID card No): 7 Nambari ya Kodi (Pin No.) 135 8 1. Mwenye ploti (Plot Owner(s)) 2. Mwenye Nyumba (Structure owner(s)) 3. Mpangaji (Tenant/ Occupier(s)) 9. Mwingine (Other) 8 (If 9 please explain) Parcel owner’s/ owner occupier’s/ Tenant’s general B details (Structure Mtu  Shirika 1 Owner/ (Person) (Organisation) 2 occupier): (Photo number): 3 (First 4 Name/Org. (Middle Name): 5 Name): (Last Name): 6 (Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth (Registration)): 8 (ID No (Registration No) 9 (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) (If 9 please explain) 10 (Marital status): 1. Hajaoa/Hajaolewa(Single) 2. Ameolewa (Married) 3. Wameachana (Separated) 4. Mjane (Widowed) 11 (Any disablity?) 1. Ndio (Yes) 2. La (No) 9.If yes, please specify 12 (Educational 1. Chuo/Chuo Kikuu (College/University) level) 2. Shule ya upili (Secondary) 3. Shule ya msingi (Primary) 4. Shule ya gumbaru (Adult Education) 5. Asiye na elimu (None) 9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Occupation)  1. Mwajiriwa wa Serikali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer) 136  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 Place of work)  1. Katika kijiji hiki (In this village)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of  1. Gari la kibinafsi (Private car) transport used  2. Matatu/ Basi (Bus/ Matatu) to work)  3. Pikipiki (Motor cycle)  4. Baiskeli (Bicycle)  5. Kwa miguu ( On foot)  6. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly household income) 17 (Which mode of  1. Barua (Letters) communication  2. Simu (Land line telephone) do you use?)  3. Simu ya jamii (Pay phone)  4. Simu ya rununu (Mobile phone) 5. Furushi (Parcels) 6. Barua Pepe (E-Mail) 7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you most often 1. Hospitali ya raia (Public hospital) seek medical treatment 2. Hospitali ya kibinafsi (Private hospital) when sick?) 3. Hospitali ya kidini/Shirika lisilo la sirikali (Mission / NGO hospital) 4. Mganga wa mitishamba (Traditional Healer) 5. Duka la Dawa(Chemist) 6. Duka la Kawaida (Shop) 7. Kuombewa / (Spiritual Healer) 19 (Name of the medical facility) 20 (Where is this medical  1. Katika kijiji hiki (In this village) facility located?)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 21 (What would you like to be considered during the upgrading process in order of priority?)  Usalama (Security)  Afya (Health) 137  Elimu (Education)  Maji (Water)  Umeme/Stima (Electricity)  Barabara (Roads)  Nyumba (Housing)  Ajira (Employment)  Usafi wa mazingira (Sanitation)  Takataka (Solid waste management)  Mambo mengine (Other issues) Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua ( Diseases suffered in the last 4 Months ) miezi 4 iliyopita  1. Malaria 6. Amoeba / Typhoid  2. TB 7. Hypertention  3. Diarrhoea 8. Diabetes 4. 9. Magonjwa mengine (Other ailments) Pneumonia 5. Common cold (If 9 please explain) Additional details for owners 23 (Mode of  1. Kujikatia (Self Acquired) Acquisition):  2. Kupewa na Serikali (Allocation)  3. Kumiliki (Inherited)  4. Kununua (Purchased)  9. Njia Nyingine (Other Mode) 24 (Ownership  1. Cheti cha kumiliki ardhi (Title deed) proof):  2. Cheti cha muda (Temporary Occupancy License)  3. Hakuna waraka (No document)  9. Waraka mwingine (Other document) 25 (Number of plot owners) 26 (If joint ownership indicate your share) 27 (Owner’s  1. Katika kijiji hiki (In this village) residence if not  2. Katika Mtaa huu(Inside this settlement) within this structure):  3. Nje ya Mtaa huu (Outside this settlement) 28 (If you don’t  1. Yes 2. No reside within the village, are you  renting?): 138 For Information on additional Owners See Appendices B1……………… Additional details for Occupiers 29 (Your share of the rent) 30 (Where did you live 1. Katika kijiji hiki (In this settlement) before you came here?) 2. Katika Mtaa moja jijini (In a formal residential area in the town) 3. Nje ya jiji hii (Outside this town) 4. N/A 31 (Why did you move 1. Sababu za kinyumbani (Domestic reasons) here?) 2. Sababu za uchumi (Economic reasons) 3. Ukosefu wa Shamba (Landlessness) 4. Kuhamishwa (Eviction) 5. Mapigano (Skirmishes) 6. N/A 9. Sababu nyingine (Other reason) 32 (How many years have you lived in this village?) C Household unit details 1 (Structure/Room use): Makao(Residential): Viwanda (Industrial) Elimu (Educational) Kuburudika (Recreational) 301. Michezo (Sports/Gym)  302. Muziki (Music)  303. Nyumba la michezo (Theatre)  304. Nyumba la disko/Nyumba ya vinywaji (Disco/Night club)  399. burudani nyingine (Other Recreational) Ikiwa 399 (burundani nyingine), tafadhali ueleze (If 9 please explain) Commercial (Biashara) Uchukuzi (Transport) Ukulima(Urban Agriculture) 139 Lengo la uma: (Public purpose) Utoshelevu wa Uma (Public Utility 2 Vifaa vya ujenzi vinavyotumika (Building materials used) (Walls)  Mawe (Stone)  Mabati (Ironsheets)  Mbao (Wooden)  Udongo na simiti (Cemented earthwall)  Udongo (Earth)  Karatasi (Polythene/ Carton) 3 Sakafu (Floor):  1. Saruji (Cement)  2. Udongo (Earth)  9. Nyingine(Other) Ikiwa 9 tafadhali eleza (If 9 explain) 4 (Roof) Vigae (Tiles) Mabati (Iron sheets) Mbao (Wooden) Nyasi (Grass thatched) Kifaa Kingine (Other) Ikiwa 9 (Kifaa kingine), tafadhali ueleze (If 9 please explain) 5 House size Urefu Upana (Width): (Length ):  6 (Rental Agreement): 1. Mapatano ya kupangisha (Written Agreement) 2. Mapatano ya kuongea (Verbal Agreement) 7 (Monthly rent for the room): 8 (What is the main 0. Hakuna maji (No water) source of water?): 1. Maji ya mfereji (Piped water) 2. Kisima kisicho kirefu (Shallow well) 3. Maji ya mvua (Rain water) 4. Mto (River/stream) 9. Njia nyingine ya kupata maji (Other water source) Ikiwa 9 (Njia nyingine ya kupata maji), tafadhali ueleze 9 (Average cost of water per (If 9 please explain) day): 10 (Do you have access to a  0. Hakuna Bafu (No bathroom) bathroom?):  1. Bafu (Bathroom in the structure)  2. Bafu (Bathroom outside the structure) 11 (Which type of toilet facilities  0. Hakuna Choo/Bafu (No toilet/bathroom) do you have access to?):  1. Choo cha shimo (Latrine)  2. Choo malumu (VIP)  3. Choo cha maji (WC/Sewer)  4. Tenki ya kinyesi (Septic Tank)  5. Kinyesi kwenye plastiki (Flying Toilet) 140  9. Choo kingine(Other) If 9 please explain 12 (Average cost of use of toilet facilities incurred daily): 13 (How do you utilize  0. Hakuna umeme/stima (No Electricity) electricity?)  1. Mwangaza (Lighting)  2. Kupika (Cooking)  9. Matumizi mengine (Other) Ikiwa 9 (Matumizi mengine), tafadhali ueleze (If 9 please 14 (Average cost of use of explain) electricity per month: 15 (Cooking energy)  1. Umeme/stima (Electricity)  2. Gesi (Gas)  3. Gesi ya kinyesi (Biogass)  4. Mafuta ya taa (Kerosene)  5. Makaa (Charcoal)  6. Kuni (Firewood)  7. Vumbi la makaa na udongo (Chaarcoal dust)  9. Nishati nyingine(Other) If 9 please explain 16 (Where do you dispose your solid 1. Mtoaji wa huduma ya kibinafsi (Private service provider) waste?): 2. Huduma ya serikali ya Kaonti (County Government 3. Mahali maalum pa takataka (Dump site) 4. Pipa la takataka (Bin) 5. Barabarani (Road) 6. Mtoni (River) 7. Nje ya nyumba (Outside the structure) 8. Mitaru ya maji machafu (Open waste water drainage) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 17 (Number of persons living in this household unit) 18. Household Census PERSON 18.1 18.2 18.3 18.4 18.5 18.6 NO. NAME RELATIONSHIP NATIVE STATUS GENDER AGE TO PERSON 1 GROUP Person 1 is Names of 1.Spouse 1. Native 1. Owner 1. Male Age last the Head of the people (husband/wife) 2. 2. Tenant 2. Female birthday the who 2.Partner Migrant 3. Heir household usually live 3. Father 3. Other 4. Joint at this 4. Mother Heir address 5. Sister Or 6. Brother 7. Daughter 8. Son 141 18. Household Census PERSON 18.1 18.2 18.3 18.4 18.5 18.6 NO. NAME RELATIONSHIP NATIVE STATUS GENDER AGE TO PERSON 1 GROUP Regards 9. Cousin this address 10.Not related as their Add S for step “Usual relative e.g. S8 for Place of Step Son Residence 1 19 Parcel Details (for Percel Owners) 19.1 Kipimo cha Ploti (Size of Parcel) 19.2 Idadi ya wenye ploti (Number of Owners): 19.3 Idadi ya vyumba kwenye ploti (Number of structures): 19.4 Huduma zilizo kwenye Ploti? (Services available): 1. Choo (Toilet) 2. Bafu (Bathroom) 3. Stima (Electricity) 4. Maji (Water) 19.5 (Access to this Parcel 1. Njia ya miguu (Foot path) 2. Barabara ya gari (Motorable road) 3. Hakuna Njia (No / Blocked Access) 19.6 Dominant use of this parcel 20 Structure Details Structure No. 20.1 Idadi ya Vyumba katika (Number of rooms in Nyumba hii the structure) 20.2 Idadi ya wenye nyumba hii (No of structure owners) 20.3 Ulijenga nyumba hii mwaka Gani? (Year of construction) 20.4 Ukuta (Walls) 1. Mawe (Stone) 2. Mabati (Ironsheets) 3. Mbao (Wooden) 4. Udongo (Earth) 5. Karatasi (Polythen/Carton) 20.5 1. Vigae (Tites) Paa 2. Mabati (Ironsheets) (Roof): 3. Mbao (Wooden) 4. Nyasi (Grass) 142 9. (Other) 20.6 (if 9 please explain) 20.7 Size (Kipimo) Urefu (Length) Upana (Width) 20.8 Matumizi ya Nyumba Structure Use D Business details 1 (Trade License No): 2 (Company 3 Registration No): (Company/trading 4 name): (Business Type)  501. Supamaketi (Supermarket)  502. Duka la jumla (Wholesale shop)  503. Duka la rejareja (Retail shop)  504. Duka la vifaa (Hardware)  505. Pumpu ya petroli/ mafuta ya taa (Petrol/Kerosene pump )  506. Viwanda vya nguo (Textiles)  507. Mitumba (Secondhand clothes)  508. Duka la nyama (Butchery)  509. Kibanda cha vyakula (Food kiosk)  510. Duka la mboga (Green grocer)  511. Mwuzaji makaa (Charcoal dealer)  512. Seremala (Carpenter)  513. Fundi wa baiskeli (Bicycle repair)  514. Fundi wa viatu (Shoe cobbler)  515. Ushonaji (Tailoring)  516. Kinyozi/Mahali pa kutengeneza nywele (Hair salon)  517. Ukumbi wa filamu/Maktaba ya video (Video show/Video library)  518. Baa (Bar)  519. Vifaa kuukuu (Secondhand goods)  520. (Battery charging)  521. (Telephone bureau)  521 Motorcycle transport  599. Biashara nyingine (Other commercial) Ikiwa 599 (Biashara nyingine), tafadhali ueleze (If 599 please explain) 5 (Monthly Income): 6 (Source of raw material) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 2. Nje ya Mtaa huu (Outside this settlement) 7 (Problems encountered) 8 (How do you transport your 1. Lori (Lorry) raw material/products?) 2. Gari la kibinafsi (Private car) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 143 6. Mchukuzi (Porters) 7. Wilibaro (Wheelbarrow) 8. Pikipiki (Motorcycle) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 9 (Where do you sell your products?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 10 (Where do your customers come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 11 (Number of workers including yourself): 12 (Where do you live?)  1. Katika kijiji hiki (In this village)  2. Katika Mtaa huu(Inside this settlement)  3. Nje ya Mtaa huu(Outside this settlement) E Industry details 1 (Trade License No): 2 (Company Registration No): 3 (Company): 4 (Industry Type): 101. Uchomeleaji (Welding) 102. Mhunzi(Blacksmith) 103. Kinu cha kusagia unga (Posho mill) 104. Utengenezaji wa pombe (Brewing) 199. Kiwanda kingine (Other) Ikiwa 199 (Kiwanda kingine), tafadhali ueleze (If 199 please explain) 5 (Monthly Industry Income ) 6 (Source of raw material) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 7 (Problems encountered) 8 (How do you transport your raw 1. Lori (Lorry) material/products?) 2. Gari la kibinafsi (Private car) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 6. Mchukuzi (Porters) 7. Wilibaro (Wheelbarrow) 8. PikiPiki (Motorcycle) 9. Nyingine (Other) (If 9 please explain) 144 9 (Where do you sell your products?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 2. Nje ya Mtaa huu (Outside this settlement) 10 (Where do your customers come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 11 (Number of workers including yourself): 12 (Where do you live?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) F School details 1 Nambari ya shule (School ID No): 2 (School Ownership Class): 1. Shule ya raia (Public School) 2. Shule ya kibinafsi (Private School) 3. Shule ya watu wa Mtaa (Communal School) 4. Shule ya Misheni (Mission School) 3 (Name of school): 4 (School Type) 201. Shule ya watoto wadogo (Nursery school) 202. Shule ya msingi (Primary school) 203. Shule ya upili (Secondary school) 204. Shule ya ufundi kijini (Village Polytechnic) 205. Shule ya gumbaru (Adult Education School) 206. Shule ya walemavu (School for disabled) 207. Shule ya viziwi (School for deaf) 208. Shule ya vipofu (School for blind) 209. Shule ya wenye akili punguani (School for mentally disabled) 299. Elimu nyingine (Other Education) (If 299 please explain) 5 (Problems encountered) 6 (Number of students): 7 (Where do your students come 1. Katika kijiji hiki (In this village) from?) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 145 G Public Utility/ Purpose 1 (Facility ID No): 2 (Ownership): 1. Uma (Public) 2. Kibinafsi (Private) 3. Watu wa Mtaa (Communal) 3. Misheni (Mission) 3 (Name of facility): 4 (Type of facility?): 1. Ofisi ya Maji (water office) 2. Kituo cha Umeme (Power station) 3.Sewerage treatment plant 4.Kituo cha kidini (Religious institution) 5. Makaburi (Cemetry) 6. Ofisi ya rais (Administration office(s)) 7. Kituo cha polisi (Police post) 8. Pipa la taka (Dumping site 9.Aina nyingine ya lengo la uma/utoshelevu wa uma (Other Public purpose/utility Service) Ikiwa 9 (Aina nyingine ya lengo la uma/utoshelevu wa uma), tafadhali ueleze (If 9 please explain) 5 (Number of clients per day) 6 (Where do your clients come 1. Katika kijiji hiki (In this village) from?) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 7 (No of employees) 8 (Problems encountered) H Health facility details 1 Nambari ya kituo cha afya: (Health facility ID No): 2 (Ownership): 1. Uma (Public) 2. Kibinafsi (Private) 3. Watu wa Mtaa (Communal) 3. Misheni (Mission) 3 (Name of facility): 4 (What services do you offer?): 1. Mgonjwa asiyelazwa hospitalini (Out- patient) 2. Mgonjwa alazwaye hospitalini (In-patient) 3. Duka la dawa (Pharmacy) 146 4. Maabara(Laboratory) 9. Huduma nyingine ya afya (Other Health Service) Ikiwa 9 (Huduma nyingine ya afya), 5 (Average number of patients per day) tafadhali ueleze (If 9 please explain) 6 (Number of beds) 7 (Rate of bed occupancy) 8 (What are the common ailments?):  1. Malaria 7. Amoeba / Typhoid  2. TB 8. Hypertention  3. Diarrhoea 10. Diabetes  4. Pneumonia 11. Eye Infections  5. STD 12. Soft Tissue Injuries  6. Common cold 9. Magonjwa mengine (Other ailments) (If 9 please explain) 9 (Where do your patients come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 10 (No of Medical personnel) 4. Mkunga (Midwife) 5. Muuguzi (Nurse) 9. Waajiriwa wengine wa afya (Other medical personnel) Ikiwa 9 (Waajiriwa wengine wa afya), 11 (Where are referrals made to?) tafadhali ueleze (If 9 please explain) 12 (Problems encountered) I Urban Agriculture 1 ParcelID / StructureID / RoomID : 2 (Type of agriculture): 1. (Ukuzaji wa mimea) Crop farming 2. Ufugaji wa Mifugo (Livestock ) 3.Ufugaji wa Ndege (Poultry) 9.Kilimo kingine (Other type of (If 9 please explain) agriculture) 3 (How many animals)? 4 (State your farm produce per day/month/year)  5 (Use of produce?) 1. Matumizi ya kinyumbani (Domestic Use) 147 2. Matumizi ya Biashara (Commercial Use) 9. (Other Use), if 9. Please Explain below B Owner Details 1 (Owner): Mtu (Person)  Shirika (Organisation) 2 (Photo number): 3 (First Name/Org. 4 Name): Name): (Middle 5 (Last Name): 6 (If Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth) : 8 (ID No /Registration 9 No ) (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) If 9 please explain 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married)  3. Wameachana (Separated)  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest  1. Chuo/Chuo kikuu (College/University) educational level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main occupation)  1. Mwajiriwa wa Serkali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (place of work)  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of transport  1. Gari la kibinafsi (Private car) mainly used to  2. Gari la moshi (Train) work)  3. Matatu/ Basi (Bus/ Matatu) 148  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle)  6. Kwa miguu ( On foot)  7. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total monthly income) 17 (Which mode of 1. Barua (Letters) communication do 2. Simu (Land line telephone) you mainly use?) 3. Simu ya jamii (Pay phone) 4. Simu ya rununu (Mobile phone) 5. Furushi (Parcels) 6. Barua Pepe(E-mail) 7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you  1. Hospitali ya raia (Public hospital) mainly seek  2. Hospitali ya kibinafsi (Private hospital) medical treatment  3. Hospitali ya kidini (Mission / NGO hospital) when sick?)  4. Mganga wa mitishamba (Traditional)  5. Najitibu kwa kununua dawa kwa Duka la Dawa(Chemist)  6. Najitibu kwa kununua dawa kwa Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Jina la mahali pa (Name of the matibabu) medical facility) 20  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 21 What would you like to be considered during the upgrading process (in order of priority)?(Show order with 1 being the one highly prioritized) Usalama (Security)  Barabara (Roads) Afya (Health)  Nyumba (Housing) Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Kiwanda (Industry) Kitengo cha ardhi kwa matumizi ya Mambo mengine (Other issues) uma (Public Utility Space) mambo mengine, tafadhali taja (If any other please state)  2 Magojwa ambayo umeugua miezi ( Diseases suffered in the last 4 Months ) 2 4 iliyopita  1. Malaria 5. Common cold (Homa)  (Malaria) 2. TB (Kifua 6. Amoeba / Typhoid (Amoeba/Homa ya matumbo)  Kikuu) Diarrhoea 7. Hypertension (Kupanda kwa mishipa ya damu) 3. (Kuhara) 149  4. Pneumonia 8. Diabetes (Ugonjwa wa sukari) 9. Magonjwa mengine (Other ailments) Ikiwa 9 (Magonjwa mengine), tafadhali ueleze (If 9 please explain) Ownership and Mode of Acquisition 23  1. Kujikatia (Self Acquired)  2. Kupewa na Serikali kuu/serikali ya mtaa (Allocation)  3. Kuridhi (Inherited)  4. Kununua (Purchased) 5. Kupewa na rafiki/gift (Token/Gift from a friend)  9. Njia Nyingine (Other Mode) 24 (Do you have any 1. Cheti cha kumiliki ardhi (Title deed) document for proof 2. Cheti cha muda (Temporary Occupancy License/Allotment letter) of Ownership) 3. Hakuna waraka (No document) 9. Waraka mwingine (Other document) 25 (How many people own this piece of land) 26 (If joint ownership what is your share) 27 (Owner’s residence  1. Katika Mtaa huu (Inside this settlement) if not on this  2.. Nje ya Mtaa huu (Outside this settlement) structure): 28 (If you don’t reside  1. Yes within the settlement, are you renting?):  2. No B2 Co -Tenants / Additional Household Members 1 (Occupier): Mtu (Person)  Shirika (Organisation) 2 (Photo number): 3 (First Name/Org. 4 Name): (Middle Name): 5 (Last Name): 6 (If Gender):  1. Mume (Male) 3. Not Applicable (N/A)  2. Mke (Female) 7 (Year of birth ): 8 (ID No.): 9 (Nationality):  1. Raia wa Kenya (Kenyan Citizen)  2. Mkimbizi (Refugee)  9. Raia wa nchi nyingine (Other Nationality) Ikiwa 9 (Raia wa nchi nyingine), tafadhali ueleze (If 9 please 33. explain) Uhusiano na mpangaji (Relationship with tenant/household head ) 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married) 150  3. Wameachana (Separated)  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest  1. Chuo/Chuo kikuu (College/University) educational level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main occupation)  1. Mwajiriwa wa Serkali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (Place of work)  1. Katika Mtaa huu (Inside this settlement)  2. Nje ya Mtaa huu (Outside this settlement) 15 (Main mode of  1. Gari la kibinafsi (Private car) transport used to  2. Motorcycle work)  3. Matatu/ Basi (Bus/ Matatu)  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle)  6. Kwa miguu ( On foot)  7. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly income) 17 (Which mode of  1. Barua (Letters) communication do  2. Simu (Land line telephone) you mainly use?)  3. Simu ya jamii (Pay phone)  4. Simu ya rununu (Mobile phone)  5. Furushi (Parcels)  6. Barua Pepe(E-mail)  7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you  1. Hospitali ya raia (Public hospital) mainly seek  2. Hospitali ya kibinafsi (Private hospital) medical treatment  3. Hospitali ya kidini (Mission / NGO hospital) when sick?)  4. Mganga wa mitishamba (Traditional) 151  5. Duka la Dawa(Chemist)  6. Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Name of the medical facility) 20 (Where is this  1. Katika Mtaa huu (Inside this settlement) medical facility  2.. Nje ya Mtaa huu (Outside this settlement) located?) 21 What would you like to be considered during the upgrading process (in order of priority)? Usalama (Security)  Barabara (Roads) Afya (Health)  Nyumba (Housing) Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Mambo mengine (Other issues)  Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua ( Diseases suffered in the last 4 Months ) miezi 4 iliyopita  1. Malaria  5. Common cold  2. TB  6. Amoeba / Typhoid  3. Diarrhoea  7. Hypertension  4. Pneumonia  8. Diabetes 9. Magonjwa mengine (Other ailments) (If 9 please explain) 29 (Your share of the rent) 30 (Where did  1. Katika Mtaa huu (Inside this settlement) you live  2.. Nje ya Mtaa huu (Outside this settlement) before you  3. N/A came here?) 31 (Why did you  1. Sababu za kinyumbani (Domestic reasons) move here?)  2. Sababu za uchumi (Economic reasons)  3. Kuhamishwa (Eviction)  4. Mapigano (Skirmishes)  5. Landlessness  5. N/A  9. Sababu nyingine (Other reason) Ikiwa 9 (Sababu nyingine), tafadhali eleza (If 9 please explain) 152 32 (How many years have you lived in this settlement?) 153 ANNEX 4: ARAP QUESTIONNAIRE 154 ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM Grievance Form Grievance Number Copies to forward to: Name of the Recorder (Original)-Receiver Party Sub-County (Copy)-Responsible Party Date INFORMATION ABOUT GRIEVANCE Define The Grievance: Forms of Receive INFORMATION ABOUT THE COMPLAINANT Name-Surname □Phone Line Telephone Number □ Community/ Address Information Village Meetings Sub-County □ Mail Signature of □ Informal Complainant □ Other DETAILS OF GRIEVANCE 1. Access to 2. Damage to 3. Damage to 4. Decrease or 5. Traffic Land Infrastructure or Loss of Accident and Resources Community Assets Livelihood a) House a) Road/Railway a) Agriculture a) Injury a) Fishing b) Land b) Bridge/ b) Animal b) Damage grounds c) Livestock Passageways husbandry to b) Lands d) Means of c)Power/Telephone c) Beekeeping property c) livelihood Lines d) Small scale c) Damage Pasturelands e) Other d) Water sources, trade to d) House canals e) Other livestock e) Commercial and water d) Other site infrastructure f) Other for irrigation and animals e) Drinking water f) Sewerage System g) Other 155 6. Incidents 7. 8.Employment 9. Construction 10. Other Regarding Resettlement and Camp (Specify) Expropriation Process Recruitment and Community and (Specify) (Specify) Relations Compensation a) Nuisance (Specify) from dust b) Nuisance from noise c) Vibrations due to explosions d) Misconduct of the project personal/worker e) Complaint follow up f) Other 156 ANNEX 6: SAMPLE GRIEVANCE REGISTER The following provides a sample of a register for grievances and/or complaints and the actions undertaken. This will provide the Committee with a record of the types of complaints received (any trends), the effectiveness of resolution strategies and a record of what was done. Date Complainant Contacts Complaint Outcome Actions Closure Signature of the Received Name Description Sought Taken to Date Complainant address the grievance 157