VOL. 2 @ 4& Government of the People's Republic of Bangladesh DHAKA WATER SUPPLY AND SEWERAGE AUTHORITY WASA Bhaban, 98 Kazi Nazrul IslamAvenue, Dhaka-1215 Preparation of Kescttlcrnent Action Fl;tn (RAP) for 1)isplaccment of'Squatter Communities of the 4 (four) Drainage Channels (ADDEND1JMTO PACKA(; E # 1)s-04) July 2008 Joint Venture of: Design Planning & Management Consultants Ltd. & Sheltech Consultants (Pvt.) Ltd. House no- 411, Road no. 4, Dhanmondi RIA, Dhaka- 1205 Tel: 8610567, 8610116-7, Fax: 880-2-8613043, Email: info@dpm.com.bd Government of the People's Republicof Bangladesh Dhaka Water Supply and Sewerage Authority WASA Bhaban, 98 Kazi Nazrul Islam Avenue, Dhaka-1215 Preparation of ResettlementAction Plan (RAP) for Displacement of Squatter Communities of the 4 (four) Drainage Channels (ADDENDUMTO PACKAGE# DS-04) Prepared by: Joint Venture of Design Planning & Management Consultants Ltd. (DPM) & Sheltech Consultants (Pvt.) Ltd. (SCPL) Submitted to: Dhaka Water Supply and Sewerage Authority (DWASA) July 2008 Preparationof ResettlementAction Plan (RAP) for Displacement of Squatter Communities of the 4 (four) DrainageChannels (ADDENDUM TO PACKAGE# DS-04) Table of contents Executive Summary................................................................................................. 4 Chapter 1: Introduction............................................................................................ 6 1.1 Background .................................................................................................. 6 1.2 Scope of RAP ................................................................................................ 6 1.3 Objectives of the ResettlementAction Plan (RAP)................................................... 8 Chapter 2: Legal Framework and Policy Objectives Of Resettlement Program................9 2.1Principlesand Objectivesof Resettlement........................................................... 10 Chapter 3: Methodology........................................................................................... 12 3.1 Cut-Off Date.............................................................................................. 12 Chapter 4: Profile of Affected People.....................................................................13 4.1 Land tenure profileof affected households.......................................................... 16 4.2 Demographicprofile of affected households.......................................................... 16 4.3 Types and uses of housingstructures................................................................. 18 4.4 Length of residencyon the canals...................................................................... 20 4.5 Household income ........................................................................................... 21 4.6 Household expenditures...................................................................................23 4.7 Primaryoccupation of household heads................................................................ 24 4.8 Savings.......................................................................................................... 24 4.9 Credit...........................................................................................................25 4.10 Distancefrom current work place...................................................................... 25 4.11Access to services......................................................................................... 25 4.12 Social Capital ............................................................................................... 27 4.13 Identificationof Vulnerable People.................................................................... 28 Chapter 5: Consultation with Affected People............................................................. 29 5.1 Stakeholders.................................................................................................. 29 5.2 Entitled Households......................................................................................... 29 5.3 Approach and Methods Used.............................................................................. 30 5.4 ConsultationsHeld .......................................................................................... 30 5.5 Results of consultation process........................................................................... 31 5.6 FutureConsultations......................................................................................... 33 Chapter 6: Analysis of Impacts and Mitigation Measures Proposed...............................34 6.1 Summaryof Impacts.......................................................................................... 34 6.2 Impactson housing structures............................................................................ 34 6.3 Primaryand secondary uses of affected buildings..................................................34 6.4 Size of structures..............................................................................................35 6.5 Rent Payments................................................................................................ 35 6.6 Impactson businessesand commercialactivities....................................................36 6.8 Measures to mitigate impacts identified.................................................................36 6.9 Entitlement framework.......................................................................................37 6.10 Special actions for vulnerable people..................................................................38 Chapter 7: ImplementationArrangements..................................................................40 7.1 Structure of Implementation ................................................................................. 40 7.2 Grievance Resolution Mechanism........................................................................42 7.3 Roles and Responsibilitiesof the Grievance ResolutionCommittee............................43 7.4 Right of complaint............................................................................................ 44 7.5 ImplementationSchedule.................................................................................. 45 7.6 Compilation and Submission of Reports ................................................................46 2 Chapter 8: Resettlement Cost Estimates and Budget...................................................47 8.1 Compensation to squatters for lost housing structures............................................. 47 8.2 Cash grants and allowances............................................................................... 47 8.3 Livelihood restoration program............................................................................ 48 8.4 Total Estimated Resettlement cost...................................................................... 48 Chapter 9: Monitoring and Evaluation....................................................................... 50 9.1 Indicatorsfor Monitoringthe Process of Resettlement Implementation.........................50 9.2 Evaluation...................................................................................................... 50 Glossary................................................................................................................. 51 List of Abbreviations................................................................................................................. 53 Annex 1:Resettlement Policy Framework...................................................................... 54 Annex 2: Socio-Economic Questionnaire Used....................................................................... 72 Annex 3: List of Affected People Eligible for Compensation.................................................78 Annex 4: List of vulnerable households................................................................................... 79 Annex 5: Stages of RAP Implementation................................................................................. 80 EXECUTIVE SUMMARY The Government of Bangladesh is seeking the World Bank's assistance in preparing this proposed project, to be prepared and implemented by the Dhaka Water Supply and Sewerage Authorities (DWASA),with the objectiveof improving water supply, sewerage disposal, sanitation and storm water drainage facilities in Dhaka. This will involve rehabilitation of existing sewerage systems, storm water drains and natural retention reservoirs,and building new pumping stations in Dhaka. However, the proposed improvements will cause displacement of squatters and encroachers from DWASA land and impose adverse impacts on their assets and livelihoods. DWASA has prepared a Resettlement Policy Framework (RPF) in compliancewith the World Bank's Policy on Involuntary Resettlement (OP 4.12) and GOB'Srequirements, which will provide the basis for the identification of impacts on private assets and preparation of Resettlement Plans (RP) containing mitigation measures, implementationarrangements, monitoringand supervision mechanism. The urgency to mitigate for the anticipated flooding in the forthcoming monsoon season has prompted DWASA to prioritize the rehabilitation of 4 canals, which required the preparation of this ResettlementAction Plan (RAP). The names, location and numbers of project affected people (PAPs) for each canal are tabulated below: Name of Location Number of Number of Number of All Canal (Municipal Squatter Tenant Encroacher Ward) Households Households Households Shahjadpur Badda 0 4 4 8 Canal Khilgaon Badda 4 24 4 32 Canal Abdullahpur Rampura 8 5 16 29 Canal Shutibhola Uttara 0 0 0 0 Canal Total 12 33 24 69 Shutibhola Canal has been found to be devoid of any settlement and is hence not a subject of discussion in this RAP. A total of 69 households,comprising of 310 individualswill be affected by the project in the three other canals. However, the 24 encroacher householdsin the project area, which will be affected by the project, have been deemed ineligible for compensation in the RPF agreed upon by the GOBand the World Bank, as their occupationof public lands is considered to be illegal. Hence, in accordance with the RPF onlv 45 of the 69 households will be eligible to receive compensation for lost assets and income. The project will require the removal of 45 structures most of which are used for residentialpurposes(only3 are used commercially).Since 41 of these structures are kutcha, (2 are semi-pucca and 2 are pucca) and 33 out of the 45 households that need to be resettledare tenants (who can rent elsewhere), the project impacts are not severe. The socio-economic baseline study of all 69 PAP households (including encroachers) reveals that the affected population is composed mostly of landless migrant workers from rural areas, presently living under very poor living conditions. The study also identified 26 households as particularly vulnerable based on certain criteria discussed in Chapter4. The Entitlement Iblatrix in Chapter 6 sets forth the compensation packagefor all eligible PAPsfor loss of structures and income. Additionally, a livelihood restoration strategy has been designed 4 for vulnerable households to comply with OP 4.12. No agricultural lands, cropsltrees, cultural properties or indigenous people will be affected by the proposed project. Compensation rates were determined on the basis of a market survey, to reflect the replacement costs of lost assets. All budgetary details are discussed in Chapter 8. Institutionalarrangements for the implementationof the RAP are discussed in Chapter 7. CHAPTER 1 INTRODUCTION 1.1 Background Infrastructure development projects are planned for the people, but these projects occasionally force people from their homes and communities and subject them to economic and social hardship, thus despite overall benefits of development, projects also generally result in some adverse social impact, including displacement and resettlement of project affected people. The World Bank Policy on Involuntary Resettlement requiresthat people who lose assets or livelihood because of a project, irrespective of tenure status, receive assistance from the project for relocation and resettlementand be paid compensationat replacementvalue for assets acquired. The Government of Bangladesh has requested assistance from the World Bank to prepare the proposed project to improve water supply, sewerage disposal, sanitation and storm water drainage facilities in Dhaka. The project would be prepared and implemented by the Dhaka Water Supply and Sewerage Authorities (DWASA). The project plans, among other improvements, to rehabilitate the existing sewer systems and storm water drains and natural retention reservoirs, and build new water pumping stations in Dhaka. DWASA also intends to update the wastewater management and sewerage master plan for more efficient planning and managementof these facilities. Some of the improvement activities will cause adverse impact on assets and livelihood including displacement of squatters and encroachers from DWASA (and other public) lands. Some activities may also require additional lands, which may need to be acquired from private owners. It is observed that squatters and encroachers that will be affected by the project improvement activities occupy the banks of most storm water drainage canals in the city. DWASA has prepared a Resettlement Policy Framework (RPF) that will govern adverse social impacts due to the project components. The RPF is consistent with the World Bank's Policy on lnvoluntary Resettlement (OP 4.12). The RPF provides the basis to identify impacts on private assets and preparation of Resettlement Plans (RP) containing mitigation measures, implementationarrangements, monitoringand supervision mechanism. 1.2 Scope of the RAP Due to the existing urgency to alleviateflooding in the forthcoming rainy season DWASA planned to recover 4 canals on priority basis and required a RAP in accordance with the requirementsof the Resettlement Policy Framework'. The four drainage canals covered by this RAP are located in four different areas (Municipal wards). Shahjadpur Canal and Khilgaon Canal are located in the Badda area in the western part of the city. Shutibhola Canal is located near the Rampura area and Abdullahpur Canal in the north of the city at Uttara. The Shutibhola Canal has no households or establishments situated within the canal and has not been considered for preparation of RAP. . Thus, this RAP has been prepared for the Abdullahpur, Khikgaoan and Shahjadpur canals only. . This RAP is based on a detailed baseline re-survey carried out to understand the existing situation at each priority canals. It was necessary as the initial RAP was originally carried out in 2005 and was deemed out of date due to delays in the preparation of the project. A summary of the Project Affected Households (PAH) is presented in the table below: ' Fulltext of Resettlement Policy Framework is appended in Annex 1. 6 Table 1. I: Number of Households by Canal Total Name of Canal No. Yo Shahjadpur Canal 8 11.59 Khilgaon Canal 34 49.27 Abdullahpur Canal 29 40.02 Shutibhola Canal 0 0 Total 69 100 A socio-economic profile of affected householdsis presented in Chapter 4 of this document. Following the provisions of Bangladeshi laws, the affected households found on the three canals analyzed are classified according to the three categories below: a) tenants b) squatter c) encroachers Tenants are defined as households residing within the canals' Right of Way (ROW), who do not own the structures in which they live and pay rent to the structures' owners through an informal agreement. Squatters are households residing within the ROW without having any kind of formal or informal permissionfrom the concerned authorities, build housing structures of their own initiative, and do not pay any rent. Encroachers are defined as households who own the land adjacent to the canal and extend their existing structures illegally without formal permissionfrom competent authorities. The following table presents the distribution of the three categories of affected people by canal. Table 1.2 Distribution of Encroachers, Squatters and Tenants by canal I Name of Canal Encroacher Squatter Tenant All ShahjadpurCanal 4 4 8 Khilgaon Canal 4 4 24 32 Abdullahpur Canal 16 8 5 29 Total 24 12 33 69 The largest number of affected people belong to the tenant category. Mitigation measures specific to this category to attenuatethe impactsof the project are presented in Chapter 6. It is important to note that under the current scheme, the only categories of affected people entitle to receive compensation for losses of assets or income are those householdsbelonqinq to the tenant and squatter cateqories. In line with the provisions of the Resettlement Policy Framework agreed between the Government of Bangladesh and the World Bank, no compensation is provided to encroachers who illegally occupy public lands for profit or to extend own housing or commercial structures. H!owever,the socio-economic profile for the affected households looked at all three categories of affected people, irrespective of eligibility for compensation.Only 45 of these 69 households, i.e. the squatters and tenants, will be eligible for compensationfor lost assets and income in accordancewith the principlesexpressed in the ResettlementPolicy Framework. 1.3 Objectives of the Resettlement Action Plan (RAP) 'This RAP identifies the impact and losses incurred by affected households, and outlines mitigation measures, compensation rationales, and institutional arrangements for its implementation . The specific objectives of the RAP are to: ldentify all affected people by type of losses and extent of damages; Categorize entitled persons (EPs) according to the eligibility criteria of the Resettlement Policy Framework (RPF) of the project; ldentify institutional arrangementsfor the implementationof the resettlement plan Establisha mechanismfor monitoringand evaluating the Resettlementprocess; Establisha timeframe for the implementationof the resettlement plan. The primary objective of the RAP is to provide a clear framework to identify affected people, establish cut-off dates for eligibility and establish criteria s for compensation payments for lost assets. Affected people in the four canals considered include tenants, squatters, and shop-owners who will be compensatedfor losses and disruptionsto their livelihoods. CHAPTER 2 Legal framework and policy objectives of resettlement program The current legal framework for acquisition and requisition of immovable property in Bangladesh is enshrined in the 1982 Acquisition and Requisition Ordinance. The Ordinance, however, only covers owners of lands with legal title and share-croppers,while the rights and responsibilitiesof squatters and tenants without legal title to lands they occupy or use are not covered. In addition, the 1982 Ordinance does not fully satisfy the requirements of the Bank's Operational Policy (OP 4.12) on Involuntary Resettlement. In essence, the law is largely indifferent to the landowners' present socio-economic conditions, or the long-term changes the acquisition and displacement may cause on the landowners. Also, no other policies are there to complement the acquisition law in ways to assess, mitigate and monitor the adverse impacts that the affected landowners may suffer. To highlight some of the salient provisions of the law that requires added mechanismsto meet the Bank's requirements: Avoiding/Minimizing Land Acquisition: The law only implicitly discourages unnecessary acquisition, as lands acquired for one purpose cannot be used for a different purpose, and lands that remain unused be returned to the original owners. However, there are no mechanisms to monitor if these conditions are actually adhered to. Eligibility for Compensation: The law stipulates compensation only for the persons who appears in the land administration records as the owners. It does not recognize the rights of those, such as squatters and tenants, who do not possess legal title to the lands they live in or make a living from. There is thus no provision to mitigatethe adverse impacts they suffer. Compensation Paid For: Provides for compensation for lands and other objects built and grown on them (structures, trees and orchards, crops and any other developments like ponds, built amenities, etc.). Noprovisions are there to assess and restore lost income stream or income sources that acquisition causes to the affected persons, be they legal titleholders or others like squatters and employees of affected businesses. Compensation Standards: Although the law stipulates 'market prices' of the acquired lands as the just compensation, the legal assessment method almost always results in prices that are far below the actual market prices. Certain pricing standards, which are regarded as unrealistic, are used to assess other losses like structures and other built amenities, trees, crops, and the like. Relocation of Homestead Losers: No legal obligation is there to relocate, or assist with relocation of, those whose homesteads have been acquired. Such persons/households,be they titleholders or squatters, are left on their own. Ensuring PaymentReceipt of the Compensation: Even with the given legal provision, the compensation process is too lengthy, and there is no certainty about when an affected landowner would get the stipulated compensation, or would at all get it. Lands are legally acquired and handed over to the project execution agency as soon as the authority identifies the owners (or 'awardees'), by examining the records, and sends a legal notice advising them to claim the compensation (or 'awards'). Here ends the legal obligation, and now it is the obligation of the affected landowners to prove, by producing an array of documents that the acquired lands legally belong to them. As gathering these documents is a long, expensive and cumbersome process, many landowners may remain unable to claim their awards. The project has meanwhile started to use the lands. 9 Socio-economic Rehabilitation: Finally, the provisions are so restricted that the law shows no concern whatsoever about long-term socio-economic changes the affected persons and households might undergo in the post-acquisition period. Except for the compensation at the legal 'market price', there are no other provisions, in the acquisition or other laws that require the government to mitigate the resultant adverse impacts caused by the acquisition. Socio-economic rehabilitation of the involuntarily displaced persons is totally absent in the legal regime of the country. In fact, the law is too long on the acquisition process and far too short in recognizing and dealing with the variety and severity of impacts the land-based development projects usually cause at the household and community levels, and even implementation of the stipulations enshrined in it. As a consequence, the authorities are seldom aware of whether or not, or the extent to which, development projects are makingcertain people worse-off. 2.1 Principles and Objectives of Resettlement Land acquisition and resettlement (LAR) policies for the project are derived from two sets of sources. The first includes The Acquisition and Requisition of Immovable Property Ordinance (Ordinance II of 1982) and its subsequent amendments in 1993 and 1994. The 1982 Ordinance governs all cases of acquisition by the government of immovable property (i,e., land, built structures etc) for any public purpose in public interest. In accordance with the Ordinance, the legal process is initiated by application by the requiring agency or department to the DC of the concerned District with a detailed map of the area and a land acquisition plan. The DC is empowered to permanently acquire and/or temporarily require the property in question and the owners affected by such acquisition are eligible to compensation for losses. In assessing the amount of compensation and value of the acquired property, the DC office takes into consideration as number of factors such as review of land transaction in the localityover the past twelve months, and present market rate. The Ordinance, however, only recognizes the titled owners of the property and the non-titledusers (for example, renters, illegal occupants squatters) are not eligibleto any compensation. The Project will also be governed by the WB's Involuntary Resettlement Policy, which requires that the displaced persons should be (i) compensated for their losses at replacement costs; (ii) assisted with the move and during the transition period at the relocation site; (iii) enabled to reconstruct a land-based productive existence; and (iv) assisted in their efforts to improve their former level of living standards, income earning capacity and productive levels at least to restore them though not improved. The absence of legal titles to land should not be a bar to compensation. In other words, all PAPSshould benefit from the Project, irrespectiveof their legal status as landowners or users of project land. The policy also requires that population displacement should be involved in resettlement planning and implementation. Further, in planning for relocation, women's needs and constraints should be addressed and preferences considered. The main objectives of the RPF for this projectare: i. Avoid involuntary resettlement where feasible and minimize resettlement where populationdisplacement is unavoidable; ii. Ensure that displaced people receive compensation, assistance and rehabilitation so that they would be at least as well off as they would have been in the absence of the project; iii. PAPswill benefit from the project, and iv. Project stakeholders, including PAPs are consulted and given the opportunity to participate,as practicable,in the design, implementation,and operation of the project v. Additional assistance should be providedto vulnerable groups. In connection with the project, the resettlement plan has been prepared to ensure that those affected by the ROW for the Project are not disadvantaged and can regain their lost income and 10 livelihoods in a short period of time. Thus, the policies and approach adopted in this project are to meet the requirements and standards of the above involuntary resettlement policy. These are summarized below. Resettlement issues to be considered early on during the project design. Consultation meetings with PAPs and other stakeholders, including local government and other concerned officials, were held to include local inputs into the Project design. This process will continue throughoutthe planning and implementationstage. All PAPs have been identified aloqg the ROW and their structures and other assets have been enumerated; a complete censuslsurvey has been conducted to assess the impact and to propose mitigations. PAPs will be paid cash compensation for structures and other assets at market rate. PAPs without land titles e.g., rented squatterslsheltered or other types households in the possible cases may receive relocationand income restorationgrant. The RAP includes provisions for other assistance such as shifting cost, house reconstruction grant and income restorationallowance as special compensationpackage. DWASA may engage an NGOI consultant for implementation of the RAP; the Plan contains provisionsfor external monitoringof the resettlementoperations. CHAPTER 3 METHODOLOGY A reconnaissance survey has been carried out for all project canals to capture a basic understanding of the current canal conditions. On the basis of those observations, a household socio-economic questionnaire was prepared and tested before being administered to the affected households. A multidisciplinary team was engaged to collect the data using the questionnaire. During the first week of February all fieldwork was completed. The data collected was then cleaned, cross-checkedfor inconsistencies and analyzed. Compensation rates for all kind of losses was determined on the basis of a market survey for building materials. To simplify the compensation procedures, a single surface rate (Taka per square foot) was established for the three types of housing structures found in the project area, i.e. katcha, semi-pacca and pacca houses. Details of the methodologyare presented in Chapter 8. The household socio-economic survey was carried out in the Right of Way established in the Engineering Design for the canals consideredfor the project. The following activitieswere carried out for the preparation of this RAP: a) Census Survev: The census covered 100% of the households residing within the 20 meter width or Right of Way of canals demarcated for preparation of the RAP. The census survey collected key demographic and socio-economic data of affected households. b) lnventorv of affected assets. The inventory of affected assets includes informationon the size and type of structures affected, tenure status, ownership of land and structures, place of work, potential loss of incomes and livelihoods. c) Video-documentation: A video recording of all the structures along the canals was conducted during the survey to document all affected structures, type of construction,and land use. This video will be used as evidence for any fraudulent claims that may be made by householdsat a later stage in project preparation. d) Photo ID distribution to all affected households. All affected people were also photographed and individual ID cards were distributed on the date of surveys in the canals correspondingwith the cut-off date (see table below). 3.1 Cut-Off Dates: The census survey established the cut-off date for entitlement of compensation of this project for the affected person. Each canal had specific cut-off date.. For the purpose of implementationof the project during the disbursement of entitlement of the PAPS this date is essential. Any households found to resettle along these canals after these cut-off dates will not be entitled to any assistance under the RPF. The following table presents the cut- off dates specific to each canal: Table3.1: Cut-Off Date for the project canal 1 ~ SI No. Name of the canal Cut-Off Date I I 1 1 ShahjadpurCanal 03-02-08 I I 2 Khilgaon Canal 05-02-08 1 4 1Abdullahpur Canal I 06-02-08 I Copy of the Household Socio-Economic Questionnaire is provided in Annex 2. 12 CHAPTER 4 PROFILE OF AFFECTED PEOPLE The people affected by the project can be categorizedas low income community dwellers, mostly residing in temporary houses and living in poor conditions. With the exception of a few households living in formal and permanent housing structures made of brick and encroaching on public lands, the rest of the affected families are either squatter or tenant households residing in temporary structures. Dwellersof the areas affected by the project are by and large landless people who have come to the city in search of employment. As it will be evidenced in the following text, however, they are not recent arrivals to the city, but rather have a long history of moving from slum to slum inside the city of Dhaka. The living conditions of these households are very poor, and their living standards are exacerbated by their proximity to the drainage canals that unfortunately are used as sewerage canals by many nearby apartment complexes and industries. Their exposure to diseases is thus very high, though data on their health conditions was not collected as part of the current study. In some of the areas visited during the field work, families have established themselves even under box culverts and move to other areas or simply raise the level of their floors to avoid inundation during the flooding season in Dhaka. The three canals considered for this project do not present large numbers of slum dwellers, though. As it was indicated in the previous chapters, only 45 households reside along the banks and within the ROW of the three canals consideredfor improvement. Picture 1: Typical low income community squatting on a drainage canal Picture2: Low incomefamilies living insidea drainage canal The three drainage canals covered by this RAP are located in four different areas (Municipal ward). Shahjadpur Canal and Khilgaon Canal are located in Badda area in the western part of the city and Abdullahpur Canal in the north of the city at Uttara (see map below). Figure4.1: Map of DrainageCanals I Drainage Canals of Dhaka City 4.1 Land tenure profile of affected households A major portion of the total length of the canals is likely to affect mostly the houses, shops and other structures of squatters residing on land owned by DWASA. The people affected by the proposed project depend on a variety of sources for their livelihood.. All affected persons, including squatters and non-titled users of land and/or structures, are eligible for compensation in accordance with the World Bank resettlement policy OP 4.12. Therefore, for operational purposes, it is important to define and clarify the following key concepts and issues associated with project impact and resettlement benefits. 4.2 Demographic profile of affected households The total population affected by this project consists of 69 households (or 310 people). The distribution of PAPSby sex and average household size in the three canals is presented in Table 4.2.1.Gender distribution of household heads shows that 57% are male and 43% are female. Most of the women-headed households live in the Abdullahpur Canal followed by Shahjadpur Canal. Average family size in the project canal is 4.49, only Khilgaon Canal has average of 4.88 persons per family and Abdullahpur Canal 4.17 person per family. Table4.2.1: Gender of household head by canal Sex Average Canal Male Female Total Family Size No. Yo No. Yo Shahjadpur Canal 4 50 4 50 8 4.13 Khilgaon Canal 21 66 11 34 32 4.88 Abdullahpur Canal 14 48 15 52 29 4.17 Total 39 57 30 43 / 69 4.49 Table 4.2.2 illustrates the overall population found in the project area of influence disaggregated by gender. No major deviances from expected results are observed in the sample analyzed. Table4.2.2: Gender distribution in affected households I Sex I Canal 1 Male I Female I Total / I No. / % I No. I % I No. 1 1 Shahiad~urCanal I 14 1 42 1 19 1 58 / 33 1 1 Khilaaon Canal 7 4 51 1 76 1 491 1561 Abdullahpur Canal 58 48 63 52 121 Total 152 49 158 51 310 Table 4.2.3 presents the distribution of household heads by age. Approximately 72% of the household heads fall within the range of 15 to 49 years, while 20% are within the age group of 50 to 59 and rest 7 % are older people. Particular attention should be paid to resettlement impacts caused to elderly-headed households (the 7% indicated). Table 4.2.3: Age distribution of the HH Head by Canal 60& 3 60 2 40 0 0 5 100 Above Total 8 12 32 46 29 42 69 100 Figure: 4.2.1 Age Distribution of HH by Canal Age distribution of HH Head by canal I No. 86r spondent 70 15-29 30-39 40-49 50-59 60 & Total Above Age group 129 Shahjadpur Canal Khilgaon Canal Abdullahpur Canal Total In case of level of education for the head of the householdsmost of the Abdullahpur Canalare illiterate (76%) while the scenario of the level of educationfor the head of Khilgaoncanal is better among the three canals. Table 4.6 providesthe overall picture of the Level of Educationfor the head of the family member by canal. Table 4.2.4: Level of Education of the family member by canal SI. Shahjadpur Khilgaon Abdullahpur Level of Education All No. Canal Canal Canal 1 Illiterate 2 8 22 32 2 Can sign only 0 1 2 3 3 Can read and write only 1 2 0 3 SI. Shahjadpur Khilgaon Abdullahpur Levelof Education All No. Canal Canal Canal 4 Literacy Courselinforrnal 0 0 0 0 5 Primary:class I-V 0 9 2 11 6 Secondary: class VI-X 1 7 1 9 7 SSC 2 1 1 4 8 HSC 0 1 0 1 4.3 Types and uses of housing structures There are three predominant house types in the area affected by the project. These are commonly called: 1) Kutcha:temporary structures made of local material (mainly bamboo) with corrugate( iron roof. 2) Semi-pucca - semi-permanent structure made of brick without plaster with corrugate iron roof. 3) Pucca- Permanent structure made of brick with concrete roof. Picture 3: Kutcha houses in a drainage canal The table below presents the distribution of housing structure by canal and by type of affected households. Table 4.3.1: Types of housing and uses by canal ~ Type of house Kutcha Others All - Shahjadpur Canal Tenant Residential 0 1 3 0 4 Squatter Residential 1 0 2 0 3 Khilgaon Canal Commercial 0 0 1 0 1 Tenant Residential 0 1 21 0 22 Commercial 1 0 1 0 2 Sub-total 2 1 25 0 28 1Abdullahpur Squatter Residential 0 0 8 0 8 Canal Tenant Residential 0 0 5 0 5 Sub-total 0 0 13 0 13 Total 2 2 41 0 45 In the total project area there are 41 kutcha houses, 2 semi-pucca, and 2 pucca houses. The pattern is evidenced in the following graph illustrating the prevalence of each house type by category of affected household. The distribution of kutcha houses is also relatively more pronounced in the categories of tenants and squatters, while it shows a lower incidence among encroachers. Figure4.3.1 Number of houses by category of affected people The size of the structures occupied by entitled households range from less than 60 sq. feet to more than 300 sq. feet. Around 64 % all structures measure between 61-120 sq. feet in size, while 24 % are smaller than 60 sq. feet. Table 4.3.2 below illustrates the size of structures affected by the project by canal. Table 4.3.2 :Size of structure in Sq feet. Tenant households normally pay a monthly rent to their landlords. The following graph indicates the amounts of money paid for renting premises by the affected people in the four canals. The number of householdsis pretty evenly distributedamong the categories of rent utilized here. Figure 4.3.2: Distribution of rent paymentsby canal (divided into 4 rent brackets) All tenants in the Abdullahpur Canal pay less than Tk 500 per month to stay in their premises. The levels of rent increase in the Shahjadpur and especially in the Khilgaon Canals, where a number of householdstriple their expenses relatedto housing rent. The practiceof subletting rooms in the project area is not common. 4.4 Length of residency on the canals No household in the affected population has been residing at their respective locations for less than one year, 65% of the affected families have spent between 1 and 5 years in these settlements. 14% of the affected people have resided in these areas for more than 5 years, and among them 11 O have been there for morethan 15years. h Contrary to popular perceptions that people in low income communities or slums in Dhaka are transient and reside there only for short periods of time, the data collected shows a well- established patternof settlement in the canals analyzed. The RAP should pay particularattention on mitigatingthe possible severing of ties between affected households and their communities of origin (the slums under consideration). Most of the affected households of three canals, however, have moved to the present location from other areas in Dhaka, rather than originally from their villages. 65% of the affected households have been living at the location for less than five years. The table below illustrates patternsof residency on the canals by category of affected people. Table 4.4.1: Years of residency on the canals by category of affected people Most of the households (73%) residedclose to their work place,while social relations appear to play a less important role in the choice of residence Table 4.4.2: Location prior to move to current residence Canal Response Nearby Social Others Total linkageslties location Shahjadpur 0 0 0 0 Canal 2. Khilgaon Canal 9 0 4 13 Abdullahpur 4. 7 2 0 9 Canal All 16 2 4 22 (73) (9) (18) (100) Figure 4.4.1:Location of Preference for PAPs to Shift to Location preference for PAPs to shift Nearby work Social Others Total location linkagesnaies Shahjadpur Canal Khilgaon Canal Abdullahpur Canal All 4.5 Household income The data collected shows a relatively large income bracket for the population affected, ranging from 50% of the sample earning < 5000 Tk per month, to 19% of the population earning more that double (> 10,000 Tklmonth). About 50% of the affected people earn less than Tk 5000 income per month which indicates that close to half of the PAPSare economically vulnerable in the context of market price and they spend about 70% of their income on food items. Distribution of household monthly income by canal is presented in Figure 4.5.1 below.66% of the households in Abdullahpur earn below TK 5000, followed by Shahjadpur Canal with 50% and Khilgaon with 38%, while 31 % (32 households) in Khilgaon have a monthly income of more than Tk. 10,000 and 1 households in and Shahjadpur and 2 Abdullahpur respectively have more than TK 10,000 monthly household income. Figure 4.5.1: Total monthly income of the HH by Canal Monthly income of HH by canal - Range of income +Shahjadpur Canal Khilgaon Canal - Abdullahpur Canal - The above graph provides the income patter of the households in the project canal which indicate that in terms of incomeAbdullahpur Canal stands at the bottom and Shahjadpur canal at the top among the three canals. Table 4.5.1 below illustrates the distribution of household income by category of affected people in the project canals, and reveals that encroaching households tend to be better-off than the other two categories of affected people. Table: 4.5.1 Total monthly income of the HH by Canal and Status 4.6 Household expenditures A rough estimate of expenditure patterns (Table 4.6.1 below) shows that a large portion of income is spent on food, ranging from 48% of total income in Khilgaon Canal to 70% in Abdullahpur Canal with an average of 51% applicablefor all affected canals. This finding seems to indicate that the population affected by the project is economically vulnerable, as a decrease of their income stream would immediately affect their capacity to nourish themselves. Particular attention should be given to the nutritional aspects of the resettlement program, especially during a "near-food crisis" situation currently experienced in Bangladesh,where prices of basic food commodities have been and continue to be skyrocketing. Table 4.6.1: Average household monthly expenditure by canal - - - - - Average expenditure (in Taka) per household Canal Canal Canal Food 2375 3425 4038 3509 I Transportation 300 ( 389 1 231 1 336 1 Water & Electricity 288 311 146 261 Clothing etc. 288 407 292 363 House rent 975 1361 133 1181 Medicalltreatment 225 377 254 328 Other Misc 500 1946 833 1490 Total 4950 7768 5762 6938 The pie-chart below illustrates the distributionof expenditurefor households interviewed. Figure 4.6.1: Percentage of Average HH Monthly Income Percentage of average HHmonthly expenditure Food Transportation Water & Electricity Clothing etc. 1 House rent MedicaVtreatment B Other Misc 4.7 Primary occupation of household heads The data presented in Figure 4.7.1 below illustrates the principal sources of employment for household heads affected. It is remarkable to note that 20% of household heads draw their primary income from small trade and business while another 26% engage in daily wage labour. Another 18% is employed in private sector services, while 10% are rickshaw or van pullers and housewives or perform householddomestic work. The graph illustratesthe distribution of sources of employment between household heads across the sample. A concentrationof primary occupationscan be noted in the first three categories accounting for roughly 62% of all observations),while the rest of the sample is relatively spread out without a clear pattern. Figure4.7.1 Absolute frequency of household head primary occupation 4.8 Savings Access to savings groups is rather limited in the affected population. Only 9 householdsout of 45 households that is 20% are members of a savings group, while the remaining 36 are not membersof any savings group which representabout 80% of the PAPs.. Table4.8.1: Member of any savings group Name of Canal 4.9 Credit Table 4.23 illustrates that access to credit sources for the affected population is rather difficult. In fact, only 19% of the households interviewed have obtained a loan. This indicate that crefdit facility is either not available or the PAPs do not take loans or have access to any NGO outreach.. Table 4.9.1: Taken any loan from someone Response Name of Canal Yes No. Total No. No. No. Shahjadpur Canal 3 5 8 Khilgaon Canal 4 28 32 Abdullahpur Canal 6 23 29 Total 13 56 69 4.10 Distance from current work place Most of the PAPs live very close to their work place.About 74% employment locations are within or close to the project area, followed by 13% who work in the nearby areas. The remaining 13% reporteda workplace at a distance > 2 km. As many of the affected households have theirjobs in the immediatevicinity of their current residences, it would be importantto ensure that households that need to relocate are provided assistance in finding a suitable solution close by. Provisions to facilitate their dislocation to near-by communities or within the same community should be incorporated in the actions of this planto mitigate impacts. Table 4.10.1 : Distance from work place Table 4.10.2 shows the mode of travel/ transport used to reach the work place.Around 70% walk to work, while 16% use public transportationand 10%of householdsalso use rickshaws. Table 4.10.2 Means of transport used to reach work place 4.11 Access to services i) Electricity. 58% of affected people have an electric connection in their premises, with the highest number of electricity connections reported in the Khilgaon Canal (90%). On the other hand, 90% of the affected households residing on the Abdullahpur Canal do not have access to electricity. Table 4.11.I:Access to Electric connection of HH by canals Response Name of Canal Yes No Total Shahjadpur Canal 8 0 8 KhilgaonCanal 29 3 32 Abdullahpur Canal 3 26 29 Total 40 29 69 ii) Water Supply Facilities. Almost 84.1 % have access to piped water supply while 11.6% collect or buy water from neighbours and only 2.9 % use deep well and shallow well water s'upply. Table 4.11.2: Access to water facility by HHs in canal areas I I Water facility Name Canal Buy1collect River1 supply Deep Shallow fro, Others Total canal piped well water neighbour Shahjadpur Canal 0 6 2 0 0 0 8 KhilgaonCanal 0 29 0 1 2 0 32 Abdullahpur Canal 0 23 0 0 6 0 29 Total 0 58 2 1 8 0 69 iii) Sanitation Facilities. Most of the affectedfamilies use open hanging latrines. Only 17 households use pit-latrines and 8 use water sealed with pit-latrines.Abdullahpur Canal presents the highest number of open hanging latrines,while in Shahjadpur Canal households have access to pit-latrines.Overall sanitary conditions of the affected people are poor. Table 4.11.3: Existing Sanitary facility in the project canals Toilet facility Canal Openlhanging Other - Shahjadpur Canal 6 2 0 0 0 8 Khilgaon Canal 11 6 1 13 1 32 Abdullahpur Canal 0 0 1 28 0 29 Total 17 8 2 41 1 69 iv) Schools. Table 4.11.4 presents informationabout affected households' number of school going children.. It shows that 44 children from 69 affectedfamilies in 3 canals will be affected with relocation.and likely to be dropped out of school if not relocated in nearly location. Table 4.11.4: Number of children attending school by canal Canal No. of school going children Shahjadpur Khilgaon Abdullahpur All Canal Canal Canal Total 8 31 5 44 Table 4.11.5 shows that 47 % of householdssend their children to nearby school within a radius of 1 km, while 32% go to schools within a distance of 1-3 km. Only 2 O hgo to schools that are 27 farther than 3 km from home. Children of project affected households are likely to drop out of school and specific measures should be taken to ensure continuing attendance during the relocation period. Table 4.11.5: Distanceof Schoolsfrom the residence Distancefrom residence Name of Canal Ikm 1-3 km >3 km Total Shahjadpur Canal 0 7 1 8 Khilgaon Canal 20 5 6 31 Abdullahpur Canal 1 2 2 5 Total 21 14 9 44 v) Medical and health facilities. Table 4.11.6 shows the distance of the nearest medical facilities from the residences. It shows that 71% of the households need to travel less than 2 km to use the nearest medical facilities while 29 % travel to more than 2 km for medical needs. Almost all households in Shahjadpur can use medicalfacilities within 2 km distance. On Khilgaon 17 families out of 32 households reported that they avail medical facility within 2 km. More than 80 % of the households in Abdullahpur travel less than 2 kms to avail medical aid. Displacement of PAPs from their present location would adversely affect their access to medical facilities unless the PAPs are resettled in a locationwhere they have easy access to healthfacilities. Table 4.11.6: Distanceof the nearest medicalfacility Distance (km) Name of Canal *2 2 5 *5 Total Shahjadpur Canal 8 0 0 8 KhilgaonCanal 17 6 9 32 Abdullahpur Canal 24 5 0 29 Total 49 11 9 69 4.12 Social capital Around 71 % of the households are located close to their relatives and close friends and 16 % are residing within the same area. Only 9 households are located very far from their present locations. It is likely that the households may possibly lose contacts or have to travel to meet their relativesand from friends. Table 4.12.1:Nearest locationof relativesand close friends Distance(km) Nameof Canal *2 2 6 *6 Total Shahjadpur Canal 8 0 0 8 KhilgaonCanal 17 6 9 32 Abdullahpur Canal 24 5 0 29 I Total 49 11 9 69 4.13 Identificationof vulnerable people The determination of vulnerable peoplewas carried out on the basis of the provisions included in the Resettlement Policy Framework negotiated between Dhaka WASA and the World Bank. Four categories of vulnerable groups are indicated in that document: (i) female headed householdswith dependents, (ii) disabled household heads, (iii) householdsfalling under the generally accepted indicator for poverty, and (iv) elderly householdswith no means of support. An analysis of the data collected during the census survey highlights that a total of 26 h~ouseholdsout of the 45 total sample fulfil the eligibility criteria for "vulnerable households."Out of these, 24 households are female-headed householdswith dependants and 2 householdshave declared total income that falls below the poverty line of 'rk. 36,000 per year (equivalent to Tk. 3,000 per month). No disabled people were detected, nor any elderly household heads in the sample analyzed. Table 4.13.1 Distribution of vulnerable households by canal Women- Households Household Canal headed below the TYpe households poverty line Abdullahpur Squatter 5 -- Tenant 2 1 Khilgaon Squatter 2 -- Tenant 12 1 Shajadpur Squatter -- -- Tenant 3 -- TOTAL 24 2 Measures to address special vulnerability of these households are discussed in Chapter 6 together with all other mitigation measures and the ensuing Entitlement Matrix. WITH AFFECTED PEOPLE Information dissemination and consultation is a part of process of conducting a social impact assessment and preparing a resettlementaction plan. Stakeholdersof the proposed project have been informed about the planned works and mitigation plan if any kind of adverse impacts is anticipated. Extensive consultations were carried out with the PAPs in 2006 and 2007 during the initial phases of the project preparation. Consultationwas also part of the second phase of this social assessment and was conducted again during the re-surveying of the 3 canals selected for the first phase of the project. Results of the on-going consultation have been presented in this report. During the consultation process, PAPs were informed about: Objectives of the project; Potentialbenefits and impactsof the projecton the people and communities; Objectives of the survey for RAP preparation Cut-off date and its implications; Grievance Resolutionmechanism; and Broad objectives of the DWASA RPF and ResettlementAction Plan (RAP) 5.1 Stakeholders Under the proposed project few groups have been considered as stakeholders. Those groups include: People living in DWASA canals either havirlg their own house structure or as tenant in other's house People living around the DWASA canals as they are the immediate user of the canal Local level representatives having interest in canal development of that area Officials of DWASA 5.2 Entitled Households Based on the PRF, encroachers such as households owning encroached structures are not eligible for any compensation.As there are many encroachers who are living on the canal sides will not be considered as eligible entitled PAP. The table below shows the list of entitled people for this project in the 3 canals. Out of the 69 PAPs, 45 PAPs have been identified as Entitled Households for compensation based on their living and structural status as mentioned in the RPF, such as encroachers are not eligible for compensation while squatters and tenants living within the ROW of the canals are considered for projectcompensation. Table 5.2.1: Entitled Households ENTITLEDPAPSby canal Number SHAHJADPUR 4 Squatter 0 Tenants 4 KHILGAON 28 Squatter 4 Tenant 24 ABDULLAHPUR 13 Squatter 8 Tenants 5 Grand Total 45 The analysis for compensation and entitlementwill be for these 45 entitled affected people. 5.3 Approach and Methods Used Before starting the field survey the consultant held consultations with people likely to be affected by the project. The consultant also involved DWASA officials in these preliminary discussions as they are the persons who have close interaction with the people living in the canals or along the slope of the canals. They have also clear idea about the possible use and design of the canals. The consultant also gathered historical information about the specific canals from DWASA officials to better contextualize the current study. No effort was required to bring the people together or to tell them anything about the planned activities of DWASA. As people were rather oversensitized over the years being at high risk of eviction, they were somewhat curious to know what types of intervention or development DWASA is proposing or planning. Consultants have explained to them the possible measures of development that the DWASA is going to take altogether for effective operations and maintenance of those drainage canals. PotentialPAPs expressed their views on that which have been recorded here. 5.4 ConsultationsHeld The consultation activities with affected people and other stakeholders articulated along two distinct phases. The first phase happened during 2006 and 2007 when preliminary information was provided to potentially affected people. Subsequently, additional consultation occurred during the re-surveying period in early 2008 specific to the 3 canals retained for the first phase of the project implementation. Prior to the re-survey undertaken in January - February 2008, a detailed survey in all the 15 canals were undertaken in 2006-2007. The details of consultations held by type and number of consultation and participants in the select four canals have been presented in Table 5.4.1 Table 5.4.1: Type and No. of Consultations held by Schemes No of No. of SL. Of Location consultatio participants in No. Schemes - n Consultation 01. Khilbarir lake, West Padardia, Shahjadpur Khal 10 32 02. East Basabo, Modinarbag, North Khilgaon- 11 28 Mugda, Modina para, Basabo etc. Basabo Khal 03. Padardia, Satar kul, Alif Nagar etc. Sutibhola Khal 08 18 04. Uttaran Kallan Samitiee, Sector-10, Abdullahpur 8 19 Abdullahpur Khalpar, Uttara-13 Key findings from the consultation sessions include issues raised by people based on perceived loses or benefits. The findings of the previous survey of each type of schemes have been discussed under respective scheme. These findings were validated during the re-survey conducted in February2008. The key issues raised by people and their suggestions for resolving those issues under the concerned schemes, are given in details in the tables below. 5.5 Results of consultation process The Canal specific issueswere identifiedthrough consultationlinterviewwith key informants. The survey showed that 53 % of the eligible PAPs are aware of DWASA project while the remaining47 % were not aware of the projectearlier but during the survey they became aware. Table 5.5.1: Entitled PAPs aware of the DWASA project Response Canal Yes No Total 4 0 4 I Khilgaon Canal 13 15 28 Abdullahpur Canal 7 6 13 1 All 1 24 1 21 1 45 1 While participants talked of the major issueslproblems, they also provided suggestions as remedy for the issues identified. The suggested mitigation measures against the anticipatedlpotentialproblems are presented in the Table-5.5.2 below. Table 5.5.2: Summary Findings of Consultation on Canal Improvement Name of What people Issue Project mitigation measures Canals generally suggested House -Resettlement Compensationas per law of the land structurewill In all canals Required and OP 4.12 be affected - Compensation required Structure They will remove Compensationas per law of the land (dwellings, In all canals themselves and OP 4.12 walls, latrines etc) will be affected Name of What people Issue Project mitigation measures Canals generally suggested Vulnerable They will be Compensation as per law of the land groups will In all canals compensated and OP 4.12 be affected Shops will They will be Compensation as per law of the land be affected In 1 canal compensated and OP 4.12 (Khilgaon) In the project affected canals, 45 affected households are enlisted as entitled households. The survey revealed that out of 45 eligible households 27 (60%) would have an idea on where to relocatespontaneously. Table 5.5.3: Responseto "Would you know where to relocate?" by canal Response Cana1 Yes No Total Shahjadpur Canal 2 2 4 Khilgaon Canal 17 11 28 Abdullahpur Canal 8 5 13 All 27 18 45 Of the 27 households who responded yes to the question above, only 1 showed a preferenceto return to hislher original village, while 26 households would prefer to move to other parts of the city. This is consistent with the previous observation that most of these households are long-time residentsof Dhaka and are not directly coming from rural areas. Table 5.5.4: Preference on relocationsite Response Canal Other Parts of Own "illage the city -Shahjadpur Canal Khilgaon Canal 16 1 0 0 17 Abdullahpur Canal 8 0 0 0 8 All 26 1 0 0 27 Table 5.5.5: ExistingSkills of Entitled Persons in 3 canals All 4 28 13 1 45 (9) (62) (29) 1 (100) 5.6 Future Consultations Public consultation and participation is an ongoing activity. DWASA will be responsible to carry out continued consultation with and informationdissemination to the key stakeholders regarding: Detailedexplanation of the grievance process and procedures; Details of entitlements under the resettlement plan and what is required of PAPs in order to claim their entitlements (a copy of the entitlement matrix should be provided to the PAPs); Compensation process and compensation rates; Implementationschedule with a timetable for the delivery of entitlements. DWASA will enlist the help of community leaders and other influential community officials in encouraging the participation of the PAPs in resettlement activities. Finally, DWASA shall attempt to ensure that all vulnerable groups understand the process and that their needs are specificallytaken into consideration.. CHAPTER 6 ANALYSIS OF IMPACTSAND MI'TIGA-I-ION MEASURES PROPOSED 6.1 Summary of impacts The total impacts of the projects on all three canals can be summarized as follows: Table 6.1.ISummary of lmpacts TYPE OF IMPACT NUMBER OF AFFECTED UNITS REMOVAL OF RESIDENTIALSTRUCTURES 42 REMOVAL OF COMMERCIAL STRUCTURES 3 AGRICULTURAL LAND NONE CULTURAL PROPERTIES OR CPR NONE INDIGENOUSPEOPLES NONE CROPS AND TREES NONE As it is evidenced by the table above, the key impact produced by this project on affected people will be the resettlement of the 45 households that currently occupy lands within the ROW of the project. Overall, the impact of the project is thus relatively small. Due to the implementation of the project only 45 householdswill be affected amoqg which 33 are tenants so overall impact on the affected people are not significant. Tenants are temporary and they will search for new locations in and around the existing location, though they may likely have to pay higher rent. Without any assistance to the squatter it would be difficult for them to find alternative location to build their temporary shelter in which case they may also go for renting a house, thus increasing their burden. The 24 encroacherswill be economically affected but due to their illegal status compensation of any kind will not be encouraged. 6.2 Impacts on housing structures In the project canal 41 structures are kutcha and 2 are semi-pucca and pucca. This reflects that there will be no serious impact on housing structures due to project implementation. 6.3 Primary and secondary uses of affected buildings Affected 42 structures are used as residence and rest 3 are commercial of which 1 is owned by an eligible squatter with temporary structure while 2 shops are set up on hired structures. Threre wil be less impact on the structures as almost all are temporary in nature. Table 6.3.1: Use of the buildings Use of Type of Constructionmaterials SI. Type of Canal building1 No. Respondent Semi- structure ~ u c c a Kutcha Others All pucca 1 Shahjadpur Canal Tenant Residential 0 1 3 0 4 2 Khilgaon Canal Squatter Residential 1 0 2 0 3 Commercial 0 0 1 0 1 Tenant Residential 0 1 21 0 22 Commercial 1 0 1 0 2 Figure 6.3.1: Number of houses by category of affected people Table 6.3.1 above shows that most squatters occupy kutcha houses that are informal in nature. As is evident from Figure 6.3.1, the most common housing type utilized by affected people is the kutcha (or informal) type. The distribution of kutcha houses is also relatively more pronounced in the categories of tenants and squatters, while it shows a lower incidence among encroachers. 6.4 Size of structures The size of structures occupied by Entitled Households range from less than 60 sq. feet to more than 300 sq. feet. Around 64 % of total 45 structures are between 61-120 sq. feet size while 24 % have less than 60 sq. feet. Table 6.4.1 below illustrates the canal wise size of structures. Table 6.4.1: Size of structure in Sq feet Size of Structure(Sq. feet) Canal upto 121- 161- 241- 61-120 ,300 All 60 160 240 300 1 ShahjadpurCanal 0 4 0 0 0 0 4 2 Khilgaon Canal 5 19 0 2 0 2 28 Abdullahpur Canal 6 6 1 0 0 0 13 11 29 1 2 0 2 45 All (24) (64) (2) (4) (0) 1 (4) (100) 6.5 Rent Payments The following graph indicates the amounts of money paid for renting premises by the affected people in the four canals. The number of households is pretty evenly distributed among the categories of rent utilized here. Figure 6.5.1: Distributionof rent payments by canal (dividedinto 4 rent brackets) All tenants in the Abdullahpur Canal pay less than Tk 500 per month to stay in their premises. The levels of rent increase in the Shahjadpur and especially in the Khilgaon Canals, where a number of householdstriple their expenses relatedto housing rent. The practice of subletting rooms in the project area is not common. 6.6 Impactson businesses and commercial activities Only 3 commercial establishment will be affected due to the project, among which 2 are on rented structures while I shop is owned by a squatter, so impact is relatively low, becausethe tenants can shift their business to a new location where they will go for new rental arrangement probablywhere they will establish their business, in case of squatter he can utilize the compensation money for re-establishing his business. 6.7 Crops and trees There will be no loss of standing crops or trees in any of the canals covered by the survey. 6.8 Measures to mitigate impacts identified The measures proposed for mitigating impacts of the project follow two distinct rationales, and are in line with OP 4.12 of the World Bank. These are: 1) compensation for lost assets and income at replacementcost; 2) livelihood restoration options, with particular attention to vulnerable households. All affected households and commercial or business establishmentswill self-relocate elsewhere, as DhakaWASA has not been in a position to secure alternative lands for affected parties. All affected householdsand commercial or businessestablishments will self-relocate elsewhere, as Dhaka WASA has not been in a position to secure alternative lands for affected parties. Dhaka WASA wrote to National Housing Authority (NHA) and Rajdhani Unnayn Kartipakhaw (Capital Development Authority), seeking land for resettlement of the Project Affected People (PAP). The Project Director met the official of these two organizations several times and pursued for having a positive outcome. Rajdhani Unnayn Kartipakhaw (RAJUK) replied, informing their inability to give any land for resettlement. NHA did not reply in written but informed verbally about their incapability. Then Dhaka WASA wrote to the Ministry of Local Government and Rural Development for making a request to the "National Steering Committee" a body formed for rehabilitation of the evicted Slum dwellers in 2007, to include the DWASA PAPs in their Master Plan for rehabilitation. Dhaka WASA kept provision to provide money, in this respect, in the DPP of the Investment Project. As indicated in the Resettlement Policy Framework, only tenant and squatter households are eligible for compensation underthis project,while encroaching households are not. Table 6.8.1: Summary of types of houses to be relocated by tenure CATEGORIES SQUATTERS TENANTS ENCROACHERS OTHER OF LOSSES ENTITIES HOUSING 12 STRUCTURES BUSINESSES 3 OR COMMERCIAL STRUCTURES LOSS OF INCOME FROM BUSINESS LOSS OF NA INCOME FROM EMPLOYMENT 6.9 Entitlement framework Residential and commercial structures will be compensated with cash compensation at full replacement cost, without depreciation. In addition, PAPs will be allowed to salvage any building material from the existing location. Since almost all the affected structures are temporary in nature and are built with bamboo and CI sheets, dismantling and reconstructionat the relocation site is common. Structures that only partially affected by the project will also be compensated for their total replacementvalue that are within the ROW and based on their eligibility status. Compensation rates for affected structureswere determinedas follows: i. Pucca constructionwithin ROW Tk 2501 sq ft. ii. Semi-Pucca structures within ROW Tk 120I sq. ft. iii. Kuchha structures within ROW Tk 80 I sq.ft. Affected squatters will be provided with cash compensation for the affected structures on the basis of the rates quoted above. Affected tenants who currently lease a structure for residential or other purposes will be provided with a rental allowance at the rate of Tk 1000lmonth for 3 months and will be assisted in identifying alternative rental accommodation. Tenants will also receive a cash grant in the amount of Tk. 1000 as assistance for finding alternative rental accommodation for the first month after their relocation. Squatters will also receive a transition allowance in the amount of Tk. 1000 per month for 3 months. All tenants and squatters affected will also be provided with a one-time transferlshiftinq allowance in the amount of Tk. 800 to cover the cost of relocating to a new location. Affected squatters and tenants engaging in commercial activities disrupted by the project are also entitled to a comprehensive cash grant to cover temporary business losses at the rate of Tk 5000lmonth for a period of 6 months. The assistance intends to cover expenses that affected people may incur into while relocating their businesses elsewhere. Though the project provides for the restoration of community facilities or services affected, no such facility has been identified during the impact assessment. Categories of entitlements and modality of compensation are presented in the Entitlement Matrix below. This is based on the agreements reached between the Government and Bangladesh and the World Bank encapsulated in the Resettlement Policy Framework approved for the projects. Only the relevant categories of that document are reported here. Any unintended or unenvisioned project impact will have to be compensated following the provisions illustrated in the original RPF. Table 6.9.1 Entitlement Matrix Type of Entitled Noof affected Compensation Losses Person households Structures - Cash compensation equivalentto 3 months' rental allowance (@Tk. 1000lmonth) Tenant 31 - Transferlshiftingallowance (one-timeTk. 800 grant) 1 - Assistance for alternate rentalfor one month (@Tk 1000lmonth) All affectedsquatterswill be entitled to: - compensation in cash for affectedstructure - Transferlshiftingallowance (one-timeTk. 800 grant) Squatters - Transitionallowancefor three months (@Tk. 1000lmonth). Additionally,vulnerable squatterswill be provided with relocationassistanceand offeredviable I options to chose from Loss of Tenants or / I - Transition allowancefor the permanent loss of 1 business1 squatters business, incomes & wages equivalentto the loss incomesor 3 of incomelwagesfor a periodof 6 months (@Tk. employment 5000lmonth). - Incase of temporary loss of businessof incomeslbusinesses,compensation will bewages equivalent to closure period. 6.10 Special actions for vulnerable people As the number of vulnerable householdsor households requiring specific attention is very small and spread out among canals, the cost of setting up a livelihood restoration programwould be too highto justify vis-a-vis the very limited number of beneficiaries. For these reasonsthe following approach will be utilizedto ensure that particularattention be provided to needy households: 1) assistance provided by the Project Implementation Unit and the ResettlementAdvisory Cell to vulnerable householdsin identifyingNGO-run programs of livelihooddiversification or capacity building programs offered in the vicinity of the relocationsite or the site where the affected householdwill establish post-resettlement. 2) an additionalcash grant in the amount of Tk. 2000 per vulnerable householdsto cover costs of enrolling in such programsor begin participatingin a credit scheme if needed. CHAPTER 7 IMPLEMENTATIONARRANGEMENTS Dhaka Water Supply and Sewerage Authority (DWASA) has the overall responsibility in executing and implementingthe drainage canal improvement project. DWASA is an autonomous h d y with the Managing Director as its Executive Head. DWASA is directly controlled by the Local Government Division, of the Ministry of Local Govt. Rural Development and Cooperatives (LGRD&C). Dhaka WASA is governed by its Board constituted as per provision of DWASA Act, 1996. Operational functions are divided into three major wings, each headed by a Deputy Managing Director (DMD), namely: 1). DMD Finance and Administration (FA) 2). DMD Operation and Maintenance (O&M); and 3). DMD Research, Planning and Development (RPD) All sewerage and drainage development projects, including planning and design are undertaken by respective Project Directors in-charge of sewerage and drainage components, functioning under the RPD wing. The existing institutional arrangement will not be able to handle the complex issue of resettlement. DWASA will thus assign dedicated staff on a full-time basis to handle the resettlement issues associated with the project and as more drainage canals will be taken up based on successful implementationof Resettlementaction plan in the pilot phase by DWASA. 7.1 Structure of implementation The Project Director will be overall responsible for all activities related to the World Bank financed DWASA project. Project Director will be assisted by staff of the Resettlementteam with assigned full time officials to address the social issues and resettlement activities related to the project. The roles and responsibilities of officials engaged in the design and implementation of the RAP is shown in the table below: Table 7.1.1:Implementation Structure ResettlementOfficials Responsibilities and Accountabilities Deputy Project Director Overall supervision and management of all resettlementactivity Maintain liaison with all concern department relatedwith resettlement implementationactivity Preparation of TOR for Resettlement Plan preparationconsultant and resettlement Supervise the implementation activities of ResettlementAction Plan Supervisethe activity of ResettlementTeam Provide guidance to Resettlement Team to work with Drainage Engineers in the field implementation ResettlementAdvisory Team Resettlement Consultant is responsible for ( External Consultant, Community implementation of Resettlement Action as per DevelopmentOfficer) ResettlementPolicy Guideline. Supervise civil works and ensure that drainage Responsibilities and Accountabilities engineers hold contractors responsible for no damage or harm caused to structures on private land. Conduct field investigations, surveys; analysis of data; and preparationof necessarydocuments; Management of data and information on resettlement and other social issues; Ensure Public consultation and information dissemination; Support in payment of compensation and other assistanceto PAPs; GrievanceResolutionare in place and active Evaluate the effectiveness of RAP implementation. Facilitate support organization for interaction with PAPs for compensation. Maintain contact with PAPs and share information of progressand mechanism of compensation Ensure PAPs have dismantled structures Informationon Livelihood issues and provide initial capacity support Facilitate PAPs receive information on compensation, dates and venue for collection Facilitate that PAPs are able to withdraw the compensationmoney from the Bank. Provide feedback and ground information to the ResettlementAdvisory team for monitoring The organizational structures of the units responsible for implementation of the RAP are illustrated in the organogram below. Figure 7.1.I :Organizational Structure of Responsible Units Project Director, Resettlements v Executive Engineers 4 I.Resettlement Advisory Team ( External Consultant, Community Dev Specilaist Project Affected Persons (PAPs) The ResettlementAdvisory Team will perform a series of duties, including: Inform PAPs of their rights, entitlementsand obligations under the RAP Continue the on-going process of consultation Ensuringthat PAPs receive their full entitlements Assist PAPs on lodging grievances Monitor implementation of the RAP in all its aspects. Close collaboration between drainage engineers and resettlement team will be fundamental in implementation of RAP and civil work. In particular, the drainage department will be expected to play a pivotal role in the implementationof the resettlement program in terms of: a. identification of affected peopleduring the construction phase, b. supervision of contractors and sub-contractors' compliance with agreed resettlement procedures, c. ensuring that no new encroachers settle on cleared lands; d. define roles and responsibilities for M&E functions with regards to resettlement implementationactivities. e. DWASA should make a provision in the contractors' contract to compensate any damage caused on the tenements outside the ROW during execution of civil works. f. The contractors can negotiate with the squatters outside the ROW to temporarily remove structures if civil works are likely to be affected and the cases have to be recorded which the drainage and resettlement teams would verify on completion of works. While the Resettlement Advisory Team will work in close collaboration with the executive engineers responsible for specific canals, it will report directly to the Project Director and not through the executive engineers. This is a way of ensuring adequate independence of the ResettlementAdvisory Team from pressures exertedat the canal level. 7.2 Grievance Resolution Mechanism The resettlement policy and the RAP provide ample attention to people's participation and support mechanism to PAPs to enhance their acceptance of the resettlements and rehabilitation program in order to reduce complaints and grievances. Despite best efforts to arrive at fair compensation in projects involving involuntary resettlement, things can always go wrong or alternatively there can always be a few unsatisfied citizens. The DWASA will make efforts to resolve grievances through negotiations involving community leaders and PAPs representatives. It is for them that a Grievance Resolution mechanism is placed and a grievance Resolution Committee is set up. In case dispute is not resolved at local level, the matter through submission of a formal reference from DWASA will be placed before a Grievance Resolution Committee. Each canal will have a GRC for tackling local situation. The diagram below (Figure 7.2.1) illustrates the processes to be followed for lodging and resolvinga complaint and the different tiers of decision making in resolving possible issues. Figure 7.2.1: Flow Chart of Grievance ResolutionCommittee (GRC) Any Aggrieved Project Affected Personor compensation Entitled Person (APAP IEP) * A Petition / Written DPD Complain by b APAPIEP (SE, DWASA) I EPs File, GRC meeting Records arrangement T $. 1. Member from the Resettlement Advisory Team from DWASA/ DPD DWASA 2. NGO Representative 3. Representative from PAPSGroup Aggrieved PAP (Petitioner) or Representative. Yes Y w Issue resolved b Resortto local w CompensationI 4 assistanceI facility w granted I receivein cash Entitledperson to l or in cheque I I Seek LegalAssistance 1 7.3 Roles and responsibilitiesof the Grievance ResolutionCommittee The Grievance Resolution Committee is expected to convene meeting when necessary at places within the project area as considered appropriate, shall conduct the proceedings in an amicable manner to reach a settlement between the parties as effectively as possible. The report of the proceedings including the attendance of people shall be recorded and copies to be provided to the parties. The Grievance Resolution Committee has the right to take decisions regarding entitlement and compensation, in case of continued differences. Records of the decisions during negotiations will be formally undertaken for any future reference. In case of continuing differences, the GRC can take a decision regarding entitlement and compensation. The decision taken during negotiations and GRC meetings shall be formally recorded for future reference and presentation in the court, if necessary. All expenses incurred in arranging grievance negotiations and meetings of GRC as well as logistics required, shall be arranged by project-executingagency. Each of the canals will have one Grievance Resolution Committee (GRC). 'These GRCs will be constituted and gazetted through the Ministry of LGRD, to assist the EA resolve the grievances of the affected persons in relation to resettlementactivities. The functions of the GRCs will be to: Receive applications and hold hearings on affected persons grievances concerning the Project and resettlement issues in particular. Refer affected persons to DWASA if the grievance can be dealt through conventional law or by arbitration. Make decisions to resolve affected persons grievances following the Resettlement Policy Framework if outside conventional law and if the grievance does not lead itself to arbitration. Prepare recommendations according to the procedure described by the GRC in resolving affected persons complaints. The GRCs will receive affected persons grievances and resolve them in the following manner: > The affected persons grievancewill be lodged in writing with the GRC within a month of the > receipt of ID Card or from when the affected persons is informed of hislher entitlement. > The GRC will meet to resolve the affected persons grievance within 10 days of its receipt and will preserve the records and procedure of the meeting. The GRC will mention the basis of its resolutionsin the written records of its meetings. > The GRC will publish its decisions regarding AP grievances through local community meetings. > All the GRC activities will take place in the office of the chairperson 7.4 Rightof complaint: The aggrieved parties, if not satisfied with the decision of Grievance Resolution Committee, has the right to refer his/ her petition to court of law. A specific procedure will be adopted for filing complaints, review, and decision-making during the implementation of RAP. All complaints and grievances would be documented by the DWASA staff. 7.5 lmplementationSchedule lmplementation of the RAP will begin prior to the commencement of engineering works. No epgineering work will begin until all PAPShave been compensated and received their respective entitlements. The following steps will be followed for the RAP implementation: 1) Survey (already done) 2) Preparation of inventory of affected people and assets lost (alreadydone) 3) Distributionof ID cards and establishment of cut-off dates (already done) 4) Communicationto PAPs on commencement of engineeringworks 5) Provisionof at least 4-weeks notice prior to resettlement 6) Establishmentof processfor compensating PAPs (see section below) 7) Communicationto PAPs of deadlines and modalitiesfor receivingcompensation 8) Actual delivery of compensationto PAPs. 9) Closure of compensationcases 10)Implementationof livelihoodrestorationfor vulnerable groups Specific arrangements that would need to be made by DWASA and activities that need to be taken for finalization of the RP and its implementation are specified below. Educate PAPs on their rights, entitlements and obligations under the RAP Ensuring that PAPs receivetheir full entitlements Assist PAPs on grievance Resolutional through the established system, an Collect data as required and decided by the ResettlementCell of DWASA. Specifically, its activities will be: Developrapport between PAPs and the implementing support agency and DWASA Explain PAPs of their entitlements and ensure that benefits due to the PAPs under the RPFare providedto the PAPs Ensure proper utilization by the PAPs of the compensations available under the resettlement package Assist the PAPs in getting benefits Helpthe PAPs, if necessary, in acquiring income- generating schemes Any other responsibility that may be assigned by the DWASA for the welfare of the affected people. As a general principle for the RAP, individual PAP will be monitored to ensure that they are able to regain or improve their former socio-economic status and quality of life. If it becomesapparent that the assistance govern under the project is insufficientto obtain this goal within the life of the implementation of the resettlement program, then consideration will be given to whether additional assistance or support towards different activities need be given. Implementationschedule for the compensations to the PAPs should be for six months which also should address the GRC cases. Compensation should be paid after public disclosure of entitlement matrix prepared for this project by DWASA through consultationwith the PAPs . Payment of compensation to each PAPs should be given through bank cheque by individual name. They should receive the payment according to their ID Number and proof which should be properly documented. The document will content date, type of loss and compensation amount paid. The compensationwill be collectedfrom DWASA authorized Bank against proof. 7.6 Compilation and Submission of Reports Submission of Report on Social Impact Assessment will form the base for the preparation of micro plans. Final Completion Report is expected at the end of implementationof RAP. Records of meetings, consultationsand GRC meetingsto be documented, shared and attached with the RESETTLEMENTCOST ESTIMATESAND BUDGET The total cost of the RAP implementationwill result from the payment of entitlements to affected people, setting up a livelihood restoration program, hiring personnel for RAP implementation, institutinga grievance mechanism and other contingencycosts. 8.1 Compensation to squatters for lost housingstructures Compensation rates for affected structures were determined based on the current market prices for building material and labour costs. Market surveys were carried out to determine cost of construction and the rates for two categories of structures finalized as follows: Pucca construction within ROW Tk. 2501sq ft. Semi-Pucca structures within ROW Tk. 120Isq. ft. Kuchha structures within ROW Tk. 80 Isq. ft. The following table presents the total cost estimate for housing structure by category of affected households: Table 8.1.1: Total Cost Estimate for Housing Structure by Category of Affected Households: Squatters Total Value Units Size in (Tk) sq ft Kutcha 11 914 73,120 ~ Semipucca -- ----- ---- Pucca 1 400 100,000 Total 173,120 8.2 Cash grants and allowances Information on the rents paid by the PAPSwithin the project area was collected during the field surveys. This was used to establish rentalallowancefor affected tenants. Squatters Tenants Total Units Value Units Value Business Allowance Tk. 5000lmonth for 6 months Rent Allowance for Tenants Tk 10001month for 3 months Transport Allowance Tk. 800lmonth for 1 month 1 1 8,000 31 24,800 32,800 Squatters Tenants Total Units Value Units Value Transition Allowance for squatters 12 -- -- Tk. 1000/monthfor 3 months 36,000 36,000 Assistance in alternaterental accommodation -- -- 3I 31,000 31,000 Tk. 1000/monthfor 1 month Total 288,800 8.3 Livelihood restoration program The cost of the livelihood restoration program will be as follows: 26 of vulnerable households@ Tk. 2000 per household = Tk. 52,000 8.4 Total Estimated Resettlementcost Estimated cost of compensation and other assistance for all the four canals is given in Table below. Estimated resettlement cost for four canals is presented. Since the cost of resettlement sites cannot be determined at this stage, the estimated resettlement cost presented here is only tentative. These costs will be finalized after the resettlement sites are identified and cost of development is estimated. The format to record cost of resettlement site is included in Table 8.4.1 below: Table 8.4.1: Cost of Resettlement I Overall cost estimate for RAP implementation I Total estimated cost of compensation for lost assets 173,120 Total estimated cost of allowances estimated cost of livelihood restoration program 52,000 TBD Estimated cost of GrievanceResolution 15% TBD Contingencyplanning cost 20% TBD I I Grand Total Fundsfor planning and implementationof Resettlement Plan will be provided by DWASA. Should additional costs emerge during the implementation phase of the RAP, DWASA will make arrangements to allocate appropriatefunds as required. MONITORINGAND EVALUTATION For the proper implementation of Resettlement Plan and to achieve the objectives of the RPF, appropriate supervision and monitoringwill be necessary. DWASA will appoint adequatefull time staff to monitor the process of resettlement. In order to assist with monitoring, DWASA shall obtain and maintain appropriate baseline data to the resettlement impacts. The supervision and monitoring staff should be present in the field as well as at every meeting related to resettlement. Monitoring of resettlement implementation will be carried out by the Resettlement Cell and officials of DWASA. After resettlement is completed, DWASA will carry out implementationevaluation to evaluate the impact of resettlement on the PAPSand to determinewhether or not the PAPSare able to restore their incomes and living standards, by comparing with the baseline data collected during the preparation of RAP. The main objective of the evaluation exercise is to determine whether the resettlement is effective and to make needed recommendationfor additional assistance. 9.1 Indicators for Monitorirlgthe Process of Resettlement Implementation: Following process, output and outcome indicators will be used to monitor the progress of resettlement implementation. Process Indicators: Staff hired and trained Resettlement budget revised and timely allocationof funds made Completion of baseline socio-economic survey LandAcquisition Plans, if necessary, finalized Agreements with the PAPSon compensation rates and entitlements reached PAPS are informed about project schedule and entitlements and have received copy of their entitlements Grievance mechanism established Output Indicators: Number and percentage of PAPScompensated Number of PAPSidentifiedfor relocationand site selected Number for PAPSrelocatedto relocationsites Number of squatters and other vulnerable PAPSprovided with assistance Outcome Indicators: Number of PAPSable to re-establishtheir affected businesses Number of PAPSable to improvetheir household income levels Numberof squatter and vulnerableAPs able to resettle on new location The Resettlement Cell with Resettlement staff will submit monthly supervision and monitoring reports to the Project Director. The progress of resettlement implementation would be incorporated in the periodic project progress report for submission to the Bank as shown in Table ..... Observing and appraising various specific parameters and processes as objectively as possible will be carried out. Periodic evaluation of these would indicate where and when policy changes could occur where deficiencies in implementationmethod are apparent. Table 9.1.I: RAP Implementation Monitoring Progress Report (Quarterly IMonthly) Period: ............................................ Monitored by: ......................................................... Project Cumulative Progress During Reporting Month Status & Unit Achievement Remarks Component Grand Total Target Achievement Total Quantity Completed Quantity Complete Quantit Completed % d % Y % Resettlement Preparation Distribution of Brochures, leaflets, Posters, etc. related to Resettlement compensation Package Identificationof PAPslCBEslEPs, etc Issuanceof ID cards Consultationmeetings =ormationof GRC. nstitutionalSet up Payment of Compensations: CompensationforResidential I commercialstructures Payment for Tenants Shiftinglrelocationcosts Resettlement Activities: Incomerestorationgrant Business re-establishmentGrant Payment for indirect impact Numberof GRC meetings Number of solved GRC cases 9.2 Evaluation The impact evaluation will be carried out at two different stages, viz . mid term and after the implementation of RAP is over. Impact evaluation will look at all the affected population, particularly the self relocate. The aim of the evaluation exercise is to provide an assessment of RAP implementation to enable timely adjustments of implementation set up and also to verify whether the objectives of resettlement have been achieved or not. To achieve this aim, the objectives would be: To assess whether the implementation of the ResettlementAction Plan ( RAP) is as par the R&R policy and RAP document Whether PAPs are taken into confidence before relocation and whether the process of RAP implementationwas transparent. Whether Grievance ResolutionCell was in place and PAPs approached GRC Whether the process mentioned in RAP for disbursement of compensation, R&R assistance, physical relocation assistance and economic rehabilitation of PAPs was followed Whether the institutionalarrangement as suggested in RAP was in place and participated in RAP implementation To evaluate whether the outcome of the social development objectives of the project affected being achieved with respect to those who have physically relocated ( displaced families). Whether R&R policy was suitable and adequate w.r.t. to diverse social groups setting affected. Policy will be evaluated on three counts; policy entitlements, expectations of the PAPs, and efficiency of the delivery systems. Whether the goals of R&R policy of improvingor at least restorethe lives of the PAPs has been achieved, especially of vulnerable PAPs. Project Affected Persons (PAP) includes many person or persons, households, a firm, or private or public institution who, in the context of acquisition of assets and change in land usage, as of the cut-off date, on account of the execution of the project, or any of its subcomponents or part,would have their: a). Standard of living adversely affected; b). Right, title, or interest in any house, land (including residential, commercial, agricultural and grazing land) or any other moveable or fixed assets acquired or possessed, in full or in part, permanentlyor temporarily adversely affected; or c). Business, occupation, places of work or residence or habitat adversely affected, with or without displacement. PAP means persons or affected household and consists of all members of a household residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components. For resettlement purposes, affected persons will be considered as membersof affected households. Household (HH): A household is a group of persons who commonly live together and would take their meals from a common kitchen. The socio-economic survey, to be carried out after the canal alignment is finalized, shall use this definition and the survey data will form the basis for identifying the household unit. There may be one or more persons in a household who are entitled to a resettlement benefit based on the nature of losses. Entitled Person: An entitled person (EP) is one who has lost hislher assets (for example, land, structure) andlor employment as a direct impact of the project and is eligible to receive compensationfrom the DC office andlor cash grant from DWASA. Structures- Houses and Commercial Enterprises: All structures acquired for the Project - living quarters, community infrastructures (e.g., school, mosque, temples etc.) roadside shopslbusinesses (e.g., hotellrestaurants, squatters), commercial enterprises etc. on the ROW alignmentthat belong to the PAPSwill be compensatedfor. Compensation will be at replacement costs to be determined by authorized Governmentofficials and survey reference. AssistancelCompensation: Assistance andlor compensation include cash compensation to affected households and persons, included,for lost assets or income. This includes shop owners running businesswithout authority. Relocation IResettlement: Relocation refers to physically moving from the affected to a new arealsite and rebuilding homes, assets, including productive landlemployment while resettlement means reestablishing income, livelihoods,living and social system. Renterslsquatters: Renters and squatters are individuals (and households) who do not own any land (for residential and commercial structures) but live on land acquired by the Project. This includes dwellings, small shops and roadside shop owners (hotellrestaurants) who are users of Govt.1khas land, or privately owned land within the ROWalignment. Replacement Cost: Replacement cost means and include an amount needed to replace an asset at current value including depreciation and overhead expenses of the transaction, including stamp duty and registration charges, as follows: a). Agricultural land based on its productivepotential; b). Residential land based on market value; c). Houses and other related structures based on current market prices of building materials and labour, without depreciation and deductions for salvaged building materials, plus transaction costs (such as administrative charges, registration and titling costs) etc; d). Trees, crops and plants on current market value; and e). Other productive assets like shops and commercial assets based on market value of similar locationattribute i.e. premiumetc. Cut-off Date is the date prior to which the occupation or use of the project area makes residentslusers of the project area eligible to be categorized as affected persons. In many projects, the cut-off date coincides with the commencement of the census of affected persons within the project area boundaries. Persons not covered in the census will not be eligible for compensation and other entitlements. For PAPSwith legal titles the cut-off date would be the date of issue of legal notice under the land acquisition act. For those without titles, the cut-off- date will be the date of commencement of census. This date for the each canal has been mentioned in the other chapters. Land: The term land refers to land acquired under the land acquisition act or through private transactions. Squatters: Squattersare personswho occupy1possessan asset without legal title. Tenants; are defined as those households are residing within the canals Right of Way (ROW), but not owner of the structure and paying rent to the owner of the structure on monthly basis through an informal agreement Encroachers: Encroachers are those owners of land adjacent to public property, which have illegally extended their land holdingsor structures into the public land. Vulnerable groups: These are distinct groups of people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, and (iv) elderly households with no means of support and landlessness. List of Abbreviations GOB : Government of Bangladesh DWASA : DhakaWater Supply and SewerageAuthorities EP Entitled Person GRC : Grievance Resolution Committee RPF : Resettlement Policy Framework RAP : Resettlement Action Plan PAP : ProjectAffected People ROW : Right of Way Annex I.Resettlement Policy Framework Final Draft April lo, 2006 Dhaka and Chittagong Water and Sanitation Project Resettlement Policy Framework Dhaka Water & Sanitation Authority Government of Bangladesh April 2006 Table of Contents 1. BACKGROUND 2. DWASA POLICY STATEMENT 3. NATIONAL POLICY AND REGULATORY FRAMEWORK 3.1 Legal Context of Land Acquisition in Bangladesh 3.2 World Bank's O P 4.12 Requirements 4. DWASA RESETTLEMENT POLICY FRAMEWORK 4.1 Objectives of the Resettlement Policy Framework 4. 2 Definitions 4.3 Categories of Impacts 4.4 Impacts and Entitlement Framework 4.5 Social Implications of the Project Activities 5. SURVEYS AND DOCUMENTATION 5.1 Preliminary Screening 5.2 Project Preparation 5.3 Resettlement Plan (RP) 6. PUBLIC CONSULTATIOPN AND PARTICIPATION 7. GRIEVANCE REDRESS MECHANISM 8. INSTITUTIONAL ARRANGEMENTS 9. SUPERVISION AND MONITORING 10. COST AND BUDGETING List of Tables Table 4.1 Entitlement Matrix Dhaka and Chittagong Water and Sanitation Project Resettlement Policy Framework 1. BACKGROUND The Dhaka Water and Sewerage Authority (DWASA) currently supplies water to about 70% of the population of the Dhaka City Corporation (DCC) and its suburbs through a distribution network. The four million people living in the 3,000 Dhaka slums also rely on DWASA's piped water, as there is no other reliable source of water available; but public standpipes are always remotely located. DWASA's sewerage network covers only about 110 km2. Trunk sewers suffered major damage during the 1998 and 2004 floods; as a result, only about 40% of the waste water generated by the existing 50,000 connections currently reaches the waste water treatment plant. High standard buildings dispose of their black waters in septic tanks and their grey waters in storm water drains. Lower income households rely on latrines. About 50% of the slum population has no access to adequate sanitation facilities. Industries are required to treat effluents before disposal in DWASA's sewers, but this regulation is seldom enforced. DWASA is also responsible for developing and operating the underground storm water drainage system that covers an area of about 140 km2; Dhaka City Corporation is in charge of surface drains. Natural channels and wetlands that help Dhaka cope with storm water flows are rapidly being destroyed by the urban development. Public health is affected by the limited coverage of both the water supply and waste water facilities and recurrent flooding. DWASA needs to update its water supply master plan to help protect existing sources, develop new ones, and rationalize its distribution network. DWASA also needs to update its sanitation strategy and its waste water management master plan, as well as its storm water drainage master plan, to ensure that minimum retention capacity of storm water flows is reserved in the city whose population is expanding at a rate of almost 0.8 million per year. The Government of Bangladesh has requested assistance from the World Bank to prepare the proposed project to improve water supply, sewerage disposal, and sanitation and storm water drainage facilities in Dhaka and Chittagong. The project would be prepared and implemented by the Dhaka and Chittagong Water Supply and Sewerage Authorities (DWASA and CWASA). The project plans, among other improvements, to rehabilitate the existing sewer systems and storm water drains and natural retention reservoirs, and build new water pumping stations in Dhaka. DWASA also intends to update the waste water management and sewerage master plan for more efficient planning and management of these facilities. For Chittagong, CWASA wishes the Bank to support waste water collection and treatment and storm water drainage. The project would mostly support an update of the master plans and the preparation of necessary studies for future investment projects. For Dhaka, the proposed project would focus mostly on: The rehabilitation of existing sewers to ensure full utilization of the existing waste water treatment plant; The rehabilitation of existing drains and natural retention reservoirs and construction of storm water pumping stations; The improvement of WSS service in selected slums with the assistance of specialized NGOs; The updating of the waste water and storm water drainage master plans; The assistance to DWASA performance improvement plan; and Should a gap occur in the financing plan of the water supply program, a complement, mostly for extension and rehabilitation of the water distribution system. Some of sub-project activities may require procurement of privately owned land and the displacement of land users, either with or without valid title. It is observed that the banks of most storm water drainage canals in the city are occupied by squatters and encroachers that will be affected by the project improvement activities. Additionally, in some cases it may become necessary to canalize and straighten some of drains for efficient water flow that may make limited acquisition of private assets necessary. Although large scale acquisition of land and other assets is unlikely, even limited expropriation may produce economic loss and social and psychological disruption for the affected individuals and their families, and may include the loss of business income, on either a temporary or permanent basis. An assessment of these losses would be carried out for specific sub-projects and included in the Resettlement Plans and/or the Social Assessment Report and appropriate measures devised under the terms of the entitlement framework to ensure that affected people are able to improve, or at least able to restore their livelihood and income levels to pre-project levels. Mitigation measures for different types of losses and impacts would be guided by the Resettlement Policy Framework. 2. DWASA POLICY STATEMENT DWASA aims to promote environmentally sound, socially acceptable and economically viable urban infrastructure projects. It believes that each of its projects will improve the living standards and the environment of populations in and around project locations. DWASA commits each project to social relevance and acceptability by: Providing opportunities and avenues for informed stakeholder consultation, and, where appropriate, their participation in decision-making in project preparation, implementation and evaluation, in order to foster greater ownership and sustainability; Avoiding or minimizing resettlement due to land acquisition; Where involuntary resettlement is unavoidable, ensuring responsible resettlement and rehabilitation plans are prepared and implemented in a timely manner and that those to be resettled are provided opportunities to improve their livelihood and income levels, and are aware of their entitlements and of the grievance mechanisms open to them should they seek redress; Paying particular attention to the protection of marginalized, disadvantaged, and vulnerable groups, including women and children, and promoting and providing, wherever possible, opportunities for such groups to take advantage of the investment; Minimizing health and safety hazards and providing opportunities for enhancing public and environmental health; DWASA recognizes the importance of addressing environmental and social issues in urban infrastructure investments, and seeks to promote stakeholder involvement in the pursuit of sustainable projects. [t also recognizes that displacement of large number of squatters along the drainage systems and disruption of their livelihood is likely to occur. Where such displacement and disruption is inevitable DWASA aims to ensure that affected households are appropriately relocated, provided alternative housing options and their livelihoods are restored in a fair and transparent manner, and to link mitigation measures with development opportunities. 3. NATIONAL POLICY AND REGULATORY FRAMEWORK 3.1 Legal Context of Land Acquisition in Bangladesh Currently the only legal framework that governs land acquisition in Bangladesh is the Acquisition and Requisition of Immovable Property Ordinance, 1982. However, its provisions are not adequate to address adverse impacts associated with land acquisition and involuntary displacement and do not fully satisfy the requirements of the Bank's Operational Policy (OP 4.12) on Involuntary Resettlement or that of the international practices. In essence, the law is largely indifferent to the landowners' present socio- economic conditions, or the long-term adverse impacts on incomes and livelihood that the acquisition and displacement may cause on the affected people. Also, there are no other policies that complement the acquisition ordinance in ways to assess, mitigate and monitor adverse impacts that the affected people may suffer. Some of the salient gaps in the existing legal framework are summarized below: AvoidingIMinimizing Land Acquisition: The law only implicitly discourages unnecessary acquisition, as lands acquired for one purpose cannot be used for a different purpose, and lands that remain unused be returned to the original owners. However, there are no mechanisms to monitor if these conditions are actually adhered to. Eligibility for Compensation: The law stipulates compensation only for the persons who appears in the land administration records as the owners. It does not recognize the rights of those, such as squatters, who do not possess legal title to the lands they live in or make a living from. There is thus no provision to mitigate the adverse impacts they suffer. Income Losses not recognized. The Land Acquisition Act provides for compensation for lands and other fixed assets built and grown on them (structures, trees and orchards, crops and any other developments like ponds, built amenities, etc.). There is no provision to assess the impacts on peoples' incomes and livelihood and loss of employment and businesses and for mitigation measures to restore loss of incomes and livelihood. Compensation Standards: Although the law stipulates payment of compensation at 'market prices' for acquired lands as the just compensation, the legal assessment procedures used almost always results in prices that are far below the actual market prices. Relocation of Displaced Persons. There is no provision in the existing laws for relocation of displaced families who are affected by the loss of their assets: land and/or structures. Ensuring PaymentIReceipt of Compensation. The legal process to determine entitlements are too cumbersome and time consuming and do not ensure payment of compensation prior to their displacement. Lands are legally acquired and handed over to the project execution agency as soon as the authority identifies the owners (or 'awardees'), by examining the records, and sends a legal notice advising them to claim the compensation (or 'awards'). The onus is left on the affected land owners to prove, by producing an array of documents, that the acquired lands legally belong to them. As gathering these documents is a long, expensive and cumbersome process, many landowners may be unable to claim their awards. The project has meanwhile started to use the lands. Socio-economic Rehabilitation. Existing legal framework does not have any provisions to mitigate long-term impacts on peoples' livelihood caused by their displacement. Except for the compensation at the 'market price' for the loss of land, there are no other provisions, in the acquisition or other laws that require the government to mitigate the resultant adverse impacts caused by the acquisition. Socioeconomic rehabilitation of the involuntarily displaced persons is totally absent in the legal regime of the country. 3.2 World Bank's OP 4.12 Requirements The primary objective of the World Bank policy on 'Involuntary Resettlement' is to explore all alternatives to avoid or at least minimize involuntary resettlement. Where resettlement is unavoidable, the resettlement activities should be conceived and executed as sustainable development programs, providing sufficient resources to enable affected persons to share in project benefits and assisted in their efforts to improve their livelihood and standard of living, or at least to restore them to pre-project level. The policy also requires that affected people are meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. The policy applies to the taking of land and other assets when involuntary resettlement results in the loss of shelter, the loss of all or part of productive assets, or access to them, and the loss of income sources or means of livelihood, with or without physical displacement. Measures required to ensure that resettlement has a positive outcome include: Providing Project-affected persons with options; Permitting their participation in planning and selecting these options; Prompt compensation at full replacement cost for losses; Choosing relocation sites that provide, at a minimum, the same benefits as the sites they replace; Providing allowances and other assistance to make a smooth transition after displacement; Identifying vulnerable groups and providing and special assistance to these groups; and, Implementing an institutional structure that supports the process to a successful end. Bank's policy on Involuntary Resettlement requires payment of compensation and other assistance to project affected people before they are displaced from their existing locations. Further the policy requires income rehabilitation assistance to those affected severely due to the loss of their productive assets or loss of incomes and livelihood. Absence of legal title does not exclude individuals from the eligibility to receive compensation andlor other assistance. The displaced or affected population eligible for compensation for losses include: those who have formal legal rights to land or other assets, and those who initially do not have formal legal rights to land or other assets but have a claim to legal rights based upon the laws of the country. The Policy also requires that those without legal title should be given assistance to meet the objectives of the policy. The genesis of these rights may come from continued possession of public land where the government has not sought their eviction. Bank's policy also recognizes that stakeholders who illegally occupy project-affected areas after established cut-off-date for any components are not eligible for compensation and other assistance provided that adequate measures are taken for information dissemination to people. The gaps in the existing legal framework of Bangladesh and the objectives and requirements of the World Bank and other multilateral agencies are well recognized. Therefore, institutional or project specific policies are prepared to address these gaps and to meet the requirements of multilateral agencies in projects funded by them. 4. DWASA RESETTLEMENT POLICY FRAMEWORK 4.1 Objectives of the Resettlement Policy Framework This Resettlement Policy Framework seeks to address the inadequacy of the existing legal provisions discussed in the previous section. This policy is based on the philosophy that development projects must serve the needs of society and ensure that project affected persons (PAPs) are not made worse off by development projects. Thus, the project will not penalize any one person in order to benefit many other persons. Resettlement Policy Framework is supported by the detailed Implementation ~uidelinesjthat will be prepared by the design consultants. DWASA will be responsiblefor full andproper implementation of this policy framework. In response to above philosophy, involuntary resettlement should be an important consideration in project identification. Three important elements of involuntary resettlement are: (i) compensation for loss of assets, loss of livelihood and income, (ii) assistance for relocation, including provision of relocation sites with appropriate facilities and services, and (iii) assistancefor rehabilitationto achieve at least the same level of well being with the project as without it. This can be ensured through the following basic objectives: (i) Avoid involuntary resettlement where feasible and minimize resettlement where population displacement is unavoidable, (ii) Ensure that displaced people receive compensation, assistance and rehabilitation so that they would be at least as well off as they would have been in the absence of the project, (iii) PAPs will benefit from the project, and (iv) Project stakeholders, including PAPs are consulted and given the opportunity to participate, as practicable, in the design, implementation, and operation of the project. (v) Additional assistance should be provided to vulnerable groups. 4.2 Definitions For purposes of this framework, the following definitions will be applicable: Project Affected Persons (PAP) includes any person or persons, households, a firm, or private or public institution who, in the context of acquisition of assets and change in land usage, as of the cut-off date, on account of the execution of the project, or any of its subcomponents or part, would have their: (a) Standard of living adversely affected; (b) Right, title, or interest in any house, land (including residential, commercial, agricultural and grazing land) or any other moveable or fixed assets acquired or possessed, in full or in part, permanently or temporarily adversely affected; or (c) Business, occupation, places of work or residence or habitat adversely affected, with or without displacement. PAP means persons or affected household and consists of all members of a household residing under 3The Implementation guidelines will cover, among other things, the processes and procedures, including necessary formats & criteria, where relevant, for initial social assessment;screening of projectlsub-projects; census, inventory and socio-economic baseline surveys;market studies & valuation of different types of assets; computerized data management system; format and contents of RPs; monitoringindicators and formats and contents for supervisionand monitoringreports; public consultationand participation process; documentation for grievance redressmechanism; and procedures for private negotiations for acquisition of private assets. 60 one roof and operating as a single economic unit, who are adversely affected by a project or any of its components. For resettlement purposes, affected persons will be considered as members of affected households. 'Household (HH)': A household is a group of persons who commonly live together and would take their meals from a common kitchen. 'Replacement Cost': means and include an amount needed to replace an asset at current value including depreciation and overhead expenses of the transaction, including stamp duty and registration charges, as follows: (a) Agricultural land based on its productive potential; (b) Residential land based on market value; (c) Houses and other related structures based on current market prices of building materials and labor, without depreciation and deductions for salvaged building materials, plus transaction costs (such as administrative charges, registration and titling costs), etc.; (d) Trees, crops and plants on current market value; and; (e) Other productive assets like shops and commercial assets based on market value of similar location attribute i.e. premium etc; 'Cut-off date': is the date prior to which the occupation or use of the project area makes residents/users of the project area eligible to be categorized as affected persons. In many projects, the cut-off date coincides with the commencement of the census of affected persons within the project area boundaries. Persons not covered in the census will not be eligible for compensation and other entitlements. For PAPS with legal titles the cut-ofS date would be the date of issue of legal notice under the Land acquisition act. For those without titles, the cut-OH-datewill be the date of commencement of census. 'Land': The term land refers to land acquired under the Land Acquisition Act or through private transactions. 'Squatters': are persons who occupy / possess an asset without legal title. 'Encroachers': are those owners of land adjacent to public property, who have illegally extended their land holdings or structures into the public land. 'Vulnerable groups'. These are distinct groups of people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, (iv) elderly households with no means of support and landlessness, and (v) indigenous people or ethnic minorities. 4.3 Categories of Impacts In order to provide a framework for the R&R process in projects where World Bank financing is involved, a detailed Social Entitlement Framework for World Bank financed projects is provided in Table 4.1. Following basic categories of issues/impacts are foreseen under this entitlement framework: a) Loss of land; b) Loss of structure; C) Loss of source of livelihood; d) Loss of access to common resources and facilities; e) Loss of standing crops, trees and perennial trees; and 61 f ) Loss of public infrastructure. 4.4 Impacts and Entitlement Framework 1. Entitlements for compensation and rehabilitation assistance to different categories of PAPS are described in the following sub-sections and presented in the Entitlement Matrix in Table 4.1 of this section: A. PAPSlosing Anricultural Land (a) When the portion of the land to be lost represents 20% or less of the total area of the land-holding, cash compensation at full replacement value, will be provided to the PAP. Where significantly large or entire land holding is affected by the project, the general mechanism for compensation of lost agricultural land will be through provision of "land for land" arrangements of equivalent productivity and at location acceptable to the PAP. In case suitable replacement land is not available, at the PAPS request cash compensation at replacement cost will be provided. In cases where only partial land is affected but the remaining land becomes economically unviable, the PAP will be entitled to compensation for entire holding at full replacement value or land-for-land option. (b) The replacement agricultural land will be provided to the PAP free of any tax, transfer costs, registration fee or charges. (c) PAPS whose land is temporarily taken by the works under the Project will be compensated at replacement cost for their net loss of income, damaged assets, crops and trees, as the case may be. (d) Affected tenants and leaseholders on the agricultural land will be compensated for the market value of the gross harvest for one year's production or the remaining period of the tenancy agreementllease, whichever is greater. (e) Affected agriculture labor will be compensated for the loss of income and will be paid compensation equivalent to the six months salary and assisted in getting alternative employment. ( f ) Squatters and encroachers will not be entitled to compensation for affected land; B. PAPSlosing Residential or Commercial Land (a) Where the portion of the land to be lost represents 20% or less of the total area of the land holding, PAPS will be entitled to cash compensation at full replacement value for the affected portion of the holding. Where significantly large or entire land-holding is affected by the project, the general mechanism for compensation of lost residential land will be through provision of "land for land" arrangements of equal size and at location acceptable to the PAP. In case, suitable land is not available, cash compensation at replacement cost will be provided. However, where only partial land is affected but the remaining land becomes either unviable or in area less than the minimum required under the prevailing zoning laws, the PAP will be entitled to compensation for entire holding at full replacement value, or land-for-land option. In case of loss of business premises, PAPSbe entitled to alternative business site of equal size and location with good accessibility to customers and satisfactory to the PAP, or cash compensation at full replacement value, if suitable replacement land is not available. (b) The replacement land for resettlement will be provided in fixed plot sizes according to the prevailing zoning laws and planning practices. However, if the lost land of PAP is in size larger than the plot sizes for relocation, a cash compensation to cover the difference of the area will be given to the PAP. (c) The replacement land will be provided to the PAP free of any tax, transfer costs, registration fee or charges at the time of transfer. (d)Squatters and encroachers will not be entitled to compensationfor affected land; (e) Affected tenants and leaseholders on the commercial/residential land will be compensated in cash equivalent to the three months of rent or the remainingperiod of the tenancy/lease agreement, whichever is greater. (f) PAPs, whose land is temporarily taken by the works under the Project, will be compensated at replacement cost for their net loss of income and damaged assets, as the case may be. C. PAPs losing Houses/Structures (a) The mechanism for compensating loss of residential and other structures will be cash compensation reflecting full replacement cost of the structures, without depreciation. (b) If the house or structure is only partially being affected by the Project, the PAP will be entitled to cash compensation for the affected portion of the structure and a repair allowance (minimum of 20% of compensation) for restoration of the remaining structure for its continued use. However, if the remaining structure is rendered unviable or in area less than the minimum house size under the prevailing zoning laws, the PAP will be entitled to compensation for entire structure at full replacement cost without depreciation. (c) Tenants, who have leased a house / structures for residential or other purposes and affected by the project, will be provided with a cash grant equivalent to three months rental allowance, and will be assisted in identifying alternative rental accommodation. (d) Aflected households will also be entitled to a transfer/shiftingallowance; and a transition allowance for three months. Vulnerable squatters will also be provided with relocation assistance through viable options and assislancepackages to choosefrom. D. Loss of Business/Income or emplovment Affected PAPs would be provided with opportunities for employment in reconstructed business enterprise. Alternatively, income rehabilitation package would be provided to the PAPs for re-employment, training in other trades and skills, agricultural inputs and extension services support, or for starting a new business depending upon their needs and priorities. The type and level of assistance required will be decided in consultation with the PAPs. E. Loss of standing crops and trees: PAPS will be entitled to cash compensation equivalent to market value of crops and trees based on the type, age andproductive value of affected trees. 2. Compensationfor all types of aflected assets will beprovided at replacement cost. 3. PAPs will be provided with compensation at full replacement cost, without depreciation for any other fixed assets affected in part or in full by the project, such as water wells, electric and water connections. 4. All PAPs severely affected by the project due to the loss of productive assets, incomes and employment will be entitled to the income rehabilitation assistance including income restoration programs, training to improve skills or other assistance for self-employment depending upon the needs and priority of the affected PAPs. These rehabilitation measures would specifically focus severely affected (displaced) PAPs, vulnerable groups, itinerant workers, small businesses and those either below the poverty line or those severely affected by the project due to the loss of productive assets and are likely to fall below the poverty line. Detailed baseline survey and socio-economic data will identify such vulnerable groups, and the scope and need for specific rehabilitation measure will be assessed during the project implementation stage in consultation with the PAPs. At least 30% of such rehabilitation assistance measures will be reserved for women. 5. In cases where community infrastructure such as schools, factories, water resources, roads, sewage system or electrical supply is damaged, project developers will ensure that these would be restored or repaired as the case may be, at no cost to the community. 6. PAPs without any legal title or ownership right to the land they occupy will be compensated for all their lost assets such as houselstructure, fixed assets, shop~kioskat full replacement cost and provided assistance in finding suitable relocation site. The relocation site would, as for as possible, contain the access to facilities and services better than or at least equivalent to the one lost and provided with tenure security. 7. PAPs entitled for relocation will be provided transport allowance or full assistance for transportation, and re-establishment of their house or business structures. 8. Transition allowances will be equivalent to the monthly incomeslwages of affected PAPs. 9. Except for the long-term income rehabilitation assistance, payment of compensation and other allowances, and relocation assistancefor aproject component,phase orpart thereoJ will be completed prior to award of civil works contracts. In case of other unforeseen impacts not covered above, appropriate measures would be determined keeping in mind the overall objective of this policy. 4.5 Social Implications of the Project Activities Mitigating adverse impacts. Before taking possession of acquired lands and structures and before start of civil works construction, PAPs will be paid compensation and other assistance in full. Where PAPs are entitled to relocation, the relocation site will be fully developed before the PAPs are displaced. DWASA will ensure that the standard of living of all affected persons is restored to the level enjoyed before the commencement of the project, and, if possible, improved. Procedures for land acquisition. Where possible and permitted by regulations, DWASA will acquire private land through direct purchase based on 'willing buyer willing seller' principle, as the first option. Negotiations for direct purchase would be carried in a public place and in transparent manner. All proceedings will be documented and final agreement would be signed by the negotiating parties. Under private negotiations the minimum negotiated price should not be less than replacement cost as established through the market surveys. The negotiated amounts will be paid within three month of completing the negotiations. Interest @12% will be added for the delay in payment of compensation. Where direct purchase by implementing agencies is not possible, required private land for the sub- projects would be acquired following the provisions of the Acquisition and Requisition of Immovable Property Ordinance, 1982 and the ESF. Compensation at Replacement Cost. In case direct purchase by DWASA is not possible (or permitted), all acquisition of land would be under Land Acquisition Act 1982, and following the provisions of this policy framework which provides compensation for properties to be acquired and support to be extended for meeting replacement value of the property. Under the Land Acquisition Act compensation are assessed, and paid, by DC office to PAPs for each mouza where hisher assets are located. Such Compensation Under Law (CUL) that includes 50% premium on assessed values do not fully meet replacement cost. DWASA will top-up these amounts to make up for the balance so that the total amounts paid to PAPs are at replacement cost. To estimate top-up amounts, DWASA will engage independent institution to carry out market studies at the time of baseline surveys to determine market rates for different types of assets. Estimated resettlement costs to be included in the Resettlement Plans would be based on the market surveys. The amount of top-up due to a PAP will be calculated by comparing the total amount of CUL paid by the DCs for all acquired lands and other assets with the total replacement costslmarket prices thereof. In case of unusual delays in implementation after the market surveys are completed, there may be a need for revaluation of market rates at the time of 64 implementation and Jinalization of top-up amounts. Procedures to conduct market surveys and for valuation of affected assets would be described in the Implementation Guidelines. Entitlements to affected people without legal rights to land. Lack of ownership does not imply lack of compensation rights. The presence of squatters poses particular challenge to DWASA as many of the canals that are likely to be included in the project have large number of squatter settlements along the banks. The lack of legal tenure to land or assets will not be regarded as a criterion for withholding financial compensation or assistance in relocation in the project. DWASA would strive to provide suitable alternatives to resettle displaced squatter communities. The affected squatters would be carefully screened to ensure that resettlement and rehabilitation assistance are provided only to vulnerable families and that well-to-do squatters, encroachers and musclemen (mastaans) are screened out. Measures to avoid illegal occupation of cleared land. The preparation of a Resettlement Action Plan will require that an early cut-off date, preferably at the time of the baseline survey, is established. DWASA will ensure that the information on cut-off date and eligibility are provided to the people with clear understanding that anyone illegally occupying the land after the cut-off date will not be entitled to any compensation and/or assistance. DWASA will also appropriate measure to secure all lands that are cleared for the project. Relocation of displaced squatters. Large number of potential displacement of squatters poses particular challenge to DWASA. DWASA will explore all possible housing options to relocate severely affected/displaced squatters to minimize long-term social and economic impacts of displacement and to enable them to restore their livelihood and incomes levels within least possible time. In order to minimize disruption of existing social ties and sources of incomes and employment, particularly for vulnerable affected persons, the priority would be to relocate them as close to the existing locations with access to facilities and services better than, or at least similar to, those lost. Affected households will be provided with viable optionsfor relocation to choosefiom that may include, among others: self- relocation; special package for transfer to theplace of origin; and relocation to a suitable resettlement site either on available WASA land or other public land in the vicinity of the existing location or at other locations within the city. Where attempts toJind suitable relocation sites are not successful or the locations of identiJied sites are not acceptable to the PAPS, other options will be considered in consultation with the World Bank. Table 4.1: Entitlement Matrix 1~y=f Loss ~pplication Compensation Arable land Less than 20 percent of land -Cash compensation for lost land at holding4 lost, the remaining replacement cost. land economically viable More than 20 percent of land Title holder -Land for land or compensation in cash. holding lost OR where less Compensation by receiving a new parcel than 20% holding lost but the of land of equivalent size and crop remaining land becomes productivity and free of taxes, economically unviable registration and transfer cost; at location acceptable to PAP; and with long-term security of tenure of better or equivalent nature to that affected. -Compensation for preparation of replacement land -Transition allowance for three months -Transfer/shifting allowance -PAPSwill be entitled to income rehabilitation assistance Tenantllease holder -Cash compensation equivalent to the replacement value of gross harvest for one year or for the remaining period of tenancy agreement, whichever is greater. Agricultural labor -Cash compensation equivalent to 6 months salary and assistance in getting alternative employment. Squatters Any squatters/encroachers affected by taking of agricultural land will not be entitled to compensationfor land. Affected vulnerable squatters will however, be provided with relocation assistance. Residential / Less th&20% of land holding Title holder -Compensation in cash at market value. commercial lost and remaining land viable land for present use Any squatters/encroachersaffected by taking of residential land will not be entitled to compensation for land. For vulnerable squatters see entitlements for affected structures. More than 20% holding Title holder -Land for land or cash compensation. affected OR where less than Replacement land of minimum plot of 20% holding affected but the acceptable size under the zoning laws or remaining area becomes a plot of equivalent size, whichever is smaller than minimally larger, in an area with adequate physical accepted under the zoning laws and social infrastructure. In the case of and unviable for continued use loss of commercial land the replacement land of sufficient size for business continuation in market are or at location comparable to previous site. -Replacement land to be free from taxes, registration and transfer costs. -Transition Allowance for three months -Transfer/shifting allowance. Land holding refers to the land plot directly impacted by the project and does not include any other land holdings that a PAP may own at other locations. No Type of Loss Application Entitled Person Compensation Any squatters/encroachersaffected by taking of residential land will not be entitled to compensation for land. Vulnerablesquatters will however, be provided with relocation assistance. three months ofrent orfor the remaining period oftenancy/lease agreement. - 3. Structures Structures partially affected but Owner including -Compensation in cash for affected the remaining structure viable those without title to portion of the structure and other fixed for continued use. land assets at replacement cost, and -Assistance in restoration of the remaining structure (Repair Allowance, minimum 20% of compensation) Entire structure affected OR Owner with valid -Compensation in cash for entire affected where structures partially title to land structure and other fixed assets (wells, affected such that the electric and water connections etc.) at remaining structure is unviable replacement cost, without depreciation. for continued use. -Transfer/shifting allowance. -Transition allowance for three months. Tenant -Cash compensation equivalent to 3 months' rental allowance -Transferlshifting allowance -Assistance in alternate rental accommodation. Squatters All affected squatters will be entitled to: -Compensation in cash for affected structure -TransferlShifiing allowance -Transition allowance for three months Additionally, vulnerable squatters will be provided with relocation assistance and offered viable options to choosefrom. 4. Loss of Temporary or permanent loss Affected individuals -Employment in reconstructed enterprise business I of business1 incomes1 or package for re-employment or starting incomes employment a business or -Transition allowance for the permanent employment loss of business, incomes & wages equivalent to the loss of incornelwages for a period of 6 months for each affected members of households. In case of temporary loss of business of incomes I businesses, compensation will be wages equivalent to closure period. Crops affected by land Owner ofaffected -Compensation in cash at market value. or temporary 6. Trees Trees Iost Owner ofaffected -Compensation in cash calculated on the trees basis of type, age and productive value of affected trees. 7. Loss of public Infrastructure (electric water Relevant agencies. -Compensation in cash at replacement infrastructure supply, sewerage & telephone cost to respective agencies or restoration lines; public heaIth center; of afected assets. public water tanks) 8. Unforeseen As identified As identified Appropriate mitigation measures as Losses determined to meet the objectives of this policy framework 5. SURVEYS AND DOCUMENTATION 5.1 Preliminary Screening During the identification and preliminary stages of project preparation, DWASA will undertake a preliminary Social / Land Acquisition Assessment to identify the types, degree and scale of potential social impacts of the project. To correctly identify the relevant social issues and to assess the type and level of information required during subsequent field investigations, particular attention will be paid to adverse impacts to the affected community, such as loss of land and other fixed assets and the number of persons marginally or severely affected and the types of vulnerable groups affected. The information collected during the preliminary social / land acquisition assessment will provide the basis for determining severity of impacts and the level and depth of subsequent field surveys, investigations and documentation. In cases, where the preliminary assessment indicates that the potential impact of the proposed project will be significant, appropriate preparation would be done for extensive field surveys and consultation with key stakeholders. 5.2 Project Preparation DWASA will be responsible for carrying out all necessary surveys, field studies and investigations, as identified during the screening. Prior to undertaking the survey DWASA will conduct a public information campaign to describe the project components, types of impacts, content and schedule for the census and inventory or other background surveys to the key stakeholders. At least three basic types of surveys will be needed: a census; an inventory of affected assets and other losses; and a socio-economic baseline survey. The census and the inventory of affected assets will cover all PAPS, regardless of entitlement or land ownership. Criteria for vulnerability of PAPS should be paid particular attention in order to provide additional assistance. Baseline survey should cover at least 30% of severely affected/displaced PAPS and would include information on socioeconomic characteristics of potentially affected households. The baseline data would be used for post-implementation evaluation to determine whether or not affected peoples have been able to restore their livelihood. All data should be maintained on computerized data management system to facilitate analysis. It is recommended thatfield surveys and investigations for census, inventory of assets and baseline data are carried out in an integrated manner to maximize use of available resources and to avoid repeatedfield visits. Expropriation, is likely to produce economic loss and social and psychological disruption for the affected individuals and their families, and may include the loss of business income, on either a temporary or permanent basis. An analysis of these losses must be included in the RAP andfor the Social Assessment Report and appropriate measures devised under the terms of the entitlement framework to ensure that livelihoods are restored. 5.3 Resettlement Plan (RP) Based on the census and inventory of data and field investigations, RP would be prepared in sufficient details depending upon the degree and scale of impacts in a project. For the RP preparation process to begin, the exact ground locations of the required lands and right of way of the drainage canals and other structures are to be identified first and demarcated. As such, the social safeguard and the engineering consultants jointly with DWASA will carry out detailed engineering sun/eys and design the rehabilitation and improvement works and lay them on the mouza maps. Whereprivate land is to be acquired, these mauza maps will also provide the basis to prepare the land acquisition proposals (LAPS) which are to be approved by the Ministry of Local Government Rural Dev. & Co operatives (MOLGRD). The LAPSwill be prepared for each scheme and will include plot schedules, (with dag or plot numbers), the amount of land to be acquisitioned from each plot, and the ownership status, such as private and public lands. Land acquisition Proposals together with information on affected plot schedules and ownership status will be used as the basis by the DC office to determine CUL. Whereprivate land acquisition will not be necessary, these mauza maps will help in identification of DWASA and other land boundaries for design purposes. Where surplus DWASA or other public land parcels can be identified these can be considered for relocation of displaced squatters. With the acquisition locations demarcated on the ground, wok on the major process tasks, such as social screening and PAP census, will begin to generate the RP inputs. Abbreviated (Summary) Resettlement Plan: In cases where the impacts of the sub-project are marginal such that less than 200 persons (about 40-50 families) are affected without any large scale displacement, or where the impacts are minor, although more than 200 persons may be affected, a simple RP should be prepared. It should provide general information of the project, social impacts and the number of people affected, entitlements for compensation and other assistance for each category of PAPs, estimated cost, and implementation schedule. Detailed RP: In cases where the project affects andlor displaces more than 200 people (40-50 families), a time-bound Resettlement Plan (RP) for the project will be prepared in accordance with the provisions of this Framework. The threshold of200 PAPs should apply to all sub-projectsput togetherfor which one single standalone RP would be required. Resettlement plans should be built around a development strategy, and compensation, resettlement, and rehabilitation packages should be designed to improve or at least restore the social and economic base of those severely affected. Preference should be given to resettling vulnerable people dislocated from their existing settings by providing opportunities for sustainable income generation in similar settings. Where a project is likely to adversely affect households belonging to poverty groups, the resettlement plans should specify measures, additional to the compensation entitlements, aimed to improve status of the poor to bring them up to an acceptable level above the poverty line. The RP will include: (i) project description and brief description of impacts; (ii) specific measures taken to minimize adverse impacts; (iii) socio-economic survey; (iv) detailed description of impacts and category of PAPs; (v) entitlement for different types of losses; (vi) specific measures provided to vulnerable groups and for income rehabilitation assistance; (vii) public consultation and participation; (viii) estimated resettlement cost; (ix) monitoring and evaluation procedures; (x) organizational responsibilities and implementation procedures including valuation of lost assets; identification of alternative relocation sites; provisions for shelter, infrastructure and social services; and procedures for landownership, acquisition and transfer; and (xi) implementation schedule. DWASA will share the RAPS with the Bank for review and approval, before the civil works packages are accepted for Bank financing. During implementation, DWASA will ensure that all compensations/entitlements due to the PAPSare paid in full, before the civil works begin on the acquired lands, including the public lands repossessed from private uses. 6. PUBLIC CONSULTATION AND PARTICIPATION Preparation of appropriate documents and planning and implementation for the acquisition of land and other assets will be carried out in consultation with the PAPs. The PAPS will receive prior information of the compensation, relocation and other assistance available to them. DWASA will be responsible to carry out continued consultation with and information dissemination to the key stakeholders regarding: The relevant details of the project; The resettlement plan and various degrees of project impact; Details of entitlements under the resettlement plan and what is required of PAPSin order to claim their entitlements (a copy ofthe entitlement matrix should beprovided to the PAPs); Compensation process and compensation rates; Relocation and resettlement site development operation in order to obtain agreement and support of affected people in participating in these operations; and Implementation schedule with a timetable for the delivery of entitlements. DWASA shall also provide a detailed explanation of the grievance process and enlist the help of community leaders and other influential community officials in encouraging the participation of the PAPS in resettlement activities. Finally, DWASA shall attempt to ensure that all vulnerable groups and indigenous peopleslethnic minorities understand the process and that their needs are specifically taken into consideration. Public participation is performed and information would be made available during preparation and implementation of the resettlement plan and would include, at a minimum, community meetings and focus- group discussions. 7. GRIEVANCE REDRESS MECHANISM Despite best efforts to arrive at fair rewards in project involving involuntary resettlement, there shall always be a few unsatisfied citizens. The DWASA will make efforts at project level to resolve grievances through negotiations involving community leaders and PAP 's representatives. Grievance Resolution Committee: In case dispute is not resolved at local level, the matter through submission of a formal reference from DWASA will be placed before a Grievance Resolution Committee. Grievance Resolution Committee (GRC) shall be constituted consisting of a panel of three Members, one of whom shall be its DWASA Project Coordinator, to be selected by DWASA. Other members would include a representative from the residents of the project area, who would publicly known to be persons of integrity, good judgment and command respect. Other persons would be representative from local NGOICBO. The Project Coordinator shall: Convene meetings of the committee as necessary at such place or places in the project area as he considers appropriate; and Conduct the proceedings in an informal manner as he considers appropriate with the object to bring an amicable settlement between the parties; The report of the members shall be recorded in writing and attested copies thereof shall be provided to the parties. In case of continuing differences and notwithstanding the provisions of Land Acquisition Act, the GRC can take a decision regarding entitlement and compensation. The decision taken during negotiations and GRC meetings shall be formally recorded for future reference and presentation in the court, if necessary. All expenses incurred in arranging grievance negotiations and meetings of GRC as well as logistics required, shall be arranged by project-executing agency. Right of Complaint: The aggrieved PAP, if not satisfied with the decision of Grievance Resolution Committee, has the right to refer his I her petition to court of law. 8. INSTITUTIONAL ARRANGEMENTS Dhaka Water Supply and Sewerage Authority ( DWASA) is an autonomous body with the Managing Director as its Executive Head. DWASA is directly controlled by the Local Government Division, of the Ministry of Local Govt. Rural Development and Cooperatives (LGRD&C). Dhaka WASA is governed by its Board constituted as per provision of DWASA ACT, 1996. Operational functions are divided into three major wings, each headed by a Deputy Managing Director (DMD), namely: 1)DMD Finance and Administration (FA); 2) DMD Operation & Maintenance, (O&M); and 3) DMD Research, Planning and Development (RPD). All sewerage and drainage development projects, including planning and design, are undertaken by respective Project Directors in-charge of sewerage and drainage components, functioning under the RPD wing. Each Project Director's office is assisted by an Environmental cell. Project Director will be overall responsible for all activities related to the World Bank financed DCWASA project. Project Director will be assisted by staff of the Environment Cell to address all the environment and social issues and activities related to the project. Staff of the Environment Cell will be responsible to work with the consultants in carrying out necessary field investigations, surveys; analysis of data; and preparation of necessary documents. Staff of the Environment Cell will also be responsible for supervision and monitoring of resettlement implementation. The Managing Director through DMD (RP&D) and DMD( FA) will monitor the activities of the project Director for timely completion of the project. 9. SUPERVISION AND MONITORING DWASA will appoint adequate full time staff to monitor the process of resettlement. In order to assist with this monitoring, DWASA shall obtain and maintain appropriate baseline data prior to the resettlement impacts. The monitoring staff will prepare periodic progress reports for s'ubmissionto the Project Director. The main objective of the monitoring reports is to determine whether the resettlement is effective and to make the needed recommendationsfor change. The monitor should be present in the field as well as at every meeting related to resettlement. Monitoringof resettlement implementationwill be carries out by the Environment Cell of DWASA. The consultants will establish appropriate monitoring indicators (process, output and outcome) that would be used to monitor the progress of resettlementimplementation. After resettlement is completed, DWASA will carry out post implementation evaluation to evaluate the impact of resettlement on PAPs and to determine whether or not the PAPs have been able to restore their incomes and living standards, by comparing with the baseline data collected in the preparation stage. In case the PAPs are not able to achieve the stated objectives of this policy DWASAwill provide additional support as necessary. 10. COST AND BUDGETING Funds for planning and implementing a Resettlement Plan will be provided by DWASA. DWASA will also provide for all costs related to mitigating adverse social impacts based on budgetary requirements established in the RP. All of these costs are to be a part of the total project cost. Each RP will detail cost estimates for compensation and relocation (if applicable) of PAPs, particularly vulnerable squatters, with a breakdown by category of PAPs and by type of asset affected, such as agricultural, residential, and commercial land; affected house, structures and other fixed assets; and type of assistances, such as transportlshifting allowance, transition allowance, etc. The Costs estimate will make adequate provisions for contingencies. In case of overruns due to unforeseen circumstances or delays, DWASA will allocate additional funds as necessary. fQ?w.~r~on~~t~:rs- i t DHAKA WASA Rcparafionof ResetliemcntAcfm Man(RAP) andSacid ImpactI\ssessment(SLA) bor M o p r ~ of Sqders Cmcnities of thc DrainageChamelm (IS&), d QUESTIOHNAIREFORCEWSUS,IWKTORYAHD DETAILEDSOaOECOHOMK S U M O f THE AFFECTED HOUSEHOLDCondvsbcdBy: DPUISCPL FOR 4 W.DWASA CANALS(RESURVEY) I'.W1-I: IlOI'SI.1IIOI-U ISI;I)k.\L\TIOS (IOU% Census) .......~Q!e!!?l!!?irp!~-- . < mnil li! . * Sinrou: . Sl \a . , Qlu?SfI..,, . . . . . . ' . ..... .~ ~-~ ~ - -- ~ - . ~.. - ~- -~ ~ ~ ~ ~ ~ ~ ~ : 1 5 '.;*me ,dKespl~ntlml Lls(r \,I' Inlerx ICY. . . . . . ... ....................... ...... ' I <> K#e canal to t11h )'ex i I lrcaru - JII~ II>~l,ou!!~a~ha\cn h ~ nfmm hcrc? to No 2 . 1I0 In cwc:y m ~arc +h111dfr~irnhrrc tlo yo11knew M h u e tcr gu" Yi- , I Shitf , v , 1 1 I II2.a.If no, \vhv ~~ot................................................................................ ' ? 1 1 , xcat,y \\:,~1; I.ccstjn,l I . I'cellornv Suppll 1'1pc.d\( atur 1 I Ilcull \\r.cii>~)- .. 'i .:..... . . . . . . . . . . . . . . . . . . . IG.\\'ha1 1!11~'ol-~oilctf'ilcilitydo y 1 1 1Iiavc'? ['it-l;r~nnc I ' 'loilst \Vater ui.dcJ \\ill1 pil-l;llnrhc 1 No provision in Ihc ho~lsc 3 O ~ ~ ~ i : h : ~ ~l:~lr111~' -1 i f i i ~ i g Ihhcr (spc.ci1S.j 4 I 17, I.ui;ltiun of%\twL pl;~,~'.' ! 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