REPUBLIC OF KENYA MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT KENYA INFORMAL SETTLEMENT IMPROVEMENT PROJECT PLANNING & SURVEYING OF SELECTED INFORMAL SETTLEMENTS, CLUSTER 4, NYERI COUNTY CONTRACT NO. MLHUD/KISIP/ CS/005D/2013-2014 ABBREVIATED RESETTLEMENT ACTION PLAN REPORT CHORONGI 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 Development Agency Funding Agencies Government of Kenya, World Bank, AFD, SIDA Consultants LER CONSULT LIMITED Start Date March, 2017 Completion Date March, 2018 Team Leader Prof. Plan. Caleb Mireri Target Settlement Chorongi 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 NMSP Nairobi Metropolitan Services Project NYEWASCO Nyeri Water & Sewerage Company Limited iii 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. Compensation/Facilitation means payments made in cash 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 is the date the census begins. 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. 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. labor support. 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. v 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 Living with 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 Chorongi informal settlement – one of the former colonial villages - is one of the beneficiary settlements. Chorongi informal settlement is located in Ruring’u ward, Nyeri Town Constituency, Nyeri Central Sub-County in Nyeri County. The settlement, measures approximately 10.2 acres with a population of 147 people currently residing there. As a first step, towards accomplishing the key development objective (of regularizing the tenure), a settlement Local Physical Development Plan (LPDP) was prepared which led to some minor adjustments into the existing settlement structure/inhabitation. Consequently, 12 persons were affected. Towards addressing the impact on structures, livelihood and vulnerability, an Abbreviated Resettlement Action Plan1 (ARAP) was prepared. This Plan is 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 at preparation and approval by the World Bank. Institutional and implementation arrangements developed are captured in the table below. Institutional and Implementation Arrangements Table 0-1 Institutional and Implementation Arrangements in the KISIP Project Actor Responsibility i. KISIP Secretariat: This is - Tasked with overall coordination and execution of the Project. the National KISIP Team - Procurement of consultants to undertake Planning and Survey for 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 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 Chorongi, 12 PAPs have Been Affected). 2 Tenure Regularization Processes are described in detailed in Chapter 2 vii ii. County KISIP Team: this is - Tasked with implementing National KISIP directives within the county. National KISIP - The main link between the Settlement Executive Committee (SEC) and the representation at the County National KISIP. Level - 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 selected - Tasked with selection of Informal settlements to undergo tenure regularization counties where KISIP - Facilitate all KISIP interventions in selected informal settlements. Project interventions are - Approval of Local Physical Development Plans for planned settlements. being undertaken 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 all KISIP community representation in Tenure Regularization activities. the KISIP Project v. The Community: This is the - Actively participate in consultations and sensitizations of tenure regularization primary stakeholder that process being carried out by KISIP will benefit from KISIP - Guide the whole process of tenure regularization by ensuring it is beneficial to tenure regularization them interventions - Validate and approve at the settlement level prepared Local Physical Development Plan. vi. The Consultant: A - In consultation with relevant stakeholders prepare Local Physical Development professional in the field of Plans, carry out Survey and prepare Resettlement Action plan to mitigate any urban planning tasked with displacement impacts Planning and Survey of - Ensure all plans are approved by all relevant authorities selected informal settlement - Present a validated and accurate list of Tenure regularization beneficiaries in the planned and surveyed settlement. Planning and Survey in Chorongi In March, 2017 KISIP started a participatory planning and survey process in Chorongi informal settlement, which was expected to culminate in tenure regularisation for the residents. The informal settlement had a draft LPDP prepared in 2003. Since this plan had not been approved, it was not implemented. In addition, spatial changes had taken place on the ground since the draft LPDP was prepared, where some beneficiaries had built structures extending into proposed road reserves. Therefore, the consultant was tasked with reviewing and preparing a new LPDP and undertaking survey which will culminate to issuance of title deeds to beneficiaries. Land Titling In Chorongi Land titling in Chorongi 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 viii identifying existing plot boundaries of beneficiaries which led to the preparation of the settlements Base Map. A community visioning process where beneficiaries proposed expansion of the main roads in the settlement and realignment of boundaries that were not regular, informed the preparation of 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 way leaves. This informed the successful first level of approval of the Plan by the community with the plan generating 33 plots comprising of 2 churches, 1 public dispensary, 1 public primary school, 1 cattle dip area, 1 commercial area, 1 community centre and 26 individual owned plots. The breakdown on the individually owned plots is as follows:  1 plot is co-owned by 4 female beneficiaries  1 plot is co-owned by 3 male beneficiaries  1 plot is co-owned by 4 male beneficiaries and 1 female beneficiary  19 plots are owned by individual male beneficiaries  4 plots are owned by individual female beneficiaries The commercial area title will be held by the County Government of Nyeri and the permanent Secretary, National Treasury. Therefore, the total number of direct beneficiaries is 42 A Road hierarchy of 10m, 9m and 6m roads was adopted. The consequent approval of the plan by the County and Director of Physical Planning formed 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. All Project Affected Persons were adequately sensitized and consulted. 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 positive primary impact is issuance of title deeds to beneficiaries. In Chorongi Settlement, no beneficiary completely lost land they had occupied through this process of tenure regularization but minimum portions of land were surrendered to road reserves in order to provide access. The beneficiaries were adequately sensitized during the community visioning that the minimum portions of land handed over to road reserves were necessary to facilitate ix 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 and quantification of all losses/impacts that will result from the implementation of the proposed land tenure regularisation 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 Chorongi informal settlement, which affects 12 persons, of which 1 is a trader and 4 are vulnerable. Table 0-2 PAP categorization in Chorongi Informal settlement Type of Pap Number Category Number Structure Owner PAP 12 Vulnerable PAP 4 Total 12 Survey results shows that more male PAPs have been affected at 83% while women are 17%. 42% of the affected PAPs are married. A larger proportion had primary education qualifications (50%) followed by secondary education (42%) and adult education (8%). The occupation profile for the PAPs shows that majority of them are casual labourers (58%). 26% of the PAPs are self-employed. 4 PAPs were identified as vulnerable. Table 0-3 PAP flow Information table PAPs-12 Male-10 Female -2 Vulnerable -2 Non Vulnerable- 8 Vulnerable-2 Vulnerable PAPs 2 male PAPs were classified as vulnerable because they were above 65 years of age. In addition, 2 female PAPs were also identified as female household heads therefore vulnerable. Apart from entitlements as outlined in the KISIP RPF, these PAPs will also be recommended for enrolment into the unconditional national safety net programmes such as Inua Jamii and the Older Persons Cash transfers (OPCT) programmes run by the government of Kenya Ministry of Gender, Social Services and Sports. These provide a monthly stipend for qualifying older persons. As part of additional assistance during relocation, the RIC x and SEC will ensure that Vulnerable PAPs are assisted in reconstruction of affected structures during implementation period of this ARAP. Project impacts The results of the inventory of affected structures in Chorongi informal settlement revealed that a total of 14 structures. The impacts on structures are twofold: loss due to inter-boundary realignment; and loss due to road expansion, whereby 3 structures were affected by road expansion while 11 structures were affected by inter-boundary realignment. In terms of magnitude of impact, 7 structures were fully affected while 7 structures were partially affected. 12 non-food trees and 10 fruit trees will be affected during the exercise. Table 0-4 Structure Related Impacts Cause of Impact Number of affected Type of Impact Number of affected structures structures Boundary 11 Fully Affected 7 Alignment Road Expansion 3 Partially Affected 7 Total 14 Total 14 Table 0-5 Affected structures in Chorongi Informal settlement Structure Road expansion Boundary readjustment Total structures Pit latrine 0 3 3 Farm house 0 1 1 Main house 2 7 9 Kiosk 1 0 1 TOTAL 3 11 14 There were no complete or localised displacements or relocations in the settlement. All PAPs were retained within their locations or parcels occupied. Since planning was done in-situ – i.e. planning the settlement ‘as is’ with minimal disruption to residents’ lives,3 there was minimal reduction of parcel sizes to provide for access and enable tenure regularization. This provision was endorsed and agreed upon by the community so as to ensure the titling output is achieved - a benefit the community felt overrides the minimal reduced plot sizes given the PAPs in Gitero informal settlement occupy public land. More so, the benefits of a title also include increased value of land that enhances investments and eliminates chances for eviction as the community indicated during meetings. 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 3 Refers to Planning and Upgrading of a settlement ‘as is’ i.e. the way people have settled. This means modification of boundary alignments is minimal with less disruptions. Planning exercise mostly 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. xi 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).4 ARAP matters were discussed during these meetings. In addition, an ARAP PAP sensitization, final verification of beneficiaries and presentation of draft ARAP was held on 6th March 2018 in the settlement. This meeting was attended by the PAPs (9 male and 3 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 Table 0-6 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female th 1. Stakeholders 14 County Government of 2 1 Introduction to the consultation March, Nyeri settlement and meeting 2017 KISIP Nyeri 1 0 sensitisation on the Community Members 21 10 planning process National Land 2 1 Commission Total 26 12 2. Planning process 30th Community Members 23 5 Presentation and March, County Government of 2 0 discussion of the 2003 2017 Nyeri draft plan. KISIP Nyeri 1 0 Community Visioning KISIP Nairobi 2 0 National Land 0 2 Commission National Government 1 0 Total 29 7 th 3. LPDP & List of 4 April, County Government of 2 1 Beneficiary validation Beneficiaries 2017 Nyeri and tentative PAP validation KISIP Nyeri 1 0 identification National Government 1 1 KISIP Nairobi 2 3 Community Members 40 13 4 An additional meeting had been held by KISIP to introduce the consultant to the community. xii Total 46 18 th 4 PAP verification 6 County Government of 3 0 This recalled the March, Nyeri ARAP process and 2018 National Government 0 1 discussed the draft NLC 1 0 ARAP report before Community members 9 4 approval. ARAP implementation Total 13 5 process and proposed grievances redress mechanism were discussed. Gender concerns on land tenure raised. Verification of the PAP register 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 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. ARAP Implementation Budget All persons affected by the project and meeting the cut-off date of 12th 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. Facilitation of structures will be done concurrently with issuance of titles. This information has been redacted for confidentiality and to protect privacy. 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 will be 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 will document all grievances and their resolution status and will be used to monitor GRM progress. xiii 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 RAP 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 RAP 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 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 (GBV) 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 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 way leaves after the expiry of self-demolition period as well as protecting the road reserves from future encroachment by beneficiaries and/or any other actors. xiv  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. xv TABLE OF CONTENTS FACT SHEET ...........................................................................................................................................................ii LIST OF ACRONYMS .......................................................................................................................................... iii EXECUTIVE SUMMARY ................................................................................................................................... vii Project description ........................................................................................................................................vii Institutional and Implementation Arrangements ..........................................................................................vii Planning and Survey in Chorongi .............................................................................................................. viii Land Titling In Chorongi ........................................................................................................................... viii Planning and Surveying Impacts ................................................................................................................... ix Impacts on Project Affected Persons (PAPs) ................................................................................................. x Vulnerable PAPs ............................................................................................................................................ x Project impacts .............................................................................................................................................. xi Approach and Methodology .......................................................................................................................... xi Community Consultation and Participation .................................................................................................xii Implementation of the ARAP ..................................................................................................................... xiii ARAP Implementation Budget .................................................................................................................. xiii Grievance Redress Mechanism .................................................................................................................. xiii Monitoring and Evaluation.......................................................................................................................... xiv Commitments .............................................................................................................................................. xiv LIST OF TABLES ..................................................................................................................................................xx CHAPTER ONE ....................................................................................................................................................... 1 INTRODUCTION .................................................................................................................................................... 1 1.1 Introduction ......................................................................................................................................... 1 1.2 Chorongi Informal Settlement ............................................................................................................. 2 1.3 KISIP’s Interventions in Chorongi Informal Settlement..................................................................... 3 1.4 Objective of the ARAP ....................................................................................................................... 4 1.5 Scope of the ARAP ............................................................................................................................. 4 CHAPTER TWO ...................................................................................................................................................... 6 LAND TENURE REGULARISATION AND TITLING IN EYING OF CHORONGI INFORMAL SETTLEMENT ......................................................................................................................................................... 6 2.1 Introduction to Land Titling ................................................................................................................ 6 2.2 Planning Phase .................................................................................................................................... 9 2.2.1 Community Sensitization on Planning ........................................................................................ 2 2.2.2 Preparation of informal settlement base maps ............................................................................. 3 2.2.3 Socio-economic survey of the settlements ................................................................................... 6 2.2.4 Community Participatory Visioning Workshop .......................................................................... 7 2.2.5 Preparation and Discussion of development proposals ............................................................... 7 2.2.6 Validation of Plan and List of Beneficiaries .............................................................................. 12 2.2.7 Plan approval ............................................................................................................................. 12 2.3 Surveying Phase ................................................................................................................................ 12 2.4 Safeguarding of Chorongi Informal Settlement from Land Grabbing .............................................. 12 2.5 Issuance of Titles ............................................................................................................................... 12 2.6 Continuous Community Sensitization on Title Registration ............................................................ 13 CHAPTER THREE ................................................................................................................................................16 POLICY AND LEGAL FRAMEWORK ..............................................................................................................16 3.1 Introduction ....................................................................................................................................... 16 3.2 The Constitution of Kenya of 2010 ................................................................................................... 16 3.3 The National Land Policy (2007) ...................................................................................................... 17 3.4 Relevant Local Laws for Resettlement ............................................................................................. 18 xvi 3.4.1 The Environment and Land Court Act, 2012............................................................................. 18 3.4.2 The Land Act, 2012 ................................................................................................................... 19 3.4.3 The Valuers Act Cap 532 ........................................................................................................... 19 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 ............................................................................................................................ 19 3.5 KISIP’s Resettlement Policy Framework ......................................................................................... 20 3.6 World Bank’s Operational Manual OP 4.12 on Involuntary Settlement .......................................... 21 3.7 Comparison between the Government of Kenya (GoK), and World Bank Guidelines .................... 22 3.7.1 Supporting Principles ................................................................................................................. 28 CHAPTER FOUR...................................................................................................................................................29 APPROACH AND METHODOLOGY.................................................................................................................29 4.1 Introduction ....................................................................................................................................... 29 4.2 Review of Relevant Documents ........................................................................................................ 29 4.3 Community and stakeholder consultation ......................................................................................... 30 4.4 Census of the Project Affected Persons ............................................................................................ 31 4.5 Inventory of Vulnerable Groups ....................................................................................................... 32 4.6 Categories of Vulnerable PAPs in Chorongi Informal Settlement ................................................... 33 4.7 Inventory of Affected structures and Valuation Methodology ......................................................... 33 4.6.1 Valuation of structures ............................................................................................................... 33 4.6.2 Valuation of Trees...................................................................................................................... 34 4.6.3 Livelihood Restoration............................................................................................................... 34 4.8 Cut-off date ....................................................................................................................................... 35 CHAPTER FIVE ....................................................................................................................................................36 PUBLIC CONSULTATION AND PARTICIPATION ........................................................................................36 5.1 Introduction ....................................................................................................................................... 36 5.2 Objectives of public participation ..................................................................................................... 36 5.3 Stakeholders ...................................................................................................................................... 37 5.4 Community Meetings and issues raised ............................................................................................ 37 CHAPTER SIX .......................................................................................................................................................40 PROJECT IMPACTS .............................................................................................................................................40 6.1 Introduction ....................................................................................................................................... 40 6.2 Positive Impacts of the Project .......................................................................................................... 40 6.2.1 Secure land tenure ...................................................................................................................... 40 6.2.2 Improved housing ...................................................................................................................... 41 6.2.3 Improved infrastructure ............................................................................................................. 41 6.3 Negative impacts of the project ......................................................................................................... 41 6.3.1 Reduced Plot sizes ..................................................................................................................... 42 6.3.2 Loss of Structures ...................................................................................................................... 42 6.3.3 Loss of livelihoods ..................................................................................................................... 43 6.3.4 Increased vulnerability among the elderly persons and Female Headed Households ............... 43 6.3.5 Summary of losses ..................................................................................................................... 43 CHAPTER SEVEN ................................................................................................................................................45 SOCIO ECONOMIC STATUS/BASELINE .........................................................................................................45 7.1 Socio-Economic Survey .................................................................................................................... 45 7.2 Socio-economic characteristics of PAPs ........................................................................................... 45 7.2.1 Gender and marital status of the assets owners//PAPs .............................................................. 46 7.2.2 Education level........................................................................................................................... 46 7.2.3 Occupation Profile ..................................................................................................................... 46 7.2.4 Income........................................................................................................................................ 47 xvii 7.2.5 Characteristics for other Household members ........................................................................... 47 7.2.6 Access to Energy........................................................................................................................ 48 7.2.7 Water, sanitation and solid waste management ......................................................................... 49 7.2.8 Diseases suffered by residents ................................................................................................... 49 7.2.9 Vulnerable groups ...................................................................................................................... 49 CHAPTER EIGHT .................................................................................................................................................50 MITIGATION OF IMPACTS................................................................................................................................50 8.1 Introduction ....................................................................................................................................... 50 8.2 Eligibility Criteria ............................................................................................................................. 50 8.3 Notification........................................................................................................................................ 51 8.4 Compensation Payment Protocols ..................................................................................................... 51 CHAPTER NINE ....................................................................................................................................................54 GRIEVANCE REDRESS MECHANISM ............................................................................................................54 9.1 Overview ........................................................................................................................................... 54 9.2 Grievance Redress Institutions/Structure .......................................................................................... 55 9.2.1 Settlement Grievance Redress Committee (SGRC) .................................................................. 55 9.2.2 RAP Implementation Committee ............................................................................................... 55 9.2.3 Legal Redress ............................................................................................................................. 56 9.3 Procedure of Receiving and resolution of Complaints ..................................................................... 56 9.3.1 Step 1: Receipt of complaint/grievance ..................................................................................... 56 9.3.2 Step 2: Determination of Corrective Action .............................................................................. 57 9.3.3 Step 3: Meeting with the complainant ....................................................................................... 57 9.3.4 Step 4: Implementation of Corrective Action ............................................................................ 57 9.3.5 Step 5: Verification of corrective action .................................................................................... 58 9.3.6 Step 6: Action by RIC ................................................................................................................ 58 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission ........................ 58 9.4 Terms of Reference for the Grievance Redress Mechanism Committee .......................................... 58 9.5 Effectiveness of the Grievance Redress Mechanism ........................................................................ 59 9.6 Capacity-Building for the Grievance Officer and Grievance Committees ....................................... 59 CHAPTER TEN .....................................................................................................................................................61 INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS ................................................................61 10.1 Introduction ....................................................................................................................................... 61 10.2 ARAP Implementing Institutions under KISIP ................................................................................. 62 10.2.1 KISIP Project Coordination Team ............................................................................................. 62 10.2.2 KISIP RAP Implementation Committee (RIC) ......................................................................... 63 10.2.3 County KISIP Team ................................................................................................................... 64 10.2.4 Community Settlement Executive Committee (SEC)................................................................ 64 10.2.5 The Settlement Grievance Redress Committee ......................................................................... 64 10.3 Sensitization and Information Sharing during RAP implementation................................................ 65 10.4 Budget ............................................................................................................................................... 67 10.5 ARAP ARAP implementation Schedule ........................................................................................... 67 CHAPTER ELEVEN..............................................................................................................................................70 MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP .......................................70 11.1 Monitoring and Evaluation................................................................................................................ 70 11.2 Monitoring and Evaluation Framework ............................................................................................ 71 11.2.1 ARAP Monitoring Plan.............................................................................................................. 71 11.2.2 ARAP Monitoring Framework .................................................................................................. 72 11.3 Resettlement Completion Audit ........................................................................................................ 75 CHAPTER TWELVE.............................................................................................................................................76 xviii CONCLUSION AND WAY FORWARD.............................................................................................................76 12.1 Conclusion......................................................................................................................................... 76 12.2 Commitments .................................................................................................................................... 76 REFERENCES .......................................................................................................................................................78 ANNEXES ..............................................................................................................................................................79 ANNEX 1: ASSET REGISTER.............................................................................................................................79 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION ..................................................................80 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE ......................................................................................112 ANNEX 4: RAP QUESTIONNAIRE ..................................................................................................................132 ANNEX 6: SAMPLE GRIEVANCE REGISTER ..............................................................................................135 xix LIST OF TABLES Table 0-1 Institutional and Implementation Arrangements in the KISIP Project........................................................ vii Table 0-2 PAP categorization in Chorongi Informal settlement ................................................................................... x Table 0-3 PAP flow Information table .......................................................................................................................... x Table 0-4 Structure Related Impacts ............................................................................................................................ xi Table 0-5 Affected structures in Chorongi Informal settlement ................................................................................... xi Table 0-6 Community Participation Meetings ............................................................................................................ xii Table 2-1 Tenure Regularization and Land Titling Process .......................................................................................... 6 Table 2-2 Community Participation Meetings .............................................................................................................. 2 Table 2-3 Planning options............................................................................................................................................ 7 Table 2-4 Types of Title registration. .......................................................................................................................... 13 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context .............. 23 Table 4-1 ARAP Sensitization Meeting ...................................................................................................................... 30 Table 5-1 Community Participation Meetings ........................................................................................................ 37 Table 5-2 Community concerns related to the ARAP process ................................................................................ 39 Table 6-1 Project impacts according to gender ........................................................................................................... 41 Table 6-2 Affected structures in Chorongi Informal settlement .................................................................................. 42 Table 6-3 Construction materials of affected structures .............................................................................................. 43 Table 6-4 Classification of losses experienced in Chorongi informal settlement ....................................................... 43 Table 8-1 Entitlement Matrix ...................................................................................................................................... 52 Table 10-1 National and County Government (ARAP) Implementing Institutions .................................................. 61 Table 10-2 ARAP Implementation schedule ............................................................................................................. 68 Table 11-1 ARAP Monitoring Plan ........................................................................................................................... 71 Table 11-2 Internal Monitoring Indicators ................................................................................................................ 73 LIST OF TABLES Figure 2-1 Roles and responsibilities in the institutional setup ................................................................................ 11 Figure 1-1 Chorongi informal settlement locational map ........................................................................................... 3 Figure 2-2 Chorongi informal settlement base map ................................................................................................... 5 Figure 2-3 Chorongi Local physical development Plan ............................................................................................. 9 Figure 2-4 Chorongi informal settlement land use budget ....................................................................................... 10 Figure 2-5 Chorongi ARAP Affected Structure Map ............................................................................................... 11 Figure 4-1 Asset and Livelihood Valuation Report Preparation............................................................................... 35 Figure 6-1 Map Showing affected strictures and Minimal reduction in plot sizes. .................................................. 44 Figure 7-1 PAPs Marital status ................................................................................................................................. 46 Figure 7-2 PAPs education level .............................................................................................................................. 46 Figure 7-3 PAPs occupation profile.......................................................................................................................... 47 Figure 7-4 Monthly Income, Chorongi Settlement Village ...................................................................................... 47 Figure 7-5 Education profile for household members .............................................................................................. 48 Figure 7-6 Occupation profile for household members ............................................................................................ 48 Figure 7-7 Diseases Suffered by residents ................................................................................................................ 49 Figure 9-1 Grievance address procedure .................................................................................................................. 60 Figure 10-1 ARAP Implementing Institutions ............................................................................................................ 65 Figure 10-1 ARAP Stakeholder engagement Strategy ............................................................................................... 66 xx 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 of which are 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 informal settlements 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 Chorongi Informal Settlement Chorongi informal settlement is one of the colonial villages established in the 1950s, to settle the landless as a result of colonization. It is located in Ruring’u ward, Nyeri Town Constituency, Nyeri Central Sub-County in Nyeri County. The settlement measures approximately 10.2 acres with a population of 147 people currently residing there. The settlement has a mean household size of 5 people. The settlement has generated 33 plots comprising of 2 churches, 1 public dispensary, 1 public primary school, 1 cattle dip area, 1 commercial area, 1 community centre and 26 individuals owned plots. The breakdown on the individually owned plots is as follows:  1 plot is co-owned by 4 female beneficiaries  1 plot is co-owned by 3 male beneficiaries  1 plot is co-owned by 4 male beneficiaries and 1 female beneficiary  19 plots are owned by individual male beneficiaries  4 plots are owned by individual female beneficiaries The commercial area title will be held by the County Government of Nyeri and the permanent Secretary, National Treasury. Therefore, the total number of direct beneficiaries is 42. The settlement is located near main roads leading to Othaya and about 5 Km from Nyeri Town making the settlement to be a prime place for investment and growth. In terms of livelihood, here households engage in different types of agriculture (livestock and crops), growing maize, bananas, horticultural crops, fruit trees, etc. Livestock kept are dairy cows 2 and poultry, etc. However, small land sizes (at 0.1 acres) represent a major constraint to farming in the informal settlement. Therefore, sustainability of farming in the informal settlement hinges on adoption of high value crop types adaptive to small land sizes, and perhaps different methods of farming, such as greenhouse farming. Figure 1-1 Chorongi informal settlement locational map 1.3 KISIP’s Interventions in Chorongi Informal Settlement The land tenure in Chorongi 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 Chorongi informal settlement entails physical planning and surveying of the informal settlement. This leads to the development of a Local Physical Development Plan (LPDP) for the settlement. The surveying component will ensure the settlers are issued with title deeds for the plots they occupy. 42 direct beneficiaries (which include institutions) will be issued with title deeds. 3 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, planning and surveying of informal settlements may adversely affect some households. For example, because of proposed boundary realignment and provision of road wayleaves, 12 PAPs will lose part or whole of the 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 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 Chorongi Informal Settlement and provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. The ARAP provides Projected 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 PAPs 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 displacements caused by the planning and surveying of Chorongi informal settlement which resulted in 12 PAPs. The impact on the structures will be two-fold: loss due to inter-boundary realignment and loss due to road expansion, where 3 structures were affected by road expansion while 11 structures were affected by boundary realignment. Further, 7 structures were fully affected by the project while 7 structures were partially affected. There were no complete displacements from the settlement. Every beneficiary was allocated a plot and will receive title deeds during implementation as outlined in the implementation schedule of this ARAP. Planning and Surveying will affect structures within already occupied plots and as a result, there was no complete loss of parcel/plot by any beneficiary in the settlement. The ARAP does not cover compensation for any loss of land since the PAPs in Chorongi informal settlement occupy government 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 EYING OF CHORONGI INFORMAL SETTLEMENT 2.1 Introduction to Land Titling KISIP interventions in Chorongi informal settlement began in March, 2017 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 Chorongi settlement: Community organization and mobilization, identification and delineation of settlement boundaries, Preparation of settlement base map, community visioning, 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 in Introduction of Consultant SEC composition KISIP activities in Community Chorongi Settlement Welcomed the Outlining the project as they objective of have been waiting Planning and Survey on title deed for a which will lead to long time. issuance of title Community deeds. committed to embrace and support the project until completion Planning Stage Base Map Transect walks Community KISIP Base map of Undertaken and physical guided by SEC SEC County Chorongi Preparation 45 Beneficiaries Consultant Government Every Beneficiary identified. is enumerated Existing Plot Participation of Boundaries form SEC ensured that basis for Planning only members of 6 and surveying Chorongi are the 100 % Beneficiaries Socioeconomic Beneficiary list survey of representative of Beneficiaries women beneficiaries. Visioning A community led Community KISIP Active Women Undertaken and Plan visioning process SEC County participation in preparation Community Consultant Government every planning prioritizes stakeholder accessibility meeting. Community Community involved in endorse road preparation of plan hierarchy for the that best represents settlement. their interests. Community aware of and endorse minimum reduction in plot sizes to provide accessibility and facilitate titling Plan A community led Community KISIP Community Undertaken Validation validation of plan SEC County approval of plan and ensured community Consultant Government County and Approval vision is represented Director of Community Physical Planning endorsed and approval of Plan approved Plan step towards Plan approved by tenure county and Director regularization and of Physical planning issuance of titles Surveying stage Surveying Physical Survey of Community KISIP Women aware of Undertaken and Plots SEC County plot boundaries. beaconing of Women asked to be Consultant Government Impacts and plots present during PAPs exercise and shown documented boundaries of new plot where beacons have been placed. Identification of impacts Validation Every beneficiary Community County Women ensure Undertaken 7 of allowed to scrutinize SEC Government correct details are Beneficiary the beneficiary list Consultant in the beneficiary List to ensure correct KISIP list and sign details have been against the details input. Women encouraged to participate. Approval of Survey approval and Survey of KISIP New RIM Ongoing Survey Plan adjustment of Kenya forwarded to Registry Index Map Ministry of Land (RIM) to include for Titling individual surveyed process. Plots numbers ARAP Preparation ARAP Identified impacts Community KISIP Entitlements are Undertaken Preparation are as a result of SEC County given to mitigate planning and survey Consultant Government impacts are identified, documented and mitigated ARAP Ensure client KISIP Consultant Approved ARAP Ongoing Approval commitment to World Bank to guide implementation of implementation RAP. process and All safeguards issuance of Titles provisions are met and addressed ARAP Implementing KISIP Consultant Facilitation of Not yet implementat ARAP activities as Community PAPs undertaken ion per 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 KISIP joint titling with of titles spouses. (ii) Types of Beneficiaries registrations aware of Benefits (iii) Benefits of 8 the Titles of the title being (iv) Conditions issued. to be granted on Beneficiary leasehold Titles ( grievances See Attached example of adequately Leasehold Title) addressed (v) Law requirements in Regulation of land transactions Change of Beneficiary list open Community County Increased number On Going beneficiary for final change of SEC Government on Joint Title List names to appear in Consultant between spouses the title KISIP Beneficiaries on the final beneficiary list forwarded to the Ministry of Lands for Title printing. Titles The final beneficiary Ministry of Signed Titles are Not yet Printing and list is the basis of Lands- handed over to undertaken Signing printing of Titles Chief Land National Land Registrar Commission for Approval. Gazzettemen The NLC approves National The names of Not yet t transfer of Public Land Beneficiaries is undertaken land to individual Commission officially beneficiaries in published in the Chorongi 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 to beneficiaries in a their land. Tenure public event. 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 Chorongi informal settlement. 9 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 Government KISIP (Nairobi) 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 3. Conflict resolution; resolution Nyeri County Government mechanisms in Nyeri County KISIP Coordination Committee 4. Safeguard interest of the community; land conflicts; Coordination and implementation of KISIP activities in Nyeri County Monitor the registration of all COUNTY GOVERNMENT OF rights and interests NYERI in land County CEC Lands, Housing and Physical Assembly of Planning Nyeri Chief Officer Lands Housing and Physical Planning District Survey County Director for Physical Planning Office Responsible for planning and surveying of Figure 2-1 Roles and responsibilities the informal the institutional setup inCounty settlements in Nyeri 11 2.2.1 Community Sensitization on Planning In Chorongi 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 2003 plan and community visioning, (iii) Beneficiary validation, approval of the final socio – economic reports, 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, access financial services, 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 Session Male Female discussed th 1. Stakeholders 14 County Government 2 1 Introduction to the consultation March, of Nyeri settlement and meeting 2017 KISIP Nyeri 1 0 sensitisation on Community Members 21 10 the planning process National Land 2 1 Commission Total 26 12 2. Planning 30th Community Members 23 5 Presentation and process March, County Government 2 0 discussion of the 2017 of Nyeri 2003 draft plan. KISIP Nyeri 1 0 Community KISIP Nairobi 2 0 Visioning National Land 0 2 2 Commission National Government 1 0 Total 29 7 th 3. LPDP & List 4 County Government 2 1 Beneficiary of April, of Nyeri validation and Beneficiaries 2017 KISIP Nyeri 1 0 tentative PAP validation identification National Government 1 1 KISIP Nairobi 2 3 Community Members 40 13 Total 46 18 th 4 PAP 6 County Government 3 0 This recalled the verification March, of Nyeri ARAP process 2018 National Government 0 1 and discussed NLC 1 0 the draft ARAP Community members 9 4 report before approval. ARAP Total 13 5 implementation process and proposed grievances redress mechanism were discussed. Gender concerns on land tenure raised. Verification of the PAP register 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. 3 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 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 4 Figure 2-2 Chorongi informal settlement base map 5 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. 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. Beneficiaries retained their current plot locations and sizes apart from those that were affected by road expansions 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. 6 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. 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 Community Participatory Visioning Workshop A community visioning workshop was held in the settlement on 30th March 2017. The workshop brought together the local community together with relevant stakeholders, with aim of undertaking a participatory planning session with the community, to identify their planning issues and prepare a physical development plan that responds to these issues. During this session the community identified their issues to be: informality of the settlement due to lack of title deeds and poor connectivity in the settlement. 2.2.5 Preparation and Discussion of development proposals Considering the discussions during the community visioning process, the settlement’s draft LPDP, the following planning options were generated (table 2.3). Table 2-3 Planning options Option one Option two Option three: the preferred option Options Implement the draft Prepare LPDP based on Prepare a new LPDP LPDP without ground survey picking of the based on a modification. settlement. combination of draft LPDP, updated base map, ground survey picking & settlers input. Strengths  The external  It shows the plot boundaries,  The LPDP will be boundary of the roads sizes and current land aligned to settlement as per uses in the settlement. minimum the LPDP and that  It can inform effective planning of ground survey reorganization of the standards, road control are in settlement. sizes, re- tandem  It shows actual plots and configuration of  The LPDP has occupiers, which is the settlement 7 established road important in determining thus reducing network standards the actual number of plots redundancies. that can inform the and eventual beneficiary of  Optimize on land conclusion of the planning and surveying. use, enhance planning and  It has picked the changes that functionality, i.e. surveying of the could have taken place road and plots. settlement since the draft LPDP was prepared, i.e. subdivision.  No one would be affected in terms of impact on structures. Limitatio  The survey pickings  The desired form and  Plots and roads ns of roads and plots function of key land uses will change within the will not be achieved given leading to impact settlement and the that some roads are too on 12 PAPs draft LPDP are narrow, some plots are not  It is time incongruent, so it properly aligned, there are consuming as it will lead to also encroachment which requires more displacements and needs to be addressed, and consultations, disruption the redundancies especially redesign of some  Plots are of varying on access roads will impair sections of the sizes, with some the functionality of the settlement and being overly small settlement. agreement on  The shapes of some plots are several issues irregular The community preferred option three 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 3) is deliberately conceptualised to ensure minimal loss of land to provide for accessibility within the settlement. This was concretised through adoptive planning where planning considered the settlement ‘as is’ or as people have settled. The exercise mostly focused on improvement/expansion of roads to improve on accessibility only where necessary. The plan also adopts a road hierarchy system where main access roads were retained as 10m but reduce in size, up to 9m and 6m as they approached homesteads. 8 Figure 2-3 Chorongi Local physical development Plan Figure 2-3 shows the LPDP for Chorongi informal settlement. The plan will generate 33 plots comprising of 2 churches, 1 public dispensary, 1 public primary school, 1 cattle dip area, 1 commercial area, 1 community centre and 26 individually-owned plots. The breakdown on the individually owned plots is as follows:  1 plot is co-owned by 4 female beneficiaries  1 plot is co-owned by 3 male beneficiaries  1 plot is co-owned by 4 male beneficiaries and 1 female beneficiary  19 plots are owned by individual male beneficiaries  4 plots are owned by individual female beneficiaries The commercial area title will be held by the County Government of Nyeri and the permanent Secretary, National Treasury. Therefore, the total number of direct beneficiaries is 42. A road hierarchy of 10m, 9m and 6m roads has been adopted in the plan. 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 9 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. In addition, the beneficiaries will enjoy increased value of land through tenure security, improved housing and infrastructure as outlined in Section 6.2 Figure 2-4 Chorongi informal settlement land use budget An overlay of the base map and proposed LPDP was made to highlight the affected in the settlement. This is presented as figure 2-5 below. 10 Figure 2-5 Chorongi ARAP Affected Structure Map 11 2.2.6 Validation of Plan and List of Beneficiaries On 4th April, 2017, the draft plan was presented in a meeting to the community, Nyeri County Government and KISIP Nyeri and Nairobi staff. 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. 2.2.7 Plan approval Chorongi 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 Chorongi Informal Settlement from Land Grabbing Land grabbing is a common phenomenon in informal settlements. In Chorongi 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. 12 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 Single  Singe person  In case of death, transfer of the land Ownership completely owns becomes lengthy and costly. the Land.  Discouraged under KISIP if husband and  If Married, wife are involved. Husband and wife Consent of wife is encouraged to go for joint ownership. required before any transaction on  Consent has to be reached between the land is husband and wife on who will be the undertaken single owner of the title. Joint Absolute  In case of Death, Land is automatically Ownership Proprietorship. transferred to the spouse. Both Husband  Both Husband and  This type of ownership is encouraged and wife are wife are absolute under KISIP; Sensitization is ongoing registered in the proprietors of land 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 Tenancy in  Each party decides what to do with common shares his/her shares since they own only a 13  Husband and wife stipulated share of land. own the land in shares.  The title can only accommodate 5 entries of names  Common in cases where there is  In case of more than 5 owners, additional more than one parties to the land are required to wife and/or nominate one to hold their shares in trust children are of the others involved.  This is explored especially if children are involved Sectional Title  This applies to  In case a beneficiary builds an asset and ownership of decides to share among children/Wives, Assets like high- Each floor is entitled to a sectional title. rise This sectional title can be further buildings/apartme subjected to Joint co-ownership among nts 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. Given that land ownership ratio in Chorongi informal settlement is in favor of men (9 female beneficiaries to 26 male beneficiaries), 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 14 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 Proposed gender sensitization exercises will include but not limited to the following: 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. 15 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 expand/re align road reserves; ii. Reclamation of encroached way-leaves; iii. Displacement of open and mobile shops (kiosks) to expand/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 of displacements of 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 displacement of Project Affected Persons in Chorongi 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; 16 iii. Sustainable and productive management of land resources; 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 Chorongi 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; 17 i. Develop, in consultation with affected communities, a slum upgrading and 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 Chorongi 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 proposed ARAP grievance redress system. 18 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 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 Chorongi 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 proposed project 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, 19 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 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 Chorongi 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 20 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 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 21 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 (GoK), 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: 22 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 Involuntary resettlement possible in contexts of Ensure that resettlement issues are wherever possible, or minimized, exploring all projects of public interest e.g. the Land Act does not considered at the design stage of the alternatives. stipulate that resettlement should be avoided project in order to avoid/minimize wherever possible; on the contrary, as long as a resettlement and associated issues. project is for public interest, involuntary resettlement is considered to be unavoidable. PAPs should be assisted in improving livelihoods The Land Act 2012 guarantees the right to fair and Implement World Bank OP 4.12 policy etc. or at least restoring them to previous levels. just 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 prominent role for alternative dispute resolution, World Bank. accessible grievance mechanism will be including traditional dispute resolution mechanisms. established. Appropriate and accessible grievance This is in addition to other legislative frameworks mechanisms which provide for non-formal methods of dispute are established for these groups. 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. 23 Consultation: The IDP Act internalizes high value safeguards Adopt both Kenyan legislation and The ARAP process should provide for opportunity techniques such as the application of a free, prior World Bank. for meaningful consultations with affected persons and informed consent process that emphasizes the and communities, local authorities, and, Non- quality and meaningfulness of affected community Governmental Organizations (NGOs) where participation including the impact that views appropriate. obtained 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 disclosure of Approved ARAP public 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 Ensure ALL users (including illegal Determined by: unwritten agreements are recognized as valid land squatters, labourers, rights of access) of (a) those who have formal legal rights to land right. affected lands are included in the (b) those who do not have formal legal rights to The Land Act 2012 provides that people eligible for census survey and all compensation for land at the time the census begins but have a claim compensation are those holding land tenure rights loss of assets will be at replacement to such land or assets—provided that such claims The Land Act 2012 also recognizes those who have value and measures to restore are recognized under the laws of the country or interest or some claim in the land such pastoralist or livelihood undertaken. become recognized through a process identified in who use the land for their livelihood. Those without legal right i.e. all the resettlement plan. The constitution recognizes occupants of land even beneficiaries in place of resettlement (c) those who have no recognizable legal right or claim if they do not have titles and payment made in good receive tenure security of land to the land they are occupying. faith to those occupants. However, this is not occupied. Therefore, although O.P 4.12‘s recognizes eligibility as mandatory and does not apply to those who illegally both formal (legal) and informal owners of acquire land. The Traffic Act which recognises expropriated land, it does not specifically recognize encroaching into e.g. road reserves as illegal is 24 all users of the land to be compensated. repugnant or encroachers into e.g. road reserves as stipulated under Traffic Act. O.P 4.12 describes the cut-off date as the date of the The Land Act, 2012 is not specific on the cut-off Implement World Bank OP 4.12 policy start of the census. Persons entering and/or date but proposes a final survey of land (with regard occupying land in the project area after this date to private land) to be undertaken before and not included in the inventory of PAPs will not compensation is paid. It does not cover public land. 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 Land Act 2012 appears to prefer mode of cash Ensure that all alternative options are where (a) land taken for the project is a small compensation by the Government to the affected considered before providing cash fraction of the affected asset and the residual is population. compensation. economically viable; (b) active 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 Land Act talks of prompt, just compensation before Use World Bank OP 4.12 procedures in affected persons are provided with prompt and the acquisition of land. However, interpretation of determining form of compensation effective compensation at full replacement cost for just compensation is yet to be clearly outlined Implement prompt and effective losses of assets attributable directly to the project. If through a specific schedule defining just resettlement assistance. physical relocation is an impact, affected persons compensation has not been put in place. Therefore, must be provided with assistance during relocation Costs such as attorney‘s fees, cost of obtaining and residential housing, housing sites and/or advice or cost incurred in preparing and making 25 agricultural sites to at least equivalent standards as written claim not in the Land Act. Similarly, the Act the previous site. does not out rightly stipulate assistance for Replacement cost does not take depreciation into relocation but can only be implied. account. In terms of valuing assets, if the residual of the asset being taken is not economically viable, compensation and assistance must be provided as if the entire asset had been taken. Compensation and other assistance required for The Land Act, 2012 is not specific on any other Ensure that ALL resettlement options relocation should be determined prior to assistance to affected persons. Assistance ends at are agreed on with PAPs and put in displacement, and preparation and provision of compensation. place prior to displacement of affected resettlement sites with adequate facilities, where PAPs required. Displacement must not occur before all necessary measures for resettlement are in place, i.e., measures over and above simple compensation. O.P 4.12 proposes that measures for livelihood The Land Act, 2012 is not specific on livelihood restoration are considered during resettlement of restoration. Implement World Bank OP 4.12 policy PAPs. Valuation: Land Act 2012 talks of just compensation for the Apply the World Bank OP4.12 With regard to land and structures, ―replacement lost assets but it is not specific of the exact amount valuation measures, as outlined in part cost is defined as follows: or 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 compensation has not been defined. assets in a consistent manner. of the 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 26 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. 27 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 displacement impact as follows: - a) Avoidance, minimization, mitigation and compensation of displacement: This project subscribes to the policy of minimization of displacement as follows: -  Investments proposed under KISIP within Chorongi 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 Physical Development Plans utilized existing way leaves. Thus, wherever permanent dwellings were potentially affected by a proposed PDP, 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-displacement 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. Vulnerable households may have different land needs from most households, or needs unrelated to the amount of land available to them. 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 Chorongi 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. 28 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; expansion of the roads; and creation of new ones. 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 displacement impacts.  Socio Economic Report for Chorongi 2017 prepared as part of this consultancy covering the settlement to provide baseline information for design and monitoring project interventions.  Community Consultation Report Chorongi 2017 which documents community involvement in the identification and prioritization of project interventions. 29  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 10m and internal settlement roads (R2) require a minimum width of 6m. 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. During these meetings, ARAP issues were discussed. These meetings were: (i) Two Stakeholders consultation meetings and (ii) LPDP & List of Beneficiaries validation meeting. One ARAP sensitization meeting was held in the settlement. The details of the meetings are in table 4-1 below: Table 4-1 ARAP Sensitization Meeting No. Meeting Session Date Participants Key issues discussed Male Female th 1. Stakeholders 14 County Government of 2 1 Introduction to the consultation March, Nyeri settlement and meeting 2017 KISIP Nyeri 1 0 sensitisation on the Community Members 21 10 planning process National Land 2 1 Commission Total 26 12 2. Planning process 30th Community Members 23 5 Presentation and March, County Government of 2 0 discussion of the 2003 2017 Nyeri draft plan. KISIP Nyeri 1 0 Community Visioning KISIP Nairobi 2 0 National Land 0 2 Commission National Government 1 0 Total 29 7 3. LPDP & List of 4th April, County Government of 2 1 Beneficiary validation Beneficiaries 2017 Nyeri and tentative PAP validation KISIP Nyeri 1 0 identification National Government 1 1 30 KISIP Nairobi 2 3 Community Members 40 13 Total 46 18 th 4 PAP verification 6 County Government of 3 0 This recalled the March, Nyeri ARAP process and 2018 National Government 0 1 discussed the draft NLC 1 0 ARAP report before Community members 9 4 approval. ARAP implementation Total 13 5 process and proposed grievances redress mechanism were discussed. Gender concerns on land tenure raised. Verification of the PAP register 4.4 Census of the Project Affected Persons The Consultant conducted a household survey which included 100% census of the affected persons which started on 12th 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 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 31 The standard questionnaire was also used to collect an inventory of losses information from PAPs about assets that would be 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 ARAP team ensured PAPs or their representatives were present during asset enumeration, thus the questionnaire was signed by the PAP or representative. 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. 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 cushioning 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. Indeed, none were encountered during field work either for the KMP or currently under KISIP. ii. Physically handicapped people: 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. iii. Elderly persons: Elderly people without assets or investments and people to depend on suffer numerous vulnerabilities. Displacement 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 32 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 households: women headed households rarely own the land that they farm (rendering them vulnerable to landlessness on divorce or widowhood), and that they are more likely to experience difficulties in accessing credit, organising labour, or securing insurance. Thus, female-headed households possibly need special provision for coping with major shocks. 4.6 Categories of Vulnerable PAPs in Chorongi Informal Settlement Chorongi informal settlement recorded 2 male vulnerable persons in the elderly persons’ group. 2 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. 4.7 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 Chorongi informal settlement, an inventory of all the affected structures was taken to determine the number, their descriptions and size. This was to facilitate the valuation process. The information collected (using tool in annex 3) included the nature of the structure, materials used for construction, its size (measurements) and the claimant. This process was undertaken by the project ARAP specialist while valuation was done by a registered valuer. The GPS locations of the affected structures were taken using a GPS device. As per the cut-off date, all affected structures were still on the ground at the time of conducting the asset inventory. The SEC was used to verify the structure description given by the households for valuation. The SEC and the PAP then signed the ARAP questionnaire (annex 4), to verify the description given. 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 at market rate without depreciation. 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. 33 4.6.2 Valuation of Trees The rates applied in valuation of trees were based on the market rate of similar trees. For non-fruit or timber trees, the age, size and life of the tree was considered in the valuation, while for fruit trees, the productivity, age and market price of output was applied. To cater for the forgone fruit value (productivity for the next couple of years), a replacement cost multiplier of 3 years was considered as the trees produce fruit only once a year. 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. This is largely because some PAPs lost trees but also gained others during the planning and survey process e.g. through boundary realignment. KISIP in collaboration with the Area Chief will sensitise the community not to cut the trees that come into their possession due to interboundary alignment. After compensation and livelihood restoration measures, trees on road reserves will be reserved as community assets. Agreement to this effect has been sought through the SEC and involvement of the County Government. Part of this sensitisation will cover the elaborate processes involved in cutting trees i.e. notification and obtaining a permit from the Chief.. In addition, each PAP who lost a fruit tree that was not gained back in this process, will receive 2 seedlings of a fruit tree (of choice) as part of the livelihood restoration activities. In terms of livelihoods, improved tree varieties start producing the fruit two to three years after planting the tree. 4.6.3 Livelihood Restoration The only source of livelihoods affected was related to a kiosk 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. 34 Asset and Livelihood inventory was established ARAP 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 4.8 Cut-off date 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 eligibility cut-off date should be set immediately following the socio-economic survey. The Project Cut-off Date for Chorongi informal settlement was declared as 12th May 2017 at the start of the census and socio-economic survey of the PAPs. This was during a meeting attended by the local community, county government and other stakeholders. 35 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, group, 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 RAP 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. RAP related issues were also raised in the planning meetings. In general, in Chorongi, 3 planning meetings and 1 PAP meeting were held to discuss ARAP issues. 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 which must 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, 36  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. 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 People These are the people who reside in the area or derive their livelihood from the affected land. These people will lose their structures/livelihood due to the planning and surveying activities in Gitero informal settlement. The PAPs were informed and consulted on major issues concerning impacts, facilitation etc. 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 meetings as shown in annex 2. 5.4 Community Meetings and issues raised The ARAP issues were discussed during the planning meetings (shown in table 5-1). Therefore, the times and participants in these meetings are similar. The minutes and attendance lists have been annexed (annex 2). Table 5-1 Community Participation Meetings No. Meeting Date Participants Key issues Session Male Female discussed th 1. Stakeholders 14 County Government 2 1 Introduction to the consultation March, of Nyeri settlement and meeting 2017 KISIP Nyeri 1 0 sensitisation on the planning 37 process Community Members 21 10 National Land 2 1 Commission Total 26 12 2. Planning 30th Community Members 23 5 Presentation and process March, County Government 2 0 discussion of the 2017 of Nyeri 2003 draft plan. KISIP Nyeri 1 0 Community KISIP Nairobi 2 0 Visioning National Land 0 2 Commission National Government 1 0 Total 29 7 th 3. LPDP & List 4 County Government 2 1 Beneficiary of April, of Nyeri validation and Beneficiaries 2017 KISIP Nyeri 1 0 tentative PAP validation identification National Government 1 1 KISIP Nairobi 2 3 Community Members 40 13 Total 46 18 th 4 PAP 6 County Government 3 0 This recalled the verification March, of Nyeri ARAP process 2018 National Government 0 1 and discussed NLC 1 0 the draft ARAP Community members 9 4 report before approval. ARAP Total 13 5 implementation process and proposed grievances redress mechanism were discussed. Gender concerns on land tenure raised. Verification of the PAP register 38 Asset inventory was conducted in the community on 12th 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. This was verified by the community on 6 th March 2018. The following were the community concerns during the ARAP sensitization meeting Table 5-2 Community concerns related to the ARAP process Issue Response The PAPs inquired at what The PAPs were advised that trees are community assets therefore they point trees could be cut would not be cut as a result of planning and survey. during the resettlement process. The PAPs asked on the (In response, the consultant asked the PAPs the preferred mode and mode of payment to be they indicated cash payments) There would therefore be a adopted. sensitization meeting in the settlement at the start of the implementation of the ARAP. KISIP will allow PAPs to open individual and joint accounts with financial institutions of their choice, after sensitizing them on the use of the cash for purposes of reconstructing affected structures. Some PAPs were An asset verification exercise was held in the settlement and concerned that during the captured any PAP that had not been documented. initial asset inventory process, they were not captured PAPs were concerned PAPs were informed that there would no facilitation for loss of land about compensation for since the land in the settlement was public land. loss of land The project did not arise in complete or total displacement and relocation of Beneficiary/PAPs. The households were retained in their original parcels but minimum land was handed over to provide for road expansion. The beneficiaries agreed to surrender minimum sizes of land without compensation to enable provision of roads of access to individual plots while tenure regularization will lead to issuance of title deeds to the beneficiaries. They noted that they had been side-lined for development due to insecure tenure and were living in constant fear of eviction. The County Government of Nyeri and the NLC assured them that once their tenure was secured, the community would not live in fear of eviction since they would have a legal document for the plots they live on. The beneficiaries noted that with insecure tenure, it was difficult for them to have long term investments on the land while with secure tenure, the community will be motivated to invest in the land they live on. The beneficiaries were concerned about narrow roads in their settlement. This concern was addressed in the LPDP where road hierarchy of 10m, 9m and 6m was adopted. 39 CHAPTER SIX PROJECT IMPACTS 6.1 Introduction According to the Resettlement Policy Framework, Project Affected Person(s) (PAPs) are persons affected the impacts caused by the approved LPDP. No complete physical displacements occurred in Chorongi Settlement rather PAPs affected by the planning and surveying of the settlement suffered partial or complete loss of the structures. All beneficiaries including PAPs retained the portions of land they lived on whereas there was no loss of private land in Chorongi informal settlement since the land in the settlement is public land and the project is focused on tenure regularisation. However, beneficiaries including PAPs experienced minimized reduction in parcels sizes due to proposed road way leaves. The settlement does not have any tenants as PAPs and no community structures and infrastructure were affected. However, 12 structure owners were negatively affected in Chorongi informal settlement. An asset register (annex 1) has been compiled to show the losses experience by each PAP in the settlement. 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 Chorongi informal settlement are going to experience from the planning and surveying of their settlement: 6.2.1 Secure land tenure The main objective of this assignment is to provide land tenure security in Chorongi informal settlement. Secure land tenure is seen as 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 state agency as the land is owned by the government. Chorongi 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 ongoing 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 40 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. 6.2.2 Improved housing Housing in Chorongi 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 Chorongi informal settlement will invest in better housing for their families. 6.2.3 Improved infrastructure Chorongi informal settlement is connected to the main tarmac road by a 300m long murram road. Lack of basic infrastructure (such as roads and drainage) within the informal settlement is a major concern. The existing roads in the settlement are narrow and poorly developed. Some of the proposed roads in the draft LPDP (prepared in 2003 but not implemented) have been encroached into. Some of these roads were adopted in the proposed LPDP prepared under KISIP leading to PAPs due to road expansion, and whom have been provided for within this ARAP. While it is recognized that this is an informal settlement, roads that guarantee accessibility must be provided for as a measure of planning for future growth of the settlement i.e. Chorongi is currently a rural settlement within a municipality, it is expected that urban land uses will take root in the settlement in future thus planning for road network must take into consideration possibility of land use transformation from rural to urban land uses. Therefore, the LPDP proposes 10m, 9m and 6m roads within the settlement to promote accessibility and circulation. This can be seen in the proposed LPDP of the settlement i.e. figure 2.4. The residents’ access water from different sources, i.e. municipal water supply by Nyeri Water & Sewerage Company, shallow wells, springs, etc. There is need to improve access to safe drinking water in the informal settlement, which will be possible once this LPDP is approved, and the settlement is surveyed and title deeds issued. For instance, proposed road wayleaves will provide space for laying of water pipes by Nyeri Water & Sewerage Company Limited (NYEWASCO). During the introductory meeting (for planning), some beneficiaries also indicated that secure tenure will encourage them to undertake investments such as water connection to their plots. 6.3 Negative impacts of the project 14 structures were negatively affected in Chorongi informal settlement. These belonged to 12 PAPs whose gender distribution is shown in table 6-1 below. Table 6-1 Project impacts according to gender Category Number Distribution Men 10 83% 41 Women 2 17% Total 12 100% 6.3.1 Reduced Plot sizes Chorongi informal settlement sits on public land; therefore, the beneficiaries did not lose private land. However, to provide for accessibility to individual plots in the settlement, the PAPs were made aware of and agreed to minimal reduction of initial plot sizes as necessary since it is a requirement for tenure regularization and titling. The ensure minimised loss of plot sizes during the regularisation exercise, the following measures were adopted: a. The lowest possible road hierarchy was adopted. In Chorongi road hierarchy of 10m, 9m and 6m roads was adopted in the plan instead of 15m and 12m 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. This ensured affected beneficiaries shared the loss of the plot sizes, and no PAP lost a disproportional piece of land. 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. 6.3.2 Loss of Structures Loss of structures is the main type of loss identified, where the structures that lie on the proposed road reserves are majorly of temporal nature (wooden walls and earthen floors). The structures are used mainly as dwelling units by the owners and include main houses, and pit latrines as shown in table 6-2. 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. 7 were affected by this type of loss. ii. Partial loss: where part of the structure will be affected, and the residual will still be viable and functional with reconstruction/repairs. 7 structures were affected by this loss. Table 6-2 Affected structures in Chorongi Informal settlement Road expansion Boundary Total structures readjustment Pit latrine 0 3 3 Farm house 0 1 1 Main house 2 7 9 Kiosk 1 0 1 TOTAL 3 11 14 42 11 of these have been affected due to boundary realignment while 3 have been affected due to the expansion of the roads. Only 1 business structure i.e. kiosk was affected due to proposed road expansion. When type of construction material was considered, it was observed that all of the affected structures were semi-permanent; made of galvanised sheet roof, timber off cut walls and earthen floors. Table 6-3 Construction materials of affected structures Construction materials Number of structures Distribution of the structures (%) GCI roof, Timber walls, 2 14.3% Concrete floor GCI roof, Timber walls, 9 64.3%% Earth floor GCI roof, Timber floor, 3 21.4% Timber wall TOTAL 14 100% 6.3.3 Loss of livelihoods In one case, a business owner i.e. kiosk will be affected. The business kiosk is a temporary business retail shop that stocks household items like sugar and soap. Thus, under the loss of livelihoods category in this ARAP, 1 kiosk and 10 fruit trees were the two livelihood streams that were identified. 6.3.4 Increased vulnerability among the elderly persons and Female Headed Households 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. Therefore, 2 male PAPs were classified as vulnerable as they were above 65 years old. 2 female PAPs were also identified as vulnerable as they are household heads. 6.3.5 Summary of losses In summary, the following are the number of assets affected in Chorongi informal settlement: Table 6-4 Classification of losses experienced in Chorongi informal settlement Type of PAP Structure/Asset Loss Livelihood Vulnerability Structure owner PAPs 12 5 4 Note that some of the structure owner PAPs experience multiple impacts i.e. loss of structures and likely increased vulnerability due to project impacts, or loss of livelihoods. 43 Figure 6-1 Map Showing affected strictures and Minimal reduction in plot sizes. 44 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 accurate PAP register. 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 and housing conditions. The census also documented health conditions, economic activities etc. 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 displacement monitoring and evaluation. The standard questionnaire was also used to undertake an inventory of losses 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 by photographs of the PAP and key affected assets in the event the structures were still on the ground. 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 Chorongi informal settlement resulted in 12 PAPs. These were all structure owners. There were no tenants in the settlement. 45 The following section discusses the socio-economic characteristics of the 12 PAPs. The mean household size for the affected households in Chorongi informal settlement is 2 people. The highest household size was 5 and the lowest is 1. 7.2.1 Gender and marital status of the assets owners//PAPs Survey results shows that more male PAPs have been affected at 83% while women are 17%. 42 percent of the affected PAPs are married (figure 7-1). Figure 7-1 PAPs Marital status 7.2.2 Education level Figure 7-2 shows the level of education of the affected PAPs of the settlement. As shown below, a larger proportion had primary education qualifications (50%) followed by secondary education (42%) and adult education (8%). Figure 7-2 PAPs education level 7.2.3 Occupation Profile The occupation profile for the PAPs shows that majority of them are casual labourers (58%). 26% of the PAPs are self-employed (figure 7-3). 46 Figure 7-3 PAPs occupation profile 7.2.4 Income Income poverty is high in the settlement with 16% of the PAPs earning earn less than Kshs. 200 per day. This may be fuelled by the occupation profile of the settlement since 58% are casual labourers and 8% are unemployed. Figure 7-4 Monthly Income, Chorongi Settlement Village 7.2.5 Characteristics for other Household members The average age for other household members is 30. 15% of the other household members had attained a college/university education and 46% had primary education (figure 7-2). 47 Figure 7-5 Education profile for household members The occupation profile for the household members showed in figure 7-3. Majority (63%) of the household members are casual labourers. Figure 7-6 Occupation profile for household members 7.2.6 Access to Energy None of the affected plots had access to electricity, however, other plots within the settlement have access to electricity. Low connection to electricity is explained in large measure by insecure land tenure in the settlement. Electricity connections in the informal settlement are likely to increase with improved secure land tenure after this planning & surveying exercise. Firewood accounts for 64 percent energy use and it’s the most important source of energy for cooking followed by charcoal at 28 percent. Heavy reliance on biomass energy has serious environmental and public health implications. It would be necessary to consider other sources of renewable energy, such as briquettes, solar energy, biogas and wind to reduce over-reliance on wood fuel. Again promotion of energy saving technologies will also reduce the demand for firewood and charcoal. 48 7.2.7 Water, sanitation and solid waste management Water supply situation in the settlement is poor as just 53 percent of the affected households are connected with piped water supply from Nyeri Water and Sewerage Company, which compares unfavourable with the county average of 70 percent of the residents with access to portable water. Just 86 percent of the affected settlers have access to sanitation facilities (pit latrines), which is far below the county average of 99.6 percent. Pit latrines are important sanitary facilities in the rural areas. Chorongi informal settlement is basically rural even though it is located in Nyeri Municipality. Access to water and sanitation in the informal settlement is below county average suggesting high incidence of poverty in the informal settlement. Given the rural characteristics of the settlement, most of the solid waste is organic in nature. Organic waste is easily disposed - off in the farm as manure. Inorganic waste is problematic in the rural as there is no mechanism to safely dispose. Solid waste management is not yet organized, as households dispose – off waste within the plot. There is need to promote integrated solid waste management, including reuse of organic waste for kitchen gardening. 7.2.8 Diseases suffered by residents The epidemiological profile of Chorongi settlement village indicates that the burden of disease is dominated by waterborne diseases. 20 percent of the PAPs suffered from diarrhoea, with 40 percent having suffered from common cold. Figure 7-7 Diseases Suffered by residents 7.2.9 Vulnerable groups 2 male PAPs were classified as vulnerable because they were above 65 years of age. 2 female PAPs were also identified as female household heads. 49 CHAPTER EIGHT MITIGATION OF IMPACTS 8.1 Introduction World Bank’s Safeguard Operational Policy O.P. 4.12 on ‘Involuntary Resettlement’ requires that affected persons should be compensated at full replacement cost. Under this policy, affected 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 12th May 2017 at the start of the census and socio-economic survey of PAPs. 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, people considered to be disadvantaged as compared to rest of society were inventoried to ensure provision of soft landings in the compensation process. In this case, Chorongi informal settlement recorded 2 male PAPs in the elderly persons group. 2 female PAPs 50 were also identified as female headed households. This group of vulnerable persons were identified for extra cushioning in the compensation process including additional cash transfers. 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 through other government of Kenya programmes. 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) programme. In addition, given vulnerable PAPs were asked whether they needed specific assistance or services in the ARAP implementation process e.g. assistance with reconstruction of structures, with this suggestion on assistance been raised by the SEC, this ARAP also proposes that on a case by case basis e.g. cases to be highlighted by SEC, at the request and consent of the PAP, vulnerable PAPs will be assisted with reconstruction of structures. 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 will undertake sensitization on Gender based violence in relation to the facilitation funds as well as Title Ownership and management. The Community will be cautioned 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, it is recognised that the cutting down of the affected trees will not happen as the PAPs 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. 51 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. 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 Squatter  Cash compensation at replacement cost without but residual depreciation 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 affected and depreciation remaining  One-time shifting allowance of Ksh. 2500 where structure is main dwelling unit is affected. non-viable  Housing allowance of 2500 for 2 months for those whose main dwelling structure is fully affected.  Right to salvage materials.  Additional cash support of Ksh. 2500/month for the first three months as rental expenses for vulnerable PAPs whose main dwelling structure is fully affected. B. Support to vulnerable groups (Elderly and female headed households)  Additional cash support of Ksh 2000/month for the first three months.  For Elderly and widowed assistance in reconstruction of structures.  For Elderly PAPs the RIC and County government of Nyeri Ministry of Gender, Social Services and 52 Sports) will enlist them for additional assistance to other programmes that include the unconditional cash transfer programmes such as the Inua Jamii 70 years and above cash transfer programme and the Older Persons Cash transfers (OPCT) programme. C. Loss of Livelihoods Kiosk 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 re- establishing. Trees  Right to harvest fruits prior to facilitation/Compensation of the affected trees during implementation of the ARAP.  Cash Compensation equivalent to the market value of similar fruit and non-fruit trees. 3 year (market value) for output fruit to allow for reestablishment of livelihood  For fruit trees affected but preserved as community asset, 2 trees improved fruit seedlings will be given for each affected tree to corresponding PAP. 53 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 RAP related grievances such as compensations. The grievance mechanism presented in the following sections of this RAP 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 agrieved party to seek redress at the court of law. 54 Levels (i), and (ii) are costs free. The legal redress option however, may incur some costs for the parties involved. 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 Committees (SGRC) will be established within the Project location at ARAP implementation stage, (i.e. during disclosure) through election by the community after sensitisation on the membership. The committee will comprise of a Grievance Officer (GO), who will be a member of the SEC for easier access by the community, 1 additional SEC Member, 2 respected community members elected by the Community (1 male and 1 female) and 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 55 e) County Environmental Officer f) Representative from enforcement department 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 A Grievance Officer (GO), who will be a member of the Settlement Executive Committee at the settlement level. The GO will lead the grievance mechanism. Principal responsibilities of the GO will 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. 56 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. 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. 57 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. 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 seek 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. 58 9.5 Effectiveness of the Grievance Redress Mechanism The following measures are proposed to ensure the effectiveness of the Grievance Redress Mechanism:  The SGRC and the RIC will be trained on their roles and the process flow before the start of ARAP implementation.5 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,6  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 about the proposed GRM through community level meetings.7 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. 5 Refer to the implementation schedule/table 10.3 for timelines. 6 Refer to the implementation schedule/table 10.3 for timelines. 7 Refer to the implementation schedule/table 10.3 for timelines. 59 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 recommendations recommendation outcome s to to RIC Mediation Committee Grievance Final closure Final closure YES YES Complainant processing satisfied with by outcome RIC Mediation committee (14days) (14days) NO NO Level 3 Complainant seeks legal redress Figure 9-1 Grievance address procedure 60 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 RAP. 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 Transport, direction. the capacity for Infrastructure, implementation of Housing and this ARAP Urban The Ministry has Development the capacity for infrastructure improvement in the planned settlements 2. Ministry of  It handles land tenure matters and issues titles The Ministry has Lands and experts in the Physical necessary key Planning areas: land management, land administration and physical planning 3. Ministry of  Financial management on behalf of the Borrower Capacity exists Finance (GoK) and funds will be  Provision of counterpart funding – part of which is made available. used to settle compensation claims by PAPs 4. National  Custodian of all public land on behalf of the county The commission Land governments. has the capacity to Commission  It is responsible for allocation public land this mandate 5. Nyeri County  Clearance of structures if people don’t self- The County has Government demolish after notice period and compensation experts in both  Part of grievance redress mechanism social and  Recommendation of vulnerable PAPs for environmental additional assistance to relevant actors. safeguards. 61  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 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. 62 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 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 63 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 RAP activities 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. 64 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 RAP 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 amongst different stakeholders in an engagement strategy summarized below. 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. 65 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 G Land Rights - Joint Registration of Titles - NLC - Spouses with - Regulation of land transactions - Land Control Board Joint E (mandatory spousal consent) Ownership N - Relevant land related institutions D - Allow PAPs to self-demolish, - Entitlements - RIC PAPS Community Notification & E salvage and rebuild affected - PAP register - County Government of meetings structures in time - Notice for self-demolish and implications Nyeri (CGN) Disclosure R - Ensure PAPs use compensation of failure to do so within time - Area Chief for right purpose - Ensure grievances are directed - Unilateral Grievance Redress Mechanism RIC PAPS Community Sensitization on C towards the right institutions for for ARAP implementation meetings GRM timely resolution - Procedures and processes in GRM O N - Avert conflicts and GBV over - Full disclosure of facilitation payment to - RIC PAPS - Community C compensation both spouses - CGN meetings Compensation & - Ensure PAPs use funds for right - Opening of Joint Accounts - Area Chief - Individuals/ Joint Accounts E purpose - Utilization of funds, GBV - SGRC Spouses R meetings Sensitisation 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 10-1 ARAP Stakeholder engagement Strategy 66 10.4 Budget This information has been redacted for confidentiality and to protect privacy. 10.5 ARAP 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 Chorongi informal settlement. 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 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.8 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 t he SEC, Grievance Committees, and the County offices. In addition,  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 8 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. 67 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) 3. Disclosure of Updated ARAP RIC Formation and capacity building of Grievance KISIP, RIC, Beneficiaries 4. management committees Validation of asset valuation/values, Sensitization of RIC, Area Chief 5. community on Conservation of trees and community assets Sensitisation of Community on Grievance Redress RIC, Area Chief, SGRC 6. Mechanism 7. Grievance Redress County KISIP, RIC, PAPs, GRC Sensitization of PAPs on bank accounts and use of RIC, Area Chief, SGRC compensation funds including joint spousal 8. management of cash, GBV on use of facilitation Funds as well as titles 9. Payment of compensation KISIP, RIC 10. Issuance of notice for self-demolition RIC, Nyeri County 68 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 9 11. Issuance of titles Ministry of Lands 12. Self-Demolition PAPs, SEC Demolition of any structures that have not been Nyeri County 13. demolished at the expiry of the notice period KISIP 14. Monitoring activities MoTIH&UD 9 Indicated as a continuous process to allow for resolution of grievances on titling if any arises. 69 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 displacement; (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. 7 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 incharge of GRM), iii. 1 Environmental Safeguards 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). 70 At county level activities, these are joined by relevant officers from Nyeri County including the community development officer. All members of the above team are responsible for monitoring on 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 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 through the environmental and social safeguards team (ii) Impact monitoring commissioned to specialized firms; and (iii) ARAP Completion Audit Table 11-1 ARAP 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 MoTIH&UD Semi- Monitoring input indicators quarterly narrative Project annual/annual as against proposed status and Implementation required by the time-table and financial reports Team Proponent budget including (MoTIH&UD) procurement and physical delivery of goods, structures and services. Impact Tracking Project Quarterly or semi- Annual or more Monitoring effectiveness of annual resettlement unit frequently as inputs against quantitative andor contracted required by the baseline indicators external qualitative surveys Proponent monitoring (MoTIH&D) Assessment of PAP Regular public agency satisfaction with meetings and other 71 inputs consultation with people affected by the project; review of grievance mechanism outputs Completion Measurement of External Contracted On completion of Audit outcome indicators assessment/sign- external auditing the ARAP time such as off report based on and evaluation table productivity gains, performance and agency livelihood impact monitoring restoration, and reports, developmental independent impact against surveys and baseline consultation with affected persons 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 - Infrastructure repair, displacement or replacement - 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 72 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. 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  Number of local consultative meetings held participation and  Type of issues raised at public consultation meetings public engagement  Number of participants attending public consultation meetings related to displacement disaggregated by gender 73 Training and Capacity  Number of trainings held disaggregated by target group/institutions Building and 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  Number of grievances referred to Level 3 (Courts of Law)  Number of complaints referred to World Bank Awareness and Access  Type of information disclosed to PAPs during each meeting to 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 displacement and 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 74 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; (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. 75 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 Chorongi 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 proposed 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 and quantify all losses from displacement of 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 RAP 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. 76  KISIP through the NLC will within 3 months of approval of this RAP 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 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 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 way leaves 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. 77 REFERENCES 1. KISIP Resettlement Policy Framework, 2014 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 78 ANNEXES ANNEX 1: ASSET REGISTER This information has been redacted for confidentiality and to protect privacy 79 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE KENYA INFORMAL SETTLEMENTS IMPROVEMENT PROJECT (KISIP) FOMU YA KUHESABU WAKAAZI WA VIBANDA INFORMAL SETTLEMENT ENUMERATION FORM Date: Serial No: Enu. No: County: Nyeri – NYR Settlement: Villages Zoned ParceID Structure ID Room ID 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 (ID card No): 7 kitambulisho Nambari ya Kodi (Pin No.) 8 1. Mwenye ploti (Plot Owner(s)) 2. Mwenye Nyumba (Structure 112 owner(s)) 3. Mpangaji (Tenant/ Occupier(s)) 9. Mwingine (Other) 8 (If 9 please explain) Parcel owner’s/ owner B occupier’s/ Tenant’s general details (Structure Mtu  Shirika 1 Owner/ (Person) (Organisation) 2 (Photo occupier): 3 number): (First 4 Name/Org. (Middle 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 1. Hajaoa/Hajaolewa(Single) status): 2. Ameolewa (Married) 3. Wameachana (Separated) 4. Mjane (Widowed) 11 (Any 1. Ndio (Yes) 2. La (No) 9.If yes, please disablity?) 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) 113  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 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 114 order of priority?)  Usalama (Security)  Afya (Health)  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) 115 within this  3. Nje ya Mtaa huu (Outside this settlement) structure): 28 (If you don’t  1. Yes 2. No reside within  the village, are you renting?): For Information on additional Owners See Appendices B1……………… Additional details for Occupiers 29 (Your share of the 30 rent) (Where did you live 1. Katika kijiji hiki (In this settlement) before you came 2. Katika Mtaa moja jijini (In a formal residential area in the here?) 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) 116  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) 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 1. Mapatano ya kupangisha (Written Agreement) 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 (If 9 please explain) 117 9 (Average cost of water per 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)  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 1. Mtoaji wa huduma ya kibinafsi (Private service solid waste?): provider) 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) 118 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 Names of 1.Spouse 1. Native 1. Owner 1. Male Age last is the the people (husband/wife) 2. 2. Tenant 2. Female birthday Head of who 2.Partner Migrant 3. Heir the usually 3. Father 3. Other 4. Joint household live at this 4. Mother Heir address 5. Sister Or 6. Brother Regards 7. Daughter this 8. Son address as 9. Cousin their 10.Not related “Usual Add S for step Place of relative e.g. S8 Residence for Step Son 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. 119 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 1. Mawe (Stone) (Walls) 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) 9. (Other) 20.6 (if 9 please explain) 20.7 Size Urefu (Length) Upana (Kipimo) (Width) 20.8 Matumizi ya Nyumba Structure Use D Business details 1 (Trade License 2 No): (Company 3 (Company/trading Registration No): 4 name): Type) (Business  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) 120  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 1. Lori (Lorry) your raw 2. Gari la kibinafsi (Private car) material/products?) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 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 1. Katika kijiji hiki (In this village) from?) 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): 121 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) 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 1. Katika kijiji hiki (In this village) from?) 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) 122 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) 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)) 123 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) 4. Maabara(Laboratory) 9. Huduma nyingine ya afya (Other Health Ikiwa Service) 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) 124 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)  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 No ) 125 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 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  1. Mwajiriwa wa Serkali (Civil Servant) 13 occupation)  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  1. Gari la kibinafsi (Private car) transport mainly  2. Gari la moshi (Train) used to 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) 126 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 Mambo mengine (Other issues) ya uma (Public Utility Space) mambo mengine, tafadhali taja (If any other please state)  2 Magojwa ambayo umeugua ( Diseases suffered in the last 4 Months ) 2 miezi 4 iliyopita  1. Malaria 5. Common cold (Homa)  (Malaria) 2. TB (Kifua 6. Amoeba / Typhoid (Amoeba/Homa ya matumbo)  Kikuu)Diarrhoea 3. 7. Hypertension (Kupanda kwa mishipa ya damu)  (Kuhara) 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) 127 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 2. Cheti cha muda (Temporary Occupancy License/Allotment proof 3. Hakuna waraka (No document) of letter) 9. Waraka mwingine (Other document) Ownership) 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  2. No settlement, are you renting?): 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)  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) 128  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main  1. Mwajiriwa wa Serkali (Civil Servant) 13 occupation)  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)  5. Duka la Dawa(Chemist)  6. Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Name of the medical facility) 129 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  1. Sababu za kinyumbani (Domestic reasons) did you move 2. Sababu za uchumi (Economic reasons) here?)  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) 130 32 (How many years have you lived in this settlement?) 131 ANNEX 4: RAP QUESTIONNAIRE 132 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) Pasturelands livelihood Lines d) Small scale c) Damage d) House e) Other d) Water sources, trade to e) Commercial canals e) Other livestock site and water d) Other f) Other infrastructure for irrigation and animals e) Drinking water f) Sewerage System g) Other 133 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 134 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 135