RP1059 V4 REPUBLIC OF KENYA MINISTRY OF LANDS HOUSING AND URBAN DEVELOPMENT Kenya Informal Settlements Improvement Project (KISIP) Resettlement Action Plan for Infrastructure Improvement Projects in Kwa Rhonda, Kaptembwo, and Gilani Informal Settlements, Nakuru County. Ref. No. KE-103877 2013-10-05 Kenya Informal Settlements Improvement Project (KISIP) Component 3: Infrastructure and Service Delivery Consultancy services for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements Contacts: Dr. Robert Zwahlen Sven Bolomey Environment and Manager of Engineering Components Social Development Specialist Pöyry Infra Ltd. Pöyry Energy Ltd. Hardturmstrasse 161, P.O. Box Hardturmstrasse 161, P.O. Box CH-8037 Zurich/Switzerland CH-8037 Zurich/Switzerland Tel. +41 44 355 55 55 Tel. +41 44 355 55 54 Mobile +41 76 356 28 61 Mobile +41 76 356 21 13 Fax +41 44 355 55 56 Fax +41 44 355 55 56 e-mail sven.bolomey@poyry.com e-mail robert.zwahlen@poyry.com http://www.poyry.com http://www.poyry.com Steve Ouma Elisha Akech Executive Director Chief Executive Officer (CEO) Pamoja Trust GA Consultants Ltd. Mbaru road off Mucai Road Standard Building, Standard Street P. O. Box 10269 – 00100 Nairobi, Kenya P.O. Box 2670 00100 Nairobi, Kenya Tel. +254 20 3871504 Tel. +254 20 312 931 +254 72 0896025 Mobile +254 721 629 706 Fax +254 20 3865752 Fax +254 e-mail souma@pamojatrust.org e-mail akech@g-a-consultants.com http://www.pamojatrust.org http://g-a-consultants.com/ Copyright © Ministry of Lands Housing and Urban Development This report has been prepared by Pöyry Energy AG (“Pöyry”) for the Ministry of Lands Housing and Urban Development of the Government of Kenya (the “Recipient”) under Consultancy Services for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements. FACT SHEET Project Name Kenya Informal Settlements Improvement Project (KISIP) Assignment Name Consultancy for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements Lead Implementing Ministry of Lands Housing and Urban Development Agency Funding Agencies Government of Kenya, World Bank, AFD, SIDA Consultants POYRY, GA Consultants, Pamoja Trust Start Date February 20, 2012 Completion Date October 20, 2013 Team Leader Robert Zwahlen, POYRY Deputy Team Leader Steve Ouma, Pamoja Trust Target settlements Nakuru- Kwa Rhonda, Kaptembwo, and Gilani Prepared by: Consultants Pamoja Trust, GA Engineering and Pöyry Energy AG (“Pöyry”) Signed: Date Approved by: Client: Ministry of Housing, Government of Kenya (the “Recipient”). Signed: Date: EXECUTIVE SUMMARY The Ministry of Lands Housing and Urban is implementing the Kenya Informal settlements Improvement Project (KISIP) in 15 municipalities. Mombasa is one of the municipalities chosen to participate in the project based on defined criteria. The project is jointly financed by the World Bank, the Swedish International Development Agency (SIDA), the French Agency for Development (AFD) and the Government of Kenya (GoK). The project’s development objective is to improve the living condition of people living in the informal settlements through securing land tenure and provision of infrastructure and services. KISIP is implementing infrastructure improvement projects in four informal settlements in Mombasa. The settlements are Kwa Rhonda, Kaptembwo, and Gilani. The types of infrastructure that will be implemented in the settlements include: upgrading of roads, security flood lightning, storm water drainage, and rehabilitation of sewer. These projects will be responding to the current challenges within the settlements as identified and prioritized through community consultation. When implemented, the projects will benefit an estimated population of 112,304 in the settlements in improved accessibility, drainage, security, and better sanitation. The nature of implementation of the proposed projects will trigger some minor displacement of assets and livelihoods. However, no private land will be expropriated as all the affected assets are encroachments on designated public way leaves. This Resettlement Action Plan (RAP) has been prepared in conformity with the World Bank’s Operational Policy on Involuntary Resettlement (OP 4.12), the Resettlement Policy Framework (RPF) that was approved prior to the project approval, and Government of Kenya legal framework governing resettlement issues. An Environmental and Social Impact Assessment (ESIA) for the project has been conducted and identified displacement as a potential project impact. To mitigate, the likely displacement impacts, the ESIA proposed the development of this RAP. A total of 579 Project Affected Persons (PAPs) have been identified through community consultations and surveying of the road corridors. The distribution of PAPs is as follows: Kwa Rhonda has 321 PAPs, Kaptembwo has 239 PAPs, and Gilani has 19 PAPs. The kinds of losses identified are temporary structures, house extension erected on way leaves, and temporary A|Page market stalls and kiosks. In addition, livelihood losses have been identified for traders who sell their wares on the road corridors and will have to move to alternative sites. Consultations with the PAPs have been undertaken to discuss and agree on the mitigation options. The PAPs recognize that they illegally occupy land reserved for infrastructure development particularly roads and are willing to remove their structures and temporal businesses to pave way for the project. The population affected by this project, includes people occupying land on the road reserve in violation of Kenyan laws. These groups of people; who are often referred to as encroachers, are not entitled to compensation for loss of land under both the OP 4.12 and the government of Kenya laws. However, they are entitled to compensation for any improvement made to the land as well as to resettlement assistance if they occupied the project area before an established cutoff date. The estimated compensation sum has excluded the value of land, due to it being designated as a road reserve and therefore no individual has a legal ownership claim on any part thereof. A census and socio-economic survey of the PAPs was undertaken and a PAP register prepared. A valuation of the affected assets and livelihoods has been undertaken and an entitlement matrix and compensation package proposed in this RAP. The RAP proposes the settlement of compensation and resettlement assistance before the commencement of the project. The affected traders who are the majority will be given space in the new markets in Kaptembwo and Gilani. The construction of these markets has been undertaken by the County Government of Nakuru mitigation to the displaced traders. Resettlement assistance in form of transport, labour for removing structures and loss of livelihoods will also be offered to the PAPs. This RAP will also be publicly disclosed. The construction of the proposed infrastructure (roads, drainage, sewer line, and security lightning) will greatly improve the living conditions of the inhabitants in all the four settlements. With the implementation of mitigation measures such as this RAP, the overall social impacts of the project will be minimal. The project will also offer significant socio-economic opportunities for communities and the population of the area. B|Page Table of Contents FACT SHEET ................................................................................................................................................... 3 EXECUTIVE SUMMARy .................................................................................................................................. A List of Acronyms and Abbreviations ............................................................................................................. 5 LIST OF FIGURES ...................................................................................................................................... 7 LIST OF TABLES......................................................................................................................................... 8 Table 1.2: Proposed Projects per Settlement ....................................................................................... 8 1. INTRODUCTION ............................................................................................................................. 10 1.1 Background .................................................................................................................................. 10 1.1 Project Description ...................................................................................................................... 11 1.1.1 General Project Description ..................................................................................................... 11 1.1.2 Selected Settlements in Nakuru ................................................................................................ 12 1.1.3 Proposed Projects .................................................................................................................... 18 Table 1.2: Proposed Projects per Settlement ....................................................................................... 19 1.1.4 Project Impacts ................................................................................................................... 20 1.2 Statement of the Problem and Need for RAP .............................................................................. 21 1.3 Objectives of RAP ....................................................................................................................... 21 2 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK ............................................................................ 23 2.1 Applicable GoK Policy and Legal Framework .............................................................................. 23 2.2 World Bank Safeguard Policies ..................................................................................................... 25 2.3 Gaps Between OP 4.12 and GoK Policies .................................................................................... 27 2.4 Institutional Responsibilities for RAP........................................................................................... 28 3 RAP PROCESS ................................................................................................................................... 31 3.1 Census of PAPs ........................................................................................................................... 31 3.2 Inventory of Project Affected Persons (PAPs) and Assets ............................................................ 31 3|Page 3.3 Socio-Economic Survey of PAPs ................................................................................................. 33 3.3.1 Kaptembwo ............................................................................................................................. 33 3.3.2 Kwa Rhoda .............................................................................................................................. 34 3.3.3 Gilani ....................................................................................................................................... 34 3.4 Cut-Off Date ............................................................................................................................... 35 3.5 Valuation of Assets ...................................................................................................................... 35 3.6 Community Consultation and Participation .................................................................................. 36 Fears of Relocation .............................................................................................................................. 37 Preferred Types of Assistance .............................................................................................................. 37 4 COMPENSATION AND RESETTLEMENT ASSISTANCE ........................................................... 39 4.1 Eligibility Criteria ......................................................................................................................... 39 4.2 Entitlement Matrix ....................................................................................................................... 39 4.3 Notification .................................................................................................................................. 41 4.4 Payment of Compensation ......................................................................................................... 42 4.5 GRIEVANCE REDRESS MECHANISM ............................................................................................ 43 4.6 IMPLEMENATION SCHEDULE ...................................................................................................... 45 5 MONITORING AND EVALUATION ............................................................................................. 47 5.1 Objectives of Monitoring and Evaluation ..................................................................................... 47 5.2 Monitoring and Evaluation Framework ...................................................................................... 48 6 COST AND BUDGET ............................................................................................................................. 51 7 DISCLOSURE ........................................................................................................................................ 53 8 CONCLUSION ....................................................................................................................................... 54 Annexes ...................................................................................................................................................... 55 4|Page LIST OF ACRONYMS AND ABBREVIATIONS AFD Agence Francaise de Developpement RIM Register Index Map CBO Community-based Organization CDF Constituencies Development Fund CEMP Community Environmental Management Plan EA Enumeration Areas EIA Environmental Impact Assessment EMP Environmental Management Plan ESIA Environmental and Social Impact Assessment FBO Faith-based Organization FGD Focus Group Discussion GoK Government of Kenya KISIP Kenya Informal Settlements Improvement Project KMP Kenya Municipal Program SEC Settlement Executive Committee KNBS Kenya National Bureau of Statistics KURA Kenya Urban Roads Authority KWFT Kenya Women’s Finance Trust LA Local Authority LASDAP Local Authority Service Delivery Action Plan LATF Local Authority Transfer Fund MCM Municipal Council of Mombasa MM Man Month 5|Page MoH Ministry of Housing MoL Ministry of Lands MoLH&UD Ministry of Lands Housing and Urban Development NACHU National Cooperative Housing Union NEMA National Environment Management Authority PAD Project Appraisal Document PAP Project Affected Person PDP Part Development Plan RAP Resettlement Action Plan SIDA Swedish International Development Agency SPA Special Planning Area SRS Simple random sampling SUP Settlement Upgrading Plan ToR Terms of Reference WaSSIP Water and Sanitation Services Improvement Project WSB Water Services Board WSTF Water Services Trust Fund 6|Page LIST OF FIGURES Figure 1: Location of settlements in Nakuru Municipality Figure 1.2: Map of Gilani with verified boundaries (blue lines) Figure 1.3: Map of Kaptembwo Settlement – Nakuru Figure 1.4: Map of Kwa Rhonda settlement with verified boundaries Fig 5.1: Grievance Redress Mechanism 7|Page LIST OF TABLES Table 1.1: Socio-eocnomic baseline information for each settlement Table 1.2: Proposed Projects per Settlement Table 2.1: Relevant Laws Related To Resettlement Table2.2: Statutory Institutions with Roles in the RAP process Table 1.1: Inventory of affectd properties in the three settlements Table 4.1: Entitlement Matrix Table 6.1: Proposed Implementation Schedule Table 7.1: RAP Monitoring Plan Table 7.2: RAP Monitoring Framework Table 8.1: Proposed budget for RAP in Kaptembwo, Gialni and Kwa Rhonda 8|Page 9|Page 1. INTRODUCTION 1.1 Background The Kenya Informal Settlements Project (KISIP) is a five year project of the Government of Kenya (GOK) with support from the World Bank, through The International Development Association, (IDA), the Swedish International Development Cooperation Agency (Sida) and the Agence Française de Development (AFD). The overall project development objective is to improve living conditions in informal settlements in fifteen (15) selected municipalities in Kenya, by improving security of land tenure and investing in infrastructure based on plans developed in consultation with communities. KISIP is housed by Ministry of Lands Housing and Urban Development and implemented in close partnership with the 15 participating municipalities of Eldoret, Embu, Garisa, Kakamega, Kericho, Kisumu, Kitui, Machakos, Malindi, Nakuru, Nairobi, Naivasha, Nakuru, Nyeri and Thika; selected on the basis of agreed criteria. The KISIP is desirous to ensure that environmental and social issues are adequately identified and addressed in all its components and in particular for infrastructure investments. To achieve this, an Environment and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF) have been prepared and approved. The key objective of the ESMF and RPF is to provide a framework for systematic and effective identification and management of environmental and social issues for KISIP. The ESMF provides guidance on integrating of environmental issues into project design and implementation; while the RPF provides guidance on mitigating the likely impacts associated with land acquisition and displacement. The ESMF/RPF forms part of the financing agreement between the World Bank and the Government of Kenya. Component three of KISIP supports investment in settlement infrastructure such as roads, bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid waste management, storm water drainage, water and sanitation systems, public parks and green spaces. Poyry Consultants in association with GA Consultants and Pamoja Trust have been contracted under the Consultancy services for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements,in Nakuru, Nakuru and Eldoret. The development of the RAP is part of the assignment under this consultancy. 10 | P a g e Prior to the undertaking of this RAP, the proposed projects were screened for both environmental and social impacts. The screening identified limited displacement of structures built on the way leaves and likely temporal livelihood disturbance as likely impacts. This RAP has been prepared in conformity to the World Bank’s Operational Policy on Involuntary Resettlement (OP 4.12), the Resettlement Policy Framework (RPF), the Environmental Management and Coordination Act, 1999 and other Government of Kenya policies and laws dealing with resettlement issues. 1.1 Project Description 1.1.1 General Project Description The project has the following four components: Component 1: Institutional Strengthening and Program Management: This component supports institutional strengthening and capacity building of the MoLH&UD, and the participating municipalities, as well as development of policies, frameworks, systems, and guidelines for slum upgrading. Component 2: Enhancing Tenure Security: This component directly supports implementation of the new national land policy in urban informal settlements through refinement, systematization and scale-up of ongoing efforts to strengthen tenure security in urban informal settlements. Component 3: Investing in Settlement Infrastructure and Service Delivery: This component supports the implementation of settlement upgrading plans that have been developed at the community level. Infrastructure investment that is eligible under KISIP includes the following: roads, bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid waste management, storm water drainage, water and sanitation systems, public parks and green spaces. Component 4: Planning for Growth: Supporting Delivery of Serviced Land and Affordable Housing: This component supports planning and development of options that facilitate delivery of infrastructure services, land and housing for future population growth. The objective is to provide an alternative to the current chaotic practice of informally establishing settlements on any open land. 11 | P a g e 1.1.2 Selected Settlements in Nakuru Infrastructure upgrading projects are being implemented in the following settlements in Nakuru municipality: a) Gilani settlement: 17.22 ha, population estimated at 3,608 inhabitants in 2012 b) Kaptembwo settlement: 289 ha, population estimated at 76,200 inhabitants in 2012 c) Kwa Rhonda settlement: 312 ha, population estimated at 32,496 inhabitants in 2012. The distribution of the settlements is as shown in Figure 1.1. Figure 2: Location of settlements in Nakuru Municipality Gilani Kaptembwo Kwa Rhonda The following table presents a summary of socio-economic data for each of the settlements. surveys carried out in each settlement. 12 | P a g e Table 1.1: Socio-eocnomic baseline information for each settlement City Unit Nakuru Settlement Gilani Kaptembwo Kwa Rhonda Area ha 17.2 289 Subunits 7 6 Gikomba Checkpoint 3 Jasho Dip Gilani 1 Market Honey cup Gilani 2 Ponda Mali Nakuru west Githima Posta Soko Mjinga Quarry Technology Sewage Socio-economy HH (surveyed.) N 180 263 296 Mean HH size N 3.12 3 3.8 Inhabitants N 3608 76200 32496 Female headed HH % 26 18 15 Unemployment % 26 21 25 Land/house owners % 18 32 13 Tenants % 76 65 85 Other (occupant) % 5 2 2 Years resided in current settlement Y 8.54 10 8.9 Feels tenure is secure % 90 97 94 Have electricity % 85 76 69 Have piped water - in-house or % 89 74 82 shared tap in compound Households who say there is street lighting that works most of the % 3 12 10 time Households who say that the main % 9 52 6 13 | P a g e City Unit Nakuru Settlement Gilani Kaptembwo Kwa Rhonda access road is tarmac, gravel, murram or paved (not earth) Toilet facilities No facility % 1 0 2 Individual toilet - VIP, ordinary pit, % 56 98 76 WC Shared/public toilet % 49 2 66 Excreta disposal system Formal connection to public sewer % 34 6 5 Informal connection to public % 14 2 0 sewer Septic tank / soak pit % 3 4 10 Pit latrine % 49 88 84 Drainage Households with a drain outside % 33 15 11 their home Garbage disposal system Dumping in own neighbourhood % 7 12 17 Burning / burying / dumping in % 8 17 28 own compound Organized private collection system % 53 38 37 Municipality collection system % 32 33 17 1.1.2.1 Gilani Gilani is located in Nakuru Town constituency, Shabaab ward, Kaptembwo location, and Githima sub-location. Gilani is bordered by industries to the north, Rift Valley Institute of Science and Technology to the west, Shabaab Estate to the east and the settlement of Kaptembwo to its south. The settlement has a land area of 14 hectares. Gilani is about 3 km from the town centre along 14 | P a g e Kaloleni Road south of the Nakuru-Eldoret Road. The settlement is organized into three villages or clusters: (i) Gilani 1, (ii) Gilani 2, and (iii) Githima. Figure 1.2: Map of Gilani with verified boundaries (blue lines) Source: Prepared by Malachi Odongo with Google Earth on April 3, 2012 The settlement is named after the area’s previous owner, an Asian with the family name of Gilani. His son inherited the land and subsequently subdivided and sold the plots. The Municipal Council of Nakuru legalized the sub-division in 1977. The settlement is situated on a slight slope and is subject to seasonal flooding. The settlement has sandy soil and pit latrines tend to collapse. The housing stock is mostly comprised of permanent structures (95%) in Gilani 1 and Gilani 2 (MajiData 2011). The picture is more mixed in Githima with 44% permanent, 40% temporary and a small number of tent-like structures (2.3%) (MajiData, 2011). 1.2.2.2 Kaptembwo Kaptwembwo is located in Nakuru West constituency; and Kaptembwo ward, location and sub- location. Kaptembwo is bordered by the settlement of Gilani to the north, Kenlands Estate to the northeast, Rift Valley Institute of Science and Technology to the west, the settlement of Kwa 15 | P a g e Rhonda to the east and the River Njoro to its south. The settlement is about 1.76 km long at its longest point and approximately 1.16 km wide with a land area of 289 hectares. Kaptembwo is located 2 to 3 km from town centre. The settlement is named after a depression known locally as Tembwo. The land on which the settlement was located was sold by a white man to a local company called Kipsigis/Tugen comprised of 100 members from the Kalenjin ethnic group. The firm’s land was incorporated (i.e. ‘legalized’) by the Municipality of Nakuru in 1981 and the members subdivided the land into individual plots. Each member was allocated 11 plots of 50 by 100 feet. A Part Development Plan (PDP) was developed in 1983. Many of the firm’s members have since sold off thei r plots and today the settlement is ethnically diverse. The housing stock is mostly permanent (62%) but there are a significant number of temporary structures (30%) as well (Maji Data 2011). The River Njoro forms the settlement’s boundary on the southern edge. There is a geological fault line traversing the settlement causing the soil to sink in the rainy seasons and resulting in deep gullies. The settlement is on a slight slope and the soil in Kaptembwo is mostly loam or sand. Pit latrines tend to collapse. The settlement is organized into six villages or clusters: (i) Checkpoint, (ii) Dip, (iii) Honey Cup, (iv) Nakuru West, (v) Soko Mjinga and (vi) Technology. 16 | P a g e Figure 1.3: Map of Kaptembwo Settlement – Nakuru Source: Prepared by Malachi Odongo with Google Earth on April 5, 2012 1.1.2.2 Kwa Rhonda Kwa Rhonda is located in Nakuru West constituency, Kaptembwo Location, Kaptembwo sublocation and Rhonda Ward. The settlement is bordered by Kenlands Estate to the north, the settlement of Kaptembwo to the west, Lake Nakuru National Park to the east and River Njoro to the south and southeast. The settlement has a land area of 312 hectares. Kwa Rhonda means Rhonda’s place and is named after the colonial settler of the area who had a large sisal plantation here. A part of Kwa Rhonda was incorporated (i.e. ‘legalized’) by the Municipality of Nakuru in 1971 and another part in 1995. The land has been subdivided into individual plots. 17 | P a g e Figure 1.4: Map of Kwa Rhonda settlement with verified boundaries Source: Prepared by Malachi Odongo with Google Earth on April 5, 2012 The housing stock is split almost evenly between permanent and temporary structures in Kwa Rhonda (Maji Data 2011). According to the Strategic Structure Plan (1999), Rhonda is located in an area of low suitability for urban development because of its slope, soil and drainage characteristics. Rhonda has a high water table (less than 20 m) and has a high incidence of subsidence due to faulting. It also has very deep unstable soils and pit latrines tend to collapse. Kwa Rhonda is organized into seven villages or clusters: (i) Gikomba, (ii) Jasho, (iii) Market, (iv) Ponda Mali, (v) Posta, (vi) Quarry, and (vii) Sewage. 1.1.3 Proposed Projects According to the Project Appraisal Document (PAD), the menu of eligible projects that can be financed under KISIP are: roads, bicycle paths, pedestrian walkways, street and security lighting, 18 | P a g e vending platforms, solid waste management, storm water drainage, water and sanitation systems, public parks and green spaces. The communities in the three settlements were involved in the identification and prioritization projects from the menu of the projects provided in the PAD. Moreover, communities were consulted and participated during the socio-economic surveys, conceptual designs, and the development of settlement upgrading plans. During these consultations, the likely impacts of the proposed projects were discussed and informed the prioritization process. Such impacts included both positive and negative environmental and social impacts. Table 1.2 shows the prioritized and proposed projects for each of the settlements in Nakuru. The projects address the prioritized challenges within the settlements as identified during the socio- economic surveys. Table 1.2: Proposed Projects per Settlement Settlement Scope of works 1. Gilani 1.1 D1 – Rehabilitation of 800 m of main city drainage canals in Gilani settlement 1.2 R1 – Construction of 1958 m of main settlement access roads (R1016, R1003) 1.3 R2 - Construction of 1680 m of main internal access roads 1.4 R3 - Construction of 1298 m of secondary internal access roads (potential PHASE 2) 1.5 R4 – Construction of 960 m of secondary internal access roads (potential PHASE 2) 1.6 R5 - Construction of 861 m of footpaths 1.7 S1 – Rehabilitation of 2100 m of sewerage network in Gilani settlement and implementation of a maximum of 1200 household connections to the sewerage network. 1.8 L1 - Construction of 2 No. high mast lighting structures 2. Kaptembwo 2.1 D1 – Rehabilitation of 546 m of main city drainage canals in Kaptembwo settlement 19 | P a g e 2.2 D2 – Construction of 3019 m of settlement level main drainage canals in Kaptembwo settlement 2.3 D3 – Slope stabilisation measures 2.4 R1 – Construction of 3258 m of main settlement access roads (R1001, R1002) 2.5 R2 - Construction of 1040 m of main internal access roads 2.6 R3 - Construction of 5243 m of secondary internal access roads (potential PHASE 2) 2.7 R4 - Construction of 6597 m of secondary internal access roads (potential PHASE 2) 2.8 L1 - Construction of 2 No. high mast lighting structures 3. Kwa Rhonda 3.1 D1 – Rehabilitation of 3806 m of main city drainage canals in Kwa Rhonda settlement 3.2 D3 – Slope stabilisation measures 3.3 R1 – Construction of 4204 m of main settlement access roads (R1009, R1011, R1014)) 3.4 R2 - Construction of 7429 m of main internal access roads 3.5 R3 - Construction of 15421 m of secondary internal access roads (potential PHASE 2) 3.6 R4 - Construction of 3327 m of secondary internal access roads (potential PHASE 2) 3.7 L1 - Construction of 2 No. high mast lighting structures 1.1.4 Project Impacts These proposed projects will have the following positive impacts:  Improve accessibility within the three settlements by upgrading the poor road and footpath network in the settlements  Improve drainage and solve flooding related impacts within the settlements  Improve sanitation and solve sanitation related health risks  Improve security through security lightning 20 | P a g e However, the projects may have limited negative impacts which should be mitigated:  Displacement of people, structures and businesses located on the way leaves  Noise and dust from construction activities  Occupational health risks during construction 1.2 Statement of the Problem and Need for RAP Displacement impacts are anticipated to be quite small in scale occasioned by: o Partial demolition of structures to expand / realign road reserves o Reclamation of encroached way-leaves o Displacement of open and mobile shops (kiosks) to expand / realign road reserves, provide drainage canals, etc, o Displacement of settlements to reclaim public utility land o Land reservation for receptacles and waste collection centres, posts for security lighting o Removal of structures to create room for trunk infrastructure such as drainage. Both the World Bank’s Policy on Involuntary Resettlement (OP 4.12) and the Resettlement Policy Framework (RPF) require the development and implementation of a Resettlement Action Plan (RAP) to address any anticipated displacement impacts of a Bank financed project. Moreover, the Environmental Management and Coordination Act, 1999 provides for RAP, whenever displacement is identified as an impact during environmental impact assessment (EIA). 1.3 Objectives of RAP The objective of the RAP is to clarify the principles and procedures that will govern the mitigation of adverse social impacts induced by the proposed projects. Specifically, the RAP is designed to ensure:  All types of losses are identified, clearly defined and properly categorized to reflect the nature of the loss. 21 | P a g e  A standard or measure for defining eligibility and entitlement in order to have a fair basis for assessing compensation for the loss or impact suffered.  Compliance with provisions of Kenyan Laws and World Bank Operational Policies (OP 4.12, paragraph 2(b)): that resettlement activity would be conceived and executed as development programs, providing sufficient investment resources to enable the PAPs to share in project benefits.  Displaced persons will be compensated for their losses at full replacement cost and provided assistance for disturbance prior to the beginning of civil works.  A comprehensive database, based on which values will be assessed, validated in the event of disputes and more importantly serve as the database for monitoring and evaluation of the resettlement instrument.  The project affected persons would be consulted and given the chance of participating in the design, implementation and monitoring of the resettlement. 22 | P a g e 2 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK Resettlement of project affected persons (PAPs) in the project will therefore be carried out in accordance with laws, regulations and guidelines for Resettlement/Land Acquisition Policy Framework of the Government of Kenya and World Bank’s Operational Policy (O.P 4.12), which has resulted in the preparation of this RAP. 2.1 Applicable GoK Policy and Legal Framework This RAP has been prepared in accordance with laws, regulations and guidelines for Resettlement/Land Acquisition Policy Framework of the Government of Kenya. The relevant national and local laws, regulations and guidelines are presented in Table 2.1. Since no land acquisition will undertake by the project, laws, policies and regulations relating to land acquisition will not be discussed. Table 2.1: Relevant Laws Related To Resettlement Name of Act Application Remarks The Land Act No.6 of An act of Parliament to make The project will not compulsorily 2012 provision on land regulation and for acquire private land. the compulsory acquisition of land for Will apply if the project elects to public benefit. An inquiry held, ask the government to allocate objections heard, compensation public land for any the relocation payable. PAPs within the way leaves will Applies to allocation of and dealings be required to voluntarily with Public land and private land. remove their structures without All encroachment on the public right expectation of any compensation of way under the section 143 of the Act will not be compensated or permitted 23 | P a g e The Constitution of Anyone dissatisfied with the award of The procedure of compulsorily Kenya 2010, Section compensation for compulsory acquiring private land for the 40 (3)(ii) acquisition of private land by the purpose of the project can be Commissioner has the right to seek considered where any extra space judicial recourse. A further appeal to is needed for setting up the the High Court can be made. Further, infrastructures proposed in this multiple structure owners dissatisfied project. with the RAP implementation can bring a constitutional reference against deprivation of property without compensation. The Physical Planning Requires preparation of To be considered when planning Act, Cap 286 (Act No development plans for every residential sites and other 6 of 1996) intended development and relocation sites. invitation to the public to comment /object to the development Code 95, the City The municipal Council of Nakuru As above Building code (came Department of Planning may require into effect in 1995) the observation of the code. The Local Empowers the Nakuru Municipal The municipal council of Nakuru Government Act, Cap Council to buy, lease or sell land: to would need to consider this if 265 ask the government to compulsorily faced by any need of relocation acquire land for it, to appropriate any and resettlement. land not in use for its intended purpose to be used with the approval of the Minister for another purpose. Land Registration Act A maximum of 5 persons can be Would be applicable if land registered as owners of one piece of identified for relocation of the 24 | P a g e No. 3 of 2012 land. Nakuru PAPs is registered under this Act. The Public Applies to all procurements by Would apply to the acquisition Procurement and government and public entities of any land that will be required Disposal Act No 3 of for relocation. 2005 and the Public It would also apply to contracts Procurement And for the construction work to be Disposal (Public undertaken. Private Partnerships) Regulations, 2009 Kenya Roads Act Applies specifically to the function of KURA shall have the Cap.2 Kenya Urban Roads Authority in responsibility for supervising implementation of the KISIP road construction, rehabilitation and upgrading project. maintenance of all public roads in the municipalities in Kenya under KISIP project. Environmental Provision for resettlement action plans Regulations require RAP Management and to address displacement/relocation whenever relocation is identified Coordination Act, impacts as a project impact. 1999 and subsidiary legislation on EIA/EA (Legal Notice 101). 2.2 World Bank Safeguard Policies According to OP 4.12, any World Bank assisted project/program must comply with the provisions of OP 4.12 for impacts associated with land acquisition and displacement. OP 4.12 applies to all components of the project that result in involuntary resettlement, regardless of the source of financing. This policy covers direct economic and social impacts that both result from World Bank- assisted projects, and are caused by: 25 | P a g e a) The involuntary taking of land resulting in (i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or b) The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. Towards addressing the said impacts, OP 4.12 requires that a resettlement plan or a resettlement policy framework be prepared with the following objectives:- a) To outline measures to ensure that the displaced 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 displaced 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. Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also include measures to ensure that displaced persons 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 (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. 26 | P a g e 2.3 Gaps Between OP 4.12 and GoK Policies The RPF was prepared in conformity with the policy and legal provisions of the GoK and the World Bank. However, in preparing the RPF, operational gaps between the policy/legal frameworks of both have emerged as follows:- a) While the GoK through diverse legal tools including the new constitution allows for acquisition and thus displacement, OP 4.12 favors a policy of avoidance or minimization of involuntary resettlement and design of appropriate mitigation in case avoidance or minimization is not possible. b) While Cap 288 provides for compensation in respect of acquired land at market rates, OP 4.12 emphasizes the need for compensation at replacement cost coupled with provision of support during the transitional period to improve or at least restore living standards of affected people to pre-displacement levels. c) The Kenyan law has no provision for compensation is respect of economic displacement unlike OP4.12 which recognizes both physical and economic displacement. d) The Kenya system originally recognized only title holders as bonafide property owners but currently, the new Constitution has opened an „in-good-faith’ window through which compensation can be extended to non-title holders which is more in harmony with the OP 4.12 premise that ‘lack of legal title should be no bar in extending assistance and support to those displaced by projects’. The KISIP complies with the requirements of OP 4.12 in the following ways:  The ESIA study assesses project alternatives to avoid, where feasible, or minimize involuntary resettlement.  The potential economic and social impacts of the project have been assessed in the ESIA study and summarized in this report as well.  Project-affected persons, host communities and local nongovernmental organizations, as appropriate have been consulted. 27 | P a g e  PAPs have been informed of their rights including prompt compensation at full replacement cost for loss of assets attributable to the project; assistance during relocation, and transitional support and development assistance.  RAP has been prepared to deal with social impacts associated with likely displacement. 2.4 Institutional Responsibilities for RAP During the RAP preparation process, a number of key institutions were identified as critical to both preparation, and implementation of the RAP. This is summarized in Table 2.2 below. Consultations and involvement has been sought during the process. Table2.2: Statutory Institutions with Roles in the RAP process No Institution Role Capacity 1 Ministry of Land Houses the KISIP project The ministry has experts Housing and Urban in key areas: land Provides policy direction Development management and Handle land tenure issues administration, physical planning, resettlement 2 County Government of Has the responsibility of Financial capacity is Nakuru implementing the RAP as lacking. In the transition, spelled out in the RPF. KISIP providing assistance 3 Kenya Urban Roads In charge of the Capacity exists Authority management of urban roads. It approves road designs and maintains roads. 4 KPLC Responsible for Capacity exists. Costs relocating electricity provided in the BQ. transmission lines from the road reserves 5 Nakuru Water and Responsible relocating Capacity exists. Costs Sewerage Company affected water 28 | P a g e (NWSC) infrastructure e.g. pipes, provided in the BQ. water kiosks to maintain service levels 6 National Environment Approving and issuing Capacity exists. Costs of Management Authority EIA licenses for projects license provided for in (NEMA) which have addressed the budget. environmental and social impacts 7 Ministry of Finance Financial management on Capacity exists and behalf of the Borrower ( funds will be made GoK) available. Provision of counterpart funding – part of which is used to settle compensation claims by PAPs In addition to the above governmental institutions, several structures were established at the community level in each of the settlements: a) A Community Resettlement Advisory Committee: This was formed during the preparation of RAP to mobilize the community; provide a link between the community, the consultant, the County Government of Nakuru, and KISIP. The Committee has been involved in all stages of RAP development and is expected to continue playing an active role in monitoring its implementation. b) The Grievance Committee: Formed to address all grievances related to the development and implementation of this RAP. c) The Valuation Committee: Was formed during the RAP preparation to lead valuation of affected assets and negotiations with the PAPs. 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: 29 | P a g e a) Coordinate the effective implementation of the ESMF/RPF and ensure compliance with agreed implementation procedures and guidelines. b) Prepare Progress reports on the implementation of the environmental and social safeguards. c) Procure and supervise consultants for Social and Environment Assessments d) Build the capacity at all levels to implement the ESMF/RPF e) Supervision of ESMF/RPF implementation during and after project implementation a) Ensure integration of EMPs and RAPs into Contract and Bid Documents b) Ensuring adequate community participation 30 | P a g e 3 RAP PROCESS 3.1 Census of PAPs A census of PAPs and assets that will be affected was conducted in all the three settlements. The enumeration exercise was to identify project affected people (PAP) that will require resettlement, compensation and other forms of assistance as a consequence of the impacts of the proposed project on their livelihoods. In accordance with OP 4.12, persons affected by the project would be assisted to resettle in new locations and to continue their normal lives in their new locations with minimal or no difficulties. Against this backdrop, it was considered necessary to undertake a survey of the respective project areas (Kwa Rhoda, Kaptembwo and Gilani ) to determine the number of the PAPs in each of these areas, ascertain their socio-economic characteristics, types of structures and businesses where applicable, that would be affected by the envisaged project. 3.2 Inventory of Project Affected Persons (PAPs) and Assets Enumeration of PAPs and affected properties by the respective projects in each of the three settlements are presented in Table 3.1. The Table shows the different categories of PAPs based on the type of structures affected. In the three settlements it was observed that about 98% of the PAPs are vendors operating temporary kiosks, open stalls and mobile vending tables. All the identified PAPs are categorised as encroachers on existing way leaves; hence no loss of land is envisaged. The affected structures will have to be shifted backwards or relocated to a suitable place for the project to be implemented. It is worth mentioning that mobile vendors (mostly vegetable sellers) do take their wares home and in most cases the tables are removed at the close of each day. 31 | P a g e Table 2.1: Inventory of affectd properties in the three settlements Location Fully affected, to be relocated Partially affected Total External Residenti Residenti Type Kiosk Kiosk perimeter al al Kaptembwo 238 1 239 Kwa Rhonda 315 4 2 321 Gilani 15 1 3 19 Total 568 1 0 8 2 579 In the present case, PAPs are people who own and use structures located on land which will be required for project implementation, and which therefore will have to be removed. This means that the vendors directly located within the portions of land designated for road upgrading, drainage canals, sewer line and walkway shall be entitled to assistance or compensation. It is important to note that:  none of the land required for project implementation is owned by PAPs, who are encroachers on public land; and  that the layout of the project was chosen in a way as not to affect living quarters; this means that no physical resettlement of any household in the project area will be required. About seven (7) permanent structures will be partly affected by the project in the three settlements (one commercial structure in Kaptembwo, three residential structures in Kwa Rhonda and three residential structures in Gilani: affected structures in Kaptebwo and Kwa Rhonda are respectively on the road to be upgraded while the ones in Gilani are directly on the sewer line and may be relocated temporarily to allow for improvement of the sewer line. A total of 568 vendors (238 in Kaptembwo, 15 in Gilani and 315 in Kwa Rhonda) will either have their structures (kiosks, open stalls) relocated to the nearby markets constructed specifically for the 32 | P a g e PAPs in Kaptembwo and Kwa Rhonda or to vacant spaces within each settlement. Eight (8) of these vendors have been considered especially on the basis of their business (see A6 List of Project Affected Persons in Annex) and will not fit in the market spaces offered. These will be compensated by looking for an alternative site within the settlement. 3.3 Socio-Economic Survey of PAPs The Socio-economic survey was conducted for the purpose of identifying:  Current occupants of the right-of-way  Standard characteristics of project affected persons (baseline information on livelihood, economic and social information)  The magnitude of the expected loss (total or partial)  Information on vulnerable groups or persons (for whom special provision may have to be made) 3.3.1 Kaptembwo A total of 239 potentially project affected persons (PAPs) were identified and interviewed in Kaptembwo. Socio-Demographic Characteristics of Respondents Nearly all of the affected structures are temporary business kiosks on which the PAPs sell various items within the settlement including: fabrics and textiles, foot wears, fruits and vegetables, ready- made food, soft drinks and snacks; fish; kitchen and household wares. The PAPs also provide services like hair dressing, dress making, shoe repair, wrist watch/clock repair. 67.2% of the identified PAPs are female while 32.8% are male. The average age of the identified PAPs is 35 years, the minimum age being 20 years while the maximum being 65. The average household size of the PAPs is five members. 100% of the identified affected structures are used for business purposes. 33 | P a g e Economic profile The gross daily income from business activities among PAPs in Kaptembwo was divided into three categories: About four-fifths (79.5%) of the respondents had a gross daily income of below Ksh.5000 (defined as small scale) while 13.1% had gross daily income of Ksh.5000 – Ksh.10, 000 (defined as medium scale.), and 7.4% with daily gross income above Ksh.10, 000 (defined as large scale). Analysis of the net daily income of the potential PAPs showed a variation from as low as below Ksh.500, to as high as over Ksh.5,000. However, half (50.4%) of the PAPs had net daily incomes below Ksh.500, while 40.6% had daily net incomes from Ksh.500 - Ksh.2,000, and 6.1% had a net daily income of Ksh.2,000 to Ksh.5,000. Only 2.9% of the PAPs reported daily net incomes above Ksh.5, 000. This again gives an idea about the possible burden of compensation for loss of income due to temporary dislocation that the PAPs may suffer. This also makes it imperative to compensate them for relocation, for this not to have serious negative impact on their lives. 3.3.2 Kwa Rhoda The identified and verified PAPs in Kwa Rhonda are 321. Nearly 100% of the affected structures are temporary business kiosks where PAPs do vending of vegetables and clothing. The following is the characterization of the PAPs identified in Kwa Rhonda: 71.8% of the identified PAPs are female while 28.2% are male. The average age of the identified PAPs is 37 years; the minimum age being 19 years while the maximum age being 78. The average household size is five. The economic profile of the PAPs is similar to the one for Kaptembwo settlement as the affected nature of business is similar and within the same environs. 3.3.3 Gilani The PAPs identified and verified in Gilani are 19. About 95% of the affected structures are temporary business kiosks on which the PAPs do their vending while 5% are residential. The following is the characterization of the PAPs identified in Gilani: 34 | P a g e 52.9% of the identified PAPs are female while 47.1% are male. The average age of the identified PAPs is 39 years, the minimum age being 25 years while the maximum being 76. The average household size of the PAPs is five. The economic profile of the PAPs is similar the one above for Kaptembwo and Kwa Rhonda settlement. 3.4 Cut-Off Date The entitlement cut-off date refers to the time when the assessment of persons and their property in particular sub project areas is carried out, which is the time when the census or economic survey was initiated. The consultant completed the census process for the project areas in Nakuru on December 18th 2012. This date is therefore the cut-off date. It is the opinion of the consultant that the completion of the census of the PAPs represents a provisional cut-off date. People moving to the project area after the cut-off date should not be considered as PAPs. It is recommended that the Client and/or the relevant Government Agencies or County Government of Nakuru should issue a formal notice prohibiting any further construction, capital improvements or approval of any construction on the project areas. 3.5 Valuation of Assets Valuation of assets in Gilani, Kaptembwo, and Kwa Rhoda was conducted by a qualified surveyor and a registered valuer between 16th and 20th September 2013 to ascertain individuals whose properties or livelihoods will be directly or indirectly affected by the project activities. Valuation was conducted on-site. A general principle adopted in the valuation is that lost income and assets will be valued at replacement cost such that the project affected populations should experience no net loss. This is in accordance with the KISIP Resettlement Policy Framework and World Bank operational policy on involuntary resettlement, OP 4.12. In line with the above principle, an all-encompassing survey and valuation of the assets and loss of income by the Project affected persons (PAPs) was conducted. In all the thtree settlement no person will loose land as they have all extended or constructed on the project way leave and since allocation has been done they will need to trim the structure to fit in the allocated plots. However, the tenants will need to move and seek for accommodation elsewhere 35 | P a g e while the small traders will lose livelihood. There will be monetary compensation to take care of demolitions and reconstruction and loss of livelihoods. The traders who will be displaced will be accommodated in the new markets being built in Kaptembwo and Kwa Rhonda). This substantially reduces the need for monetary compensation. As already stated, there will be no demolition of structures, hence structures will not be valued since PAPs will be allowed to dismantle their structures and reuse them at relocated locations or in the markets provided as alternatives. KISIP will provide supplementary assistance to affected PAPs. Depending on the type of materials used for the construction of structures, rates will be considered for cost of labour and transportation allowance. Basically two types of materials are prevalent: wood/plywood and steel. The rates that were confirmed to us by the PAPs and assessed by a certified valuer will apply and these are: 1. Transportation allowance for moving structures from project corridors: Kiosk (lock- up wooden shops) and open stall (dismantled wooden materials) Ksh.1000. 2. Cost of labour for dismantling the affected structure: Kiosk (lock-up wooden shops) and open stall Ksh.2,000 3. Allowance for income losses: at an average of Ksh.750 for 4 days. 3.6 Community Consultation and Participation Consultations with stakeholders, was initiated very early with preliminary meetings with County Government leadership and other stakeholders within Nakuru County. To date, KISIP have conducted series of consultations. Broad ranges of stakeholders, including state and county authorities, settlements leaders, non-Governmental organizations, Community Based Organizations, youth organizations and market associations in the project areas have been contacted. The consultations were aimed at identifying the best ways to mitigate the impacts the project is likely to have on the affected people. In each area, KISIP alongside the RAP consultant and the valuation experts conducted open forums with the PAPs to inform them about the proposed improvement projects and the need for some of them to either shift or get relocated away from the right of way in each of the four areas. 36 | P a g e The consultations carried out prior to the RAP study is a follow-up to the continuous consultations that KISIP has been carrying out since the conceptualization stage of this project. The KISIP implementation team has been very consistent with this approach to ensure that all stakeholders are adequately briefed about the project and their suggestions and inputs are included in total project design. This approach further strengthened the sustainability of the project. During consultation meetings, the PAPs from all the three settlements recognizes that they have encroached on the public way leaves and are wiling to remove their structures to pave way for the project. They recognize the benefits that the infrastructure improvement projects will have on their communities. However they regrets that they will be losing parts of their structures which they spent money constructing and some of their structures are business premises so a loss of livelihood. Fears of Relocation When asked about what their fears would be if their vending structures were to be relocated, the PAPs gave various responses, with economic/financial concerns predominating. For instance, 64.4% of the PAPs expressed concern about sales reduction and loss of customers; 25.6% expressed concern about the distance between their homes and the new location with implications for the cost of transportation; while 3.6% had concerns about the cost of maintaining business in the new location; and 3.9% concern about loss of livelihood and family sustenance. Moreover, 2.6% expressed concerns about loss of their investment in the current location (e.g. investment in erecting business structures); 2.9% were concerned about competition in the new place, while 14.2% expressed fear of the unknown. (i.e. not knowing what they would meet in the new location). Moreover, 3.8% expressed reluctance to be relocated; while 12.3% said they had no concerns about relocation. Furthermore, some vendors also expressed concerns about difficulties in adapting to new environments; distance from residence to new business locations; ‘starting all over again’, and cost of relocation. Preferred Types of Assistance However, when asked about the forms of assistance that they would need if their structures were to be relocated, many (45.6%) of the PAPs preferred to be given financial assistance/loan; and 37.2% 37 | P a g e to be provided with another business space/market. Other forms of assistance wished by the PAPs include: assistance in kind (10.7%); assistance with the cost of transportation between their homes and the new location (3.9%); and provision of alternative means of livelihood (1.3%). However, 1.3% of the PAPs expressed no need for any form of assistance. 38 | P a g e 4 COMPENSATION AND RESETTLEMENT ASSISTANCE 4.1 Eligibility Criteria The World Bank Resettlement Policy/Guidelines require compensation for the lost assets and replacement costs to both titled and non-titled landholders and resettlement assistance for lost income and livelihoods. In this project, the absence of formal titles will not constitute a barrier to resettlement assistance and rehabilitation. Further, the principles adopted herein contain special measures and assistance for vulnerable affected persons, such as female-headed households, disabled persons, and the poor. Persons affected by land acquisition, and relocation and/or rehabilitation of structures/assets, Small Business Enterprises (SBE) houses, etc., are entitled to a combination of compensation measures and resettlement assistance, depending on the nature of ownership rights of lost assets and scope of the impact, including social and economic vulnerability of the affected persons. In general terms, the affected persons in the project area will be entitled to various types of compensation and resettlement assistance that will help in the restoration of their livelihoods, at a minimum, to the pre- project standards. The qualified PAPs that are eligible for compensation and other project assistance include: 1. Those PAPs that are on the way leaves for drainage and roads. 2. PAPs that will have to demolish part or whole of their dwellings. 3. PAPs who require to transport their properties to another location. 4. PAPs that need to carry out re-construction works due to either relocation or shifting backwards. 5. PAPs whose income will be impaired. 4.2 Entitlement Matrix In line with World Bank Involuntary Resettlement Policy OP 4.12 supplementary assistance is support provided to people who are physically displaced by a project, which may include transportation, food, shelter, and social services that are provided to affected people during their relocation (Table 5). Assistance may also include cash allowances that compensate affected people 39 | P a g e for the inconvenience associated with resettlement and defray the expenses of a transition to a new locale, such as moving expenses and lost market days. The affected vendors that will be entitled for supplementary assistance include:  Affected business stalls (shop extensions) will not be relocated but will be required to move backwards  Tenants who are small traders will lose their market and livelihood for a few days. The supplementary assistance will vary from; cost of transportation, cost of labor, and allowance for income losses. In doing so, priority will be given to the vulnerable groups like aged persons, widows, single mothers etc. Such priorities will include: where transportation and labor are required, KISIP shall specifically assist to get vehicles/drivers and labor respectively. In addition, for loss of income, they shall be given prompt compensation before any other PAP. Table 4.1: Entitlement Matrix TYPE OF CATEGORIES OF ENTITLEMENT LOSSES AFFECTED PERSONS Loss of access All types of affected  No cash compensation or land replacement for loss of to the road persons land at the project area in the three settlements. This is reserve as because public way-leaves are public property and the space for PAPs are considered as squatters. But affected persons business will be given alternative space for business, e.g. inside the markets. Loss of Relocation of open  Alternative place for business will be provided by the business stalls, wooden stalls, County Government for all affected PAPs. premise kiosks etc.:  Movement allowance to cover the cost of moving a) Land and business structures (transport plus loading/unloading) shall be owners provided by KISIP. b) Business owners  Cost of labour for dismantling and reconstruction will who are not land also be provided by KISIP. 40 | P a g e owners  Owners of affected structures will be allowed to c) Vendors take/reuse all the salvageable materials for d) Tenants rebuilding/rehabilitation of the structure. Relocation of mobile  The County Government shall liaise with appropriate vendors: market associations to provide space in nearby markets for the vendors. a) Business owners who  For a location that is far (50 m), transfer allowance to are not land owners cover transportation will be provided by KISIP. b) Vendors c) Itinerants Shifting of vendors’ KISIP will provide materials (nails, fittings, cement etc.) stalls and shops and labour cost for dismantling and reconstruction of affected vendors stalls and shops including landlords. Loss of Only PAPs that will KISIP will provide allowances in lieu of lost daily profit income from be relocated to the for 4 days. business market Transport allowances will be provided to the PAPs to premises allow the transport of their salvaged structures. Vulnerable group KISIP shall provide loss in daily profit to all identified vulnerable group 4.3 Notification The PAPs will be served with adequate notice of 30 days to relocate upon compensation and before the commencement of works. All the stakeholders in the project e.g. KURA, NEMA, KPLC, will also be notified of the relocation exercise. 41 | P a g e 4.4 Payment of Compensation In line with the World Bank operational policy on involuntary resettlement (OP 4.12), KISIP will ensure that the conditions of PAPs are restored to the status that is at the minimum commensurate to their pre-project status. List of all PAPs has been documented in the PAP register. In addition, every person affected by the project registered with their national identification card for easy identification for possible compensation. The register has among other parameters indicated the name of the person, business type, and identification number. The identity cards will serve as the major identification for restitution. The RAP implementation will verify the correctness of each PAPs as stated in the register and ascertain that every identity card holder is correctly documented in the register. On completion of the PAP audit list, the Project Coordinator will setup a team that will carry out payment and compensation. This team will consist of KISIP’s accountant, legal and a social safeguard expert including representatives of the County Government and SEC. 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: 1. Dates and locations of payment 2. List of eligible people and amount 3. Mode of payment etc. An appropriate framework to deliver the compensation payments to the PAPs will be decided by KISIP in line with government financial management regulations and as much as possible keeping in mind that most PAPs have no bank accounts. In the event that an individual is absent during payment, the compensation committee will immediately communicate a new date of payment to such individual(s). 42 | P a g e 4.5 GRIEVANCE REDRESS MECHANISM Given the enormity of the challenges associated with grievance redress, the consultant recommended a dispute resolution mechanism in which, as far as possible, all disputes are resolved at the community level. A community grievance committee was formed at the settlement level which should mediate conflicts that arise at settlement level. An appeal from the settlement grievance committee lies to a joint grievance committee made up of SEC representatives, at least representatives from a Non-Governmental Organization (NGO), three officers representing the client from the KISIP Municipal Team- heads of component 3, which should include legal expertise and accountant, and representation from KURA. It is recommended that the team should be chaired by the Municipal KISIP Coordinator. The legal expert from the joint grievance committee shall be the secretary of the committee and they shall meet once every week to address pertinent issues raised. The functions of the Grievance Redress Committee are:  Provide support to affected persons on problems arising from loss of business area and/or eviction from the setbacks;  Record the grievance of the affected persons, categorize and prioritize the grievances that need to be resolved by the Committee; and  Report to the aggrieved parties about the developments regarding their grievances and the decision of the Project authorities. The main objective of the grievance redress procedure will be to provide a mechanism to mediate conflict and cut down on lengthy litigation, which often delay such infrastructure projects. It will also provide people who might have objections or concerns about their assistance, a public forum to raise their objections and through conflict resolution, address these issues adequately. The committee will undertake a highly consultative process for the project. The committee will provide ample opportunity to redress complaints informally, in addition to the existing formal administrative and legal procedures. However, the major grievances that might require mitigations include: a) Affected persons not enlisted; 43 | P a g e b) Losses not correctly identified; c) Inadequate assistance or not in line with entitlement matrix; d) Dispute about ownership; e) Delay in disbursement of assistance; and f) Improper distribution of assistance. It is the responsibility of the grievance redress committee to satisfactorily address all complaints brought by the project-affected persons. On the condition that an affected person is not satisfied with the decisions of the committee to the appeal level, such person has an opportunity to seek the intervention of the formal judicial mechanisms. Fig 1: Grievance Redress Mechanism First Instance: Local mediation with ruling under the auspices of settlement grievance Committee, and area chief. If not successful Second Instance: Joint Committee SEC representative, at least representatives from two Non Governmental Organizations (NGOs), three officers representing the client from the KISIP municipal Team- heads of component 3 and representation from KURA, in the presence of legal counsel. If not successful Third Instance: Court of Law according to Kenyan laws with legal representation of PAP. 44 | P a g e 4.6 IMPLEMENATION SCHEDULE The implementation schedule for this RAP covers the periods from the preparation of the RAP to the conclusion of the envisaged projects in the three settlements (Kwa Rhonda, Gilani, and Kaptembwo) to the completion and the time that the infrastructure will be fully available to full use. It should be noted that the procedure in the schedule starting from notification of the PAPs before their displacement through compensation and resettlement will be done in phases to synchronize with the various phases of the project. The RAP Implementation schedule defines the duration and timing of the key milestones and tasks. The major component tasks for the schedule include:  Preparation of RAP  Consultation and Disclosure of RAP  Audit of the PAP register and compensation package due to each PAP  Signing of agreements on compensation packages by PAPs  Resolving emerging grievances  Compensation and/or Supplementary assistance  Notification of PAPs to relocate  Commencement of project operations  Monitoring and evaluation, including baseline update Table 6.1 shows the implementation schedule specifically for relocation of PAPs within the Project beneficiary areas; this however will be developed in further details and timeline after the World Bank Review and approval. Table 6.1: Proposed Implementation Schedule Activity Weeks from Approval of RAP Report 1 2 3 4 5 6 7 8 9 10 11 12 Approval of RAP Disclosure of the RAP Report 45 | P a g e Audit of the RAP report to verify PAP and compensation details Signing of compensation and relocation assistance agreements Resolution of conflicts and Grievances Payment of compensation to PAPs and facilitation of relocation Issuance of notices for relocation Actual relocation Commencement of works Monitoring of the resettlement activities Post – Relocation activities 46 | P a g e 5 MONITORING AND EVALUATION 5.1 Objectives of Monitoring and Evaluation Monitoring and Evaluation (M&E) procedures establish the effectiveness of all land and asset acquisition and 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 KISIP project will be to verify that:  Actions and commitments described in the RAP are implemented;  Eligible project affected people receive their full compensation prior to the start of the rehabilitation activities on the project area;  RAP actions and compensation measures have helped the people who sought cash compensation in restoring their lost incomes and in sustaining/improving pre-project living standards;  Complaints and grievances lodged by project affected people are followed up and, where necessary, appropriate corrective actions are taken;  If necessary, changes in RAP procedure are made to improve delivery of entitlements to project affected people. The World Bank operational policy (OP 4.12) states that the project sponsor (KISIP) is responsible for adequate M&E of the activities set forth in the resettlement instrument. Monitoring will provide both a warning system for the project sponsor (KISIP) and a channel for the affected persons to make known their needs and their reactions to resettlement execution. KISIP monitoring and evaluation activities and programs would be adequately funded and staffed. In-house monitoring may need to be supplemented by independent monitors to ensure complete and objective information. Accordingly, the primary responsibility for monitoring rests with KISIP. Interestingly, KISIP already has an Environmental and Social safeguard team, and an implementation-monitoring unit. These different groups, in cooperation with each other and with guidance from the External actors will monitor the project. 47 | P a g e 5.2 Monitoring and Evaluation Framework The RAP monitoring plan and framework is adopted from IFC (Handbook for Preparing a Resettlement Action Plan). It involves:  Internal monitoring by KISIP;  Impact monitoring commissioned to specialized firms; and  RAP Completion Audit Table 7.1: RAP Monitoring Plan Component Type of Source of Responsibility Frequency/ Activity Information/ Information/ for Data Audience of Data Collected Data collection Collection, Reporting Methods Analysis and Reporting Performance Measurement of Monthly or KISIP PCT Semi-annual/annual monitoring input indicators quarterly narrative KISIP County as required by KISIP against proposed status and Team, and World Bank time table and financial reports SEC budget including procurement and physical delivery of goods, structures and services. Impact Tracking Quarterly or semi- Project Annual or more monitoring effectiveness of annual resettlement frequently as inputs against quantitative and unit or required by KISIP baseline qualitative surveys contracted and WB indicators external Regular public monitoring Assessment of meetings and agency PAP satisfaction other consultation 48 | P a g e with inputs with people affected by the project; review of grievance mechanism outputs Completion Measurement of External Contracted On completion of audit output indicators assessment/sign- external the RAP time table such as off report based auditing and as agreed between productivity on performance evaluation KISIP and WB gains, livelihood and impact agency restoration, and monitoring developmental reports, impact against independent baseline surveys and consultation with affected persons Table 7.2: RAP Monitoring Framework 1. Verify internal RAP implementation reports by a field check of the following: • Payment of compensation including its levels and timing • Settlement of land/resource access claims • Preparation and adequacy of resettlement sites • Housing construction • Provision of employment, its adequacy and income levels • Adequacy of training and other developmental inputs 49 | P a g e • Rehabilitation of vulnerable groups • Infrastructure repair, relocation or replacement • Enterprise relocation, compensation and its adequacy • Transition allowances 2. Interview a random sample of affected people in open-ended discussion to assess their knowledge and concerns regarding the resettlement process, their entitlements and rehabilitation measures. 3. Observe public consultations with affected people at the village or town level. 4. Observe the function of the resettlement operation at all levels to assess its effectiveness and compliance with the RAP. 5. Check the type of grievance issues and the functioning of grievance redress mechanisms by reviewing the processing of appeals at all levels and interviewing aggrieved affected people. 6. Survey the standards of living of the affected people (and of an unaffected control group where feasible) before and after implementation of resettlement to assess whether the standards of living of the affected people have improved or been maintained. 7. Advise project management regarding necessary improvements in the implementation of the RAP, if any. 50 | P a g e 6 COST AND BUDGET The project has made the necessary budget provisions to ensure that the mitigation commitments, including compensation and the monitoring programs can be fully implemented. The population affected by this project, includes people occupying land on the road reserve in violation of Kenyan laws. These groups of people; who are often referred to as squatters, are not entitled to compensation for loss of land under both the OP 4.12 and the government of Kenya laws. However, they are entitled to compensation for any improvement made to the land as well as to resettlement assistance if they occupied the project area before an established cutoff date. The estimated compensation sum has excluded the value of land, due to it being designated as a road reserve and therefore no individual has a legal ownership claim on any part thereof. The overall budget for the resettlement action plan is presented in Table 8.1. Table 8.1: Proposed budget for RAP in Kaptembwo, Gialni and Kwa Rhonda No Budget Item Proposed Budget (Kshs.) 1 Payment for resettlement assistance in the form of: 3.54M i. Loss of income for four days ii. Transport allowance to allow them transports their salvaged structures. iii. Labour cost for dismantling the affected structures. 2 Resettlement Activities 1M i. Auditing and verification of PAP register and compensation packages ii. Grievance Redress mechanism iii. Issuance of notices 51 | P a g e iv. Facilitating PAPs to move to the new markets v. Supervision and monitoring of resettlement activities vi. Community consultations vii. Meetings of resettlement Committees 3 Implementation of post-project community support activities 0.5M including monitoring and evaluation of resettlement impacts Sub-Total 5.04M 4 Add 10% contingencies 0.504M TOTAL 5.544M 52 | P a g e 7 DISCLOSURE This RAP will be publicly be disclosed by KISIP which will make copies available at its offices, County Government Offices in Nakuru, as well as on the Ministry of Lands Housing andUrnab Development website. KISIP will organize the presentation of this report to the various stakeholders (SEC, traditional leaders, County Government and other Governmental Agencies). The following process will be used to disclose the RAP:  The RAP will be placed in designated places and at least through the construction phase. This will be the MoLH&UD offices in Nairobi, Nakuru County Offices, NEMA office in Nakuru, and Community Library in Nakuru.  The RAP will be placed on the MoLH&UD website throughout the period of the project.  A Public disclosure meeting will be held in all the settlements where all the PAPs and stakeholders will be present. The main objectives are to: 1. Inform and explain the entitlement policy and various options to the affected people (APs) prior to financial assistance; 2. Socially prepare the affected persons for relocation; 3. Help counter rumors and prevent unnecessary distress; 4. Bring clarity on issues that might be raised by the affected persons about their entitlements and benefits through question-and-answer sessions; 5. Attempt to ensure that vulnerable groups understand the process and their needs are specifically taken into consideration. 53 | P a g e 8 CONCLUSION The construction of the proposed infrastructure (roads, footpaths, drainage, ablution blocks, security lightning and gabions) will greatly improve the living conditions of the inhabitants in all the three settlements. With the implementation of mitigation measures such as this RAP, the overall social impacts of the project will be minimal. The project will also offer significant socio-economic opportunities for communities and the population of the area. 54 | P a g e ANNEXES A1 Maps of the Affected Areas 55 | P a g e 56 | P a g e 57 | P a g e A2 MINUTES OF THE COMMUNITY CONSULTATION SESSIONS MINUTES OF A MEETING WITH THE CHIEF KAPTEMBWA LOCATION AT HIS OFFICE ON 10TH DECEMBER 2012 MEMBERS PRESENT 1. Kipkemoi Koech Chief- Kaptembwa location 2. Salma Sheba Pamoja Trust 3. Rajab Mutunga Chaiman Kwa Rhonda settlement 4. John Mumanyi SEC member 5. Marlon Konchellah Pamoja Trust 6. Gladys Meriaro Resident Kwa Rhonda 7. Daniel Mwinge Resident Kwa Rhonda 8. Danson Maina Pamoja Trust 9. James Ketta Pamoja Trust 10. John Ochieng Resident Kwa Rhonda 11. Samuel Ngugi Jasho chairman 12. John Momanyi SEC member 13. Said Murango SEC member Agenda 1. Awareness creation of the proposed project to the local administration 2. Soliciting support from the local administration in solutions to the PAPs fate 3. A.O.B AGENDA ACTION POINT The meeting started by introductions of the persons present and main agenda was briefed. The group presents were settlement executive committee and Pamoja Trust. The object of the meeting was introduced by Rajab Mumanyi and the chief was briefed of the object of KISIP project within Kwa Rhonda, Kaptebwa and Gilani settlements. It was emphasize that the project at hand was to develop a relocation action plan for the project affected persons (PAPs) and seeking solutions proposals on how best to deal with the PAPs. The maps showing the proposed projects to be undertaken in the three settlements were shared with the chief to identify possible affected persons. The chief assured the parties present that his office is willing and ready to support the implementation of the project. He directed the settlement elders to assist identify the affected persons within their area and summoned them for the PAPs meeting scheduled for that afternoon. 58 | P a g e MEETING WITH SEC MEMEBERS IN NAKURU ON 8/12/2012 AT AGC CHURCH Present: 1. (see attached list of participant) Agenda: 1. SEC buying in on the project plans and call for assistance in convincing the PAPS to move from the project area. 2. A.O.B MIN 1/12/2012 INTRODUCTION The chairman of Kaptembwa opened the meeting by a prayer. All members introduced themselves and their portfolio. The agenda for the meeting was introduced by the consultant. MIN 2/12/2012 PROJECT PLANS Concerns were raised as to when the project is likely to start to avoid asking the PAPs to move and then delays of the projects result in anxieties and possible victimization during this election period. Salma -redirected the meeting by stating the position and the function of the meeting. Kwa Ronda has seven clusters, suggestion was made for a meeting to be carried in everyone of this area but it was also noted that by having to involve everyone the process might encounter challenges by carrying along people who might not be affected. The settlement representatives were given the MAP to review and give tentative position. Way forward- It was agreed that a visit to the PAPs should start with Kwa Roda on Monday. Meet with elders at Chief’s office. Kaptembwa consultations meeting with PAPs to be on Tuesday morning and Gilani Tuesday. 59 | P a g e MINUTES OF A MEETING WITH PAPS AT GILANI SETTLEMENT ON 11/12/2012 Present (See attached list of participant) Agenda 1. Consensus building with PAPs 2. Agree on the way forward 3. A.O.B PROCEEDINGS OF THE MEETING The meeting started at 3.00pm by a prayer and introductions. The objective of the meeting was made known to the participants. The area SEC chair shared the history of the settlement to clarify land tenure situation in the settlement. The projects to be implemented within Gilani as prioritised by the community were reviewed and agreed upon. It was noted that land within Gilani was demarcated and titles issued. From this meeting with it was noted that the project area was not adversely affected. The project area is in public land already dedicated as way leave. The few affected structures are temporary in nature and semi-permanent kiosks. About 36 PAPs were identified. The affected persons undertook to remove their structure in good time before the implementation of the project. From the meeting it emerged that no compensation was required for resettlement as the affected persons had their lands clearly demarcated and those who extended their structures to the road reserve were fully aware of the consequences. It was agreed that the project will possibly start around June and by then all the PAPs should have relocated from the project area. The meeting ended at 5.30pm 60 | P a g e MINUTES OF THE PAPS AND STAKEHOLDERS MEETING KWA RHODA ON 10/12/2012 Present (See attached list of participant) Agenda 1. Consensus building with PAPs 2. Agree on the way forward 3. A.O.B The meeting started at 3.00pm by a prayer and introductions. The objective of the meeting was made known to the participants. Mr. Terer shared the history of the settlement to clarify land tenure situation in the settlement. It was agreed that the direction to take is the PAPs to agree on whether they will accept to move From consultation with the project affected persons and stakeholders it was noted that the project area was not adversely affected, as the required land is public land already dedicated as way leave. The few affected structures are temporary in nature and semi-permanent kiosks. The affected persons undertook to remove their structure in good time before the implementation of the project. From the meeting it emerged that no compensation was required for resettlement as the affected persons had their lands clearly demarcated and those who extended their structures to the road reserve were fully aware of the consequences. On the other hand those with semi-permanent kiosk running business along the project area will easily fit into the new market under construction and will be given priority when allocation is done. 61 | P a g e A3 PHOTOGRAPHS 62 | P a g e 63 | P a g e A4 INTERVIEW GUIDE USED TO COLLECT DATA ON PAPS 64 | P a g e A5 LIST OF PROJECT AFFECTED PERSONS 65 | P a g e 66 | P a g e ANNEX 8 PARTICIPANTS LISTS 67 | P a g e