REPUBLIC OF KENYA MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT KENYA INFORMAL SETTLEMENT IMPROVEMENT PROGRAM PLANNING & SURVEYING OF SELECTED INFORMAL SETTLEMENTS, CLUSTER 4, NYERI COUNTY CONTRACT NO. MLHUD/KISIP/ CS/005D/2013-2014 ABBREVIATED RESETTLEMENT ACTION PLAN REPORT MIIRI INFORMAL SETTLEMENT PREPARED BY MARCH, 2018 i FACT SHEET Project Name Kenya Informal Settlements Improvement Project (KISIP) Assignment Name Planning and Surveying of 8 Informal Settlements in Nyeri County, Cluster 4 Contract No. MLHUD/KISIP/CS/005/2013-2014 Lead Implementing Ministry of Transport, Infrastructure, Housing and Urban Agency Development Funding Agencies Government of Kenya, World Bank, AFD, SIDA Consultants LER CONSULT LIMITED Start Date April, 2016 Completion Date March, 2018 Team Leader Prof. Plan. Caleb Mireri Target Settlement Miiri Informal Settlement ii LIST OF ACRONYMS AFD French International Development Agency AIDS Acquired Immunodeficiency Syndrome ARAP Abbreviated Resettlement Action Plan CAD Computer Aided Design CEC County Executive-in-Charge CGRC Community Grievance Redress committee DEM Digital Elevation Model EMSF Environmental and Social Management Framework GCI Galvanized Corrugated Iron GIS Geographical Information System GO Grievance Officer GoK Government of Kenya GPS Geographical Positioning System GRC Grievance Redress committee HIV Human Immunodeficiency Virus KISIP Kenya Informal Settlements Improvement Programme, KMP Kenya Municipal Program K-SUP Kenya Slum Upgrading Program LPDP Local Physical Development Plan M&E Monitoring and Evaluation (M&E) MTIH&UD Ministry of Transport, Infrastructure, Housing and Urban Development NGO Non-Governmental Organisation NLC National Land Commission NLP National Land Policy NAMSIP Nairobi Metropolitan Services Project OP Operational Policies iii OPCT Older Persons Cash transfers PAD Project Appraisal Document PAP Project Affected Persons PDO Project Development Objective PDP Part Development Plan RAP Resettlement Action Plan RFP Resettlement Policy Framework RIC RAP Implementation Committee RIM Registry Index Map RPF Resettlement Policy Framework SEC Settlement Executive Committee SGRC Settlement Grievance Redress Committee SIDA Swedish International Development Agency SRTM Shuttle RADAR Topographic Mission UTM Universal Transverse Mercator WB World Bank iv DEFINITION OF TERMS Abbreviated Resettlement Action Plan is a resettlement document prepared to mitigate impacts that has affected less than 200 Project affected persons in accordance to World Bank OP 4.12. Adoptive planning standards refers to negotiated planning standards that use non- conventional road wayleave widths with the aim of reducing displacement that would result from the use of conventional planning standards (which use road wayleaves of 9m, 12m, 15m, 18m, 25m and 30m). Compensation/Facilitation means payments made in cash and/or in kind in recognition of loss of assets and Livelihoods resulting from impacts caused by planning and surveying. Complete Displacement: means the displacement of a structure owner or institution PAP etc. from one parcel of land to a different parcel of land outside the settlement due to the planning and survey activities including demarcation of roads. Cut-off date normally, is the date the census begins. It could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. In this ARAP, it is the latter. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated/facilitated. Market rate: The selling price of a commodity in the open competitive market. Project Affected Person(s) (PAPs) are persons, households, enterprises, and public or private institutions affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they must move to another location. Rehabilitation Assistance is the additional support, over and above compensation accorded to the vulnerable or at-risk members of the affected community during implementation of the ARAP e.g. labour support. Relocation/Localized displacement means displacement of a structure owner or institution PAP etc. from one parcel of land to a different parcel of land (within the settlement) due to the planning and survey activities including demarcation of roads. Replacement cost means replacement of assets with same quality and quantity with an amount sufficient to cover full cost of lost assets and related transaction costs and taxes. The cost is to be based on Market rate (commercial rate) according to Kenyan law for sale of land or property, without depreciation in addition to other considerations such as (a) transporting building materials to the construction site; (b) any labour and contractors‟ fees; and (c) any v registration costs. Therefore, for Replacement cost for houses and other structures means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures at market rates without depreciation. Resettlement Action Plan (RAP) or Resettlement Plan is a resettlement instrument (document) to be prepared when program locations are identified. In such cases, planning and survey activities including demarcation of roads leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. RAPs are prepared by the party impacting on the people and their livelihoods. RAPS contain specific and legal binding requirements to resettle and compensate/facilitate the affected party before implementation of the project activities. According to provisions by the World Bank OP 4.12, RAP is prepared where project affected persons are more than 200 while an Abbreviated RAP is prepared where project affected persons are less than 200. Resettlement Assistance means the measures to ensure that Project Affected Persons who may require to be physically relocated are provided with assistance during relocation, such as moving/shifting allowances for ease of resettlement, residential housing or rentals, rental allowance whichever is feasible and as required, for ease of resettlement. Resettlement Policy Framework (RPF) has been prepared as an instrument to be used throughout the informal settlements improvement project implementation. The RPF will be disclosed to set out the resettlement and compensation policy, organizational arrangements and design criteria to be applied to meet the needs of the people who may be affected by the project. The Resettlement Action Plans (“RAPs”) for the project will be prepared in conformity with the provisions of this RPF. Survey means a 100% field assessment carried out to identify and determine the number of Project Affected Persons (PAP). Squatters are those who have extended their settlements into Government/public land and have no formal right or claim to the portion of the lands. Vulnerable Groups include all those affected by the project who are below the poverty line, the elderly, women and children headed households, indigenous people, Persons with severe disabilities, ethnic minorities or other Project Affected Person who may not be protected through national land compensation legislation. vi EXECUTIVE SUMMARY Project description The Kenya Informal Settlements Improvement Project (KISIP) is a five-year project, jointly financed by the World Bank, French International Development Agency (AFD) and Swedish International Development Agency (SIDA). It is implemented by the Ministry of Transport, Infrastructure, Housing and Urban Development, with the aim of improving living conditions in Kenya’s informal settlements through specific interventions that include enhancing tenure security, settlement level planning, infrastructure services provision, and planning for future urban growth. KISIP became effective in June, 2011 and is implemented in fourteen (14) Counties including Nyeri County. Miiri informal settlement – one of the former colonial villages - is one of the beneficiary settlements in Nyeri. The settlement measures 3.34 acres with a population of 116 people. There are 47 households with a mean size of 3 people. In July, 2016, KISIP started a participatory planning and survey process in Miiri informal settlement, which was expected to culminate in tenure regularisation. The informal settlement had a draft LPDP prepared in 2000. However, the plan had not been approved thus was not implemented. Over time, and due to lack of development control, the settlement underwent spatial changes, where some beneficiaries had built structures extending into proposed road reserves. The analysis of an updated base map (prepared by KISIP) showed inconsistencies between the draft LPDP and the actual land uses on the ground. Plots had inadequate access – a key requirement in titling, thus necessitating the replanning of the settlement and revising the LPDP. The participatory revision process led to adjustments in the existing settlement structure/inhabitation. Consequently, 47 project-affected persons were affected. Towards addressing the impact on structures and vulnerability, an Abbreviated Resettlement Action Plan1 (ARAP) was prepared. This Plan is prepared with participation and endorsement from the local community and the entitlements are based on a Resettlement Policy Framework for KISIP, prepared in accordance with the World Bank’s OP 4.12 and approved by the World Bank. Institutional and implementation arrangements developed are captured in the table below. Institutional and Implementation Arrangements Table 0-1 Institutional and Implementation Arrangements in the KISIP Project Actor Responsibility i. KISIP Secretariat: This is - Tasked with overall coordination and execution of the Project. the National KISIP - Procurement of consultants to undertake Planning and Survey for the 1 Abbreviated Resettlement Action Plan are prepared in accordance to World Bank OP 4.12 when impacts affected less than 200 Project Affected Persons (for Miiri, 47 PAPs have Been Affected). vii Team different settlements as well as undertake Resettlement Action Plans to mitigate any negative impacts resulting from Planning and Survey. - Ensure all processes associated with tenure regularization2 are complete to facilitate issuance of title deeds to beneficiaries - Undertake and participate in stakeholder Consultations and sensitizations including sensitizations on Joint Titling with The Chief Land Registrar. - Management of Grievances - Ensure Implementation of this RAP upon approval ii. County KISIP Team: this - Tasked with implementing National KISIP directives within the county. is National KISIP - The main link between the Settlement Executive Committee (SEC) and the representation at the National KISIP. County Level - Ensure the county is fully aware of KISIP Projects being undertaken within the County. - Management of Grievances iii. County Government of - One of the key stakeholders in the KISIP Project Nyeri: One of the - Tasked with selection of Informal settlements to undergo tenure selected counties where regularization KISIP Project - Facilitate all KISIP interventions in selected informal settlements. interventions are being - Approval of Local Physical Development Plans for planned settlements. undertaken iv. Settlement Executive - This is the link between the community and KISIP Committee: This is the - Ensure adequate and comprehensive consultations are carried out in all KISIP community Tenure Regularization activities. representation in the KISIP Project v. The Community: This is - Actively participate in consultations and sensitizations of tenure the primary stakeholder regularization process being carried out by KISIP that will benefit from - Guide the whole process of tenure regularization by ensuring it is beneficial KISIP tenure to them regularization - Validate and approve at the settlement level prepared Local Physical interventions Development Plan. vi. The Consultant: A - In consultation with relevant stakeholders prepare Local Physical professional in the field Development Plans, carry out Survey and prepare Resettlement Action plan of urban planning to mitigate any impacts tasked with Planning - Ensure all plans are approved by all relevant authorities and Survey of selected - Present a validated and accurate list of Tenure regularization beneficiaries in informal settlement by the planned and surveyed settlement. KISIP Planning and Survey Process in Miiri Land titling in Miiri has been a community led process where all beneficiaries and stakeholders were involved from the onset of the project. The formation of the Settlement Executive Committee (SEC) ensured that constant communication and consultation is carried out between the community, the consultant, the County and KISIP. During Planning, the consultant involved the SEC in making transect walks aimed at identifying existing plot boundaries of beneficiaries, which led to the preparation of the settlement’s Base Map. 2 Tenure Regularization Processes are described in detailed in Chapter 2 viii During the review of the basemap, the community was made aware that road reserves proposed in the 2000 LPDP had been encroached, and others did not meet the minimum standards. In addition, for titling to be successful, access to every plot is mandatory i.e. provision of road way leaves. The beneficiaries proposed and endorsed total re-planning of the settlement and equal redistribution of the available land. This informed the successful first level of approval of the new LPDP by the community with the plan generating 47 individually owned plots. The breakdown of these individually owned plots is as follows: 3  4 plots are co-owned by 1 male and 1 female beneficiaries each  3 plots are co-owned by 2 female beneficiaries each  19 plots are owned by individual male beneficiaries  21 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 54 (23 beneficiaries been male and 31 female). The community endorsed plan adopted a road hierarchy of 8m, 6m and 5m and was consequently approved by the County and Director of Physical Planning forming the basis of tenure regularization of the settlement. Surveying and placing of beacons was guided by the SEC in the presence of every beneficiary further building on community participation in the whole process. The resulting survey plan will form the basis of allocating title numbers to beneficiaries whereas all impacts resulting from the planning and surveying and their mitigations have been comprehensively documented in this ARAP. To ensure the beneficiaries are aware of available title registration and the corresponding benefits KISIP and the Chief Land Registrar will carry out more settlement-oriented community sensitizations on titling and registration with emphasis on joint titling for spouses as a means to safeguard women rights to owning land as well as allow for changes to the Title beneficiary list before final printing of the titles. The Land Control Board will also play an important role in regulating land transfers as they are mandated not to approve transactions that lead to disposal of land without consent of both spouses. During Implementation of the ARAP, the National Land Commission as the custodian of Public land will officially transfer the land from public to individual beneficiaries through issuance of titles as per Kenyan Land Laws. Planning and Surveying Impacts Planning and Surveying will result in tenure regularization whose positive primary impact is issuance of title deeds to beneficiaries. The benefits of a title include the tenure security meaning one can make permanent developments/investments on the plots as indicated. In 3 All cases of joint/co- ownership are amongst family members, non-spousal. Chapter 2 details the (ongoing and future) sensitization around these types of ownerships. This is to avert conflicts. ix Miiri Settlement, there was total re-planning and redistribution of the land to the 47 beneficiaries. The beneficiaries were adequately sensitized during the community visioning that the minimum portions of land surrendered to road reserves were necessary to facilitate issuance of titles as each plot must have access. However, implementing the LPDP will result in impacts on the beneficiaries in the settlement, related to loss of structures. The preparation of this Abbreviated Resettlement Action Plan (ARAP) is directed towards identification and quantification of all losses/impacts that will result from the implementation of the land tenure regularisation and to provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. Impacts on Project Affected Persons (PAPs) This ARAP is limited to impacts caused by the planning and surveying of Miiri informal settlement, which affects 47 PAPs. 26 of the PAPs are vulnerable. There were no tenants affected. Table 0-2 PAP categorization, Miiri informal settlement Type of Pap Number Category Number Structure Owner PAP 47 Vulnerable PAP 26 52% of the PAPs are male while 48% are female. 57% of the affected PAPs were married and about 20% were single. 9% of PAPs in Miiri have no formal education, with 64% having only primary education. Secondary and tertiary education was represented by 20% and 2% respectively. 50% of the PAPs are casual labourers while 16% are unemployed. This contributes to high income poverty in the settlement with 37% of the PAPs earning earn less than Ksh. 3800 per month. The majority of Miiri PAPs use firewood (93.2%) and charcoal (25%) for cooking. Table 0-3 PAP information flow table PAPs 47 Male - 24 Female - 23 Vulnerable - 23 Vulnerable - 3 Non-vulnerable - 19 26 PAPs were identified as vulnerable with some suffering from different vulnerabilities. This comprises of 3 male PAPs compared to 23 female PAPs. Apart from entitlements as outlined in the KISIP RPF, KISIP will also forward the names of these for consideration into x the unconditional national safety net programmes such as Inua Jamii and the Older Persons Cash transfers (OPCT) programmes run by the government of Kenya Ministry of Gender, Social Services and Sports. These provide a monthly stipend for qualifying older persons. As part of additional assistance during relocation, the RIC and SEC will ensure that Vulnerable PAPs are assisted in reconstruction of affected structures during implementation period of this ARAP Table 0-4 PAPs vulnerability Miiri informal settlement Type of vulnerability Men Women Elderly 3 0 Elderly, widowed and 0 5 household head Household head 0 16 Widowed household head 0 2 Total 3 23 There were no complete displacements in the settlement. Adoptive planning standards were employed to ensure minimal disruption. This was actualised through a road hierarchy a road hierarchy of 8m, 6m and 5m as opposed to the standard 15 and 12m. Impact on Assets/Structures The results of the inventory of affected structures in Miiri informal settlement revealed that a total of 100 structures were affected. The impacts on structures are twofold: 36 structures loss is due to inter-boundary realignment; and 64 structures were affected by the new road wayleaves. In terms of magnitude of impact, all the structures were fully affected. Table 0-5 Structure related Impacts Cause of Impact Number of affected Type of Impact Number of affected structures structures Boundary Alignment 36 Fully Affected 100 Road Wayleaves 64 Total 100 Total 100 Table 0-6 below shows the types of structure that were affected. More than half of them (62%) were dwelling units. xi Table 0-6 Affected structures in Miiri Informal settlement Number Distribution of structures Type of structure House 62 62% Kitchen 17 17% Pit Latrine 8 8% Animal Shed 12 12% Store 1 1% Total 100 100% Approach and Methodology The preparation of this Resettlement Action Plan was guided by the updated project’s Resettlement Policy Framework (RFP) i.e. prepared in 2014. It is based on a number of methods including a Review of relevant documents b Community and stakeholder consultation c Socio-economic survey and census of the PAPs and assets d Valuation of assets and livelihood losses, and preparation of asset register e Preparation of PAP and Asset register Community Consultation and Participation Public participation which is a constitutional requirement was realized through meetings and transects walks. The aim was to identify the interests of the different stakeholders and draw consensus. Three planning meetings were held by the consultant in the settlement (table 0-7 below). In addition, an ARAP meeting was held on 7th March 2018 in the settlement. This meeting was attended by the PAPs and other community members (20 male and 21 female); County Government of Nyeri, National Land Commission and the National Government. During this meeting, PAPs and the SEC were present to verify inventory of the affected assets. In addition, one GRM sensitisation meeting was also held. Table 0-7 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female 1. Stakeholders consultation 12th July,  Introduction to the meeting 2016 settlement and sensitisation on the planning process and scheduling of activities xii 2. Participatory Planning 28th July,  Presentation of the process with SEC 2016 findings of the base map and discussion of need for revised plan. 3. LPDP & List of 18th County 3 0  Beneficiary validation Beneficiaries validation October, Government of Revised LPDP and 2016 of Nyeri List of beneficiaries. KISIP Nyeri 1 0  Cut off declared as 18th KISIP 3 5 October 20164 Nairobi Community 24 21 Members Total 31 26 4. ARAP Meeting th 7 March, County 3 0  This recapped the 2018 Government ARAP process and of Nyeri discussed the draft ARAP report before approval. ARAP National 1 0 implementation process Land and Grievances redress Commission mechanism discussed. Community 20 21  Verification of the PAP Members register. Total 24 21  Cut-off date recapped. 5 GRC 18th KISIP 0 2  GRC sensitisation and sensitisation/Strengthening, December strengthening RAP, Planning and Survey 2018 County 1 0  Cut-off date recapped. Issues resolution Government  Recap of resolution on of Nyeri community re- allocation/sub division National 1 0 of land. Government  Recap of voluntary movement by some Community 13 18 PAPs before ARAP completion Total 15 20 Implementation of the ARAP The primary responsibility for the implementation of this ARAP remains with KISIP who will ensure all PAPs are adequately facilitated according to the budget below an activity that will be concurrent with the issuance of Title deeds to all beneficiaries including PAPs. The implementation tasks will be carried out by KISIP RAP Implementation Committee (RIC) for Nyeri County. The composition of the RIC as stipulated in the KISIP Resettlement Policy Framework has been described in this ARAP under Section 10.2.2. 4 Refer to RAP and GRC sesnsitisation meetings minutes in Annex 2 xiii ARAP Implementation Budget All persons affected by the project and meeting the cut-off date of 18th October 2016 will be entitled to a combination of facilitation packages depending on the nature and scope of the impacts as outlined in KISIP RPF’s entitlement Matrix. Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. Facilitation of lost assets will be done concurrently with issuance of titles. Grievance Redress Mechanism A project-based grievance redress mechanism (at no cost to PAPs) has been designed with the objective of solving grievances within the shortest possible time. A settlement GRC is the first level of grievance redress while escalation mechanisms include the RAP implementation Committee (with membership from both national KISIP and County government) and the Courts of Law (highly unlikely since the process has been community led). A grievance log documents all grievances and their resolution status and will be used to monitor GRM progress. Monitoring and Evaluation The ARAP Monitoring and Evaluation Framework that has been adopted involves internal monitoring by KISIP; impact monitoring commissioned to specialized firms; and an ARAP Completion Audit. The Monitoring Indices include: i. Number of PAPs facilitated ii. Vulnerable PAPs assisted in Rebuilding Structures iii. Number of Titles Issued iv. Number of Joint titles for Spouses Issued v. Grievances Logged and resolved Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this ARAP including the budget for compensation and timelines as per the implementation schedule. xiv  KISIP will ensure all Grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP.  KISIP through the NLC will within 3 months of approval of this ARAP begin issuance of title deeds to beneficiaries and PAPs, concurrently with compensation.  KISIP and the area chief5 will undertake community sensitization against any form of Gender Based Violence (GBV) related to issuance of title deeds and land management as well as the use of compensation funds by spouses. The Settlement GRC will be key to prevent and resolve any cases of GBV.  KISIP PCT will organize and carry out Title registration sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence.  KISIP will work with the County Government of Nyeri in ensuring the sustainability of the project. The County will be part of the RIC in implementing this ARAP, part of the grievance resolution mechanism, provide additional assistance where necessary to vulnerable PAPs in rebuilding their structures through the SEC, undertake development control, Clearance of structures on road way leaves after the expiry of self-demolition period as well as protecting the road reserves from future encroachment by beneficiaries and/or any other actors.  KISIP will issue a minimum of one-month notice after compensation is issued to PAPs to enable them salvage their assets.  KISIP will undertake Monitoring and Evaluation of this ARAP during and after implementation as indicated in Section 11.0. 5In Kenya, the Chief plays an important role in resolving domestic disputes are first reported to the he who asses and determines if the case can be solved amicably between the parties or be escalated to the Police and the courts of Law xv TABLE OF CONTENTS FACT SHEET ................................................................................................................................. ii LIST OF ACRONYMS.................................................................................................................. iii DEFINITION OF TERMS.............................................................................................................. v EXECUTIVE SUMMARY .......................................................................................................... vii Project description ............................................................................................................................ vii Institutional and Implementation Arrangements ............................................................................... vii Planning and Survey Process in Miiri .............................................................................................. viii Planning and Surveying Impacts........................................................................................................ ix Impacts on Project Affected Persons (PAPs) ...................................................................................... x Impact on Assets/Structures ............................................................................................................... xi Approach and Methodology ............................................................................................................. xii Community Consultation and Participation ...................................................................................... xii Implementation of the ARAP .......................................................................................................... xiii ARAP Implementation Budget ........................................................................................................ xiv Grievance Redress Mechanism ........................................................................................................ xiv Monitoring and Evaluation .............................................................................................................. xiv Commitments ................................................................................................................................... xiv LIST OF TABLES ........................................................................................................................ xx LIST OF FIGURES ...................................................................................................................... xxi CHAPTER ONE.............................................................................................................................. 1 INTRODUCTION........................................................................................................................... 1 1.1 Introduction ............................................................................................................................. 1 1.2 Miiri informal settlement ........................................................................................................ 2 1.3 KISIP’s interventions in Miiri informal Settlement ................................................................ 3 1.4 Objective of the ARAP ........................................................................................................... 4 1.5 Scope of the ARAP ................................................................................................................. 4 CHAPTER TWO............................................................................................................................. 6 LAND TENURE REGULARIZATION AND TITLING IN MIIRI INFORMAL SETTLEMENT ............................................................................................................................... 6 2.1 Introduction to Land Titling .................................................................................................... 6 2.2 Planning Phase ...................................................................................................................... 10 2.2.1 Community Sensitization on Planning .......................................................................... 12 2.2.2 Preparation of informal settlement base maps .............................................................. 12 2.2.3 Socio-economic survey of the settlements ...................................................................... 1 2.2.4 Participatory Planning Meeting ...................................................................................... 2 2.2.5 Discussion of development proposals ............................................................................. 2 2.2.6 Validation of Plan and List of Beneficiaries ................................................................... 9 xvi 2.2.7 Plan approval .................................................................................................................. 9 2.3 Surveying Phase ...................................................................................................................... 9 2.4 Safeguarding of Miiri Informal Settlement from Land Grabbing ........................................... 9 2.5 Issuance of Titles and Continuous Community Sensitization on Title Registration............... 9 CHAPTER THREE....................................................................................................................... 13 POLICY AND LEGAL FRAMEWORK ..................................................................................... 13 3.1 Introduction ........................................................................................................................... 13 3.2 The Constitution of Kenya of 2010....................................................................................... 13 3.3 The National Land Policy (2007).......................................................................................... 14 3.4 Relevant Local Laws for Resettlement ................................................................................. 15 3.4.1 The Environment and Land Court Act, 2012 ................................................................ 15 3.4.2 The Land Act, 2012 ...................................................................................................... 16 3.4.3 The Valuers Act Cap 532 .............................................................................................. 16 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 ................................................................................................. 16 3.5 KISIP’s Resettlement Policy Framework ............................................................................. 17 3.6 World Bank’s Operational Manual OP 4.12 on Involuntary Settlement .............................. 18 3.7 Comparison between the Government of Kenya (GoK), and World Bank Guidelines ........ 19 3.7.1 Supporting Principles .................................................................................................... 25 CHAPTER FOUR ......................................................................................................................... 26 APPROACH AND METHODOLOGY ....................................................................................... 26 4.1 Introduction ........................................................................................................................... 26 4.2 Review of Relevant Documents............................................................................................ 26 4.3 Community and stakeholder consultation ............................................................................. 27 4.4 Census of the Project Affected Persons ................................................................................ 28 4.5 Inventory of Vulnerable Groups ........................................................................................... 29 4.6 Inventory of Affected structures and Valuation Methodology ............................................. 30 4.6.1 Valuation of structures .................................................................................................. 31 4.7 Cut-off date ........................................................................................................................... 31 CHAPTER FIVE ........................................................................................................................... 33 PUBLIC CONSULTATION AND PARTICIPATION ............................................................... 33 5.1 Introduction ........................................................................................................................... 33 5.2 Objectives of public participation ......................................................................................... 33 5.3 Stakeholders .......................................................................................................................... 34 5.4 Community Meetings and issues raised ................................................................................ 34 PROJECT IMPACTS.................................................................................................................... 37 6.1 Introduction ........................................................................................................................... 37 6.2 Positive Impacts of the Project.............................................................................................. 37 6.2.1 Secure land tenure ......................................................................................................... 37 xvii 6.2.2 Women empowerment in relation to land rights ........................................................... 38 6.2.3 Improved infrastructure................................................................................................. 38 6.2.4 Improved Housing......................................................................................................... 38 6.3 Negative impacts of the project ............................................................................................ 39 6.3.1 Reduced Plot Sizes ........................................................................................................ 39 6.3.2 Loss of Structures.......................................................................................................... 39 6.3.3 Increased vulnerability among the elderly, widows, and female household heads ....... 41 6.3.4 Summary of losses ........................................................................................................ 41 CHAPTER SEVEN....................................................................................................................... 43 SOCIO ECONOMIC STATUS/BASELINE ............................................................................... 43 7.1 Socio-Economic Survey........................................................................................................ 43 7.2 Socio-economic characteristics of PAPs............................................................................... 44 7.2.1 Vulnerable groups ......................................................................................................... 48 CHAPTER EIGHT........................................................................................................................ 49 MITIGATION OF IMPACTS ...................................................................................................... 49 8.1 Introduction ........................................................................................................................... 49 8.2 Eligibility Criteria ................................................................................................................. 49 8.3 Notification ........................................................................................................................... 50 8.4 Compensation Payment Protocols ........................................................................................ 50 CHAPTER NINE .......................................................................................................................... 52 GRIEVANCE REDRESS MECHANISM ................................................................................... 52 9.1 Overview ............................................................................................................................... 52 9.2 Grievance Redress Institutions/Structure .............................................................................. 53 9.2.1 Settlement Grievance Redress Committee (SGRC) ...................................................... 53 9.2.2 RAP Implementation Committee .................................................................................. 53 9.2.3 Legal Redress ................................................................................................................ 54 9.3 Procedure of Receiving and resolution of Complaints ......................................................... 54 9.3.1 Step 1: Receipt of complaint/grievance ........................................................................ 54 9.3.2 Step 2: Determination of Corrective Action ................................................................. 55 9.3.3 Step 3: Meeting with the complainant .......................................................................... 56 9.3.4 Step 4: Implementation of Corrective Action ............................................................... 56 9.3.5 Step 5: Verification of corrective action ....................................................................... 56 9.3.6 Step 6: Action by RIC ................................................................................................... 56 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission ........... 57 9.4 Terms of Reference for the Grievance Redress Mechanism Committee .............................. 57 9.5 Effectiveness of the Grievance Redress Mechanism ............................................................ 57 9.6 Capacity-Building for the Grievance Officer and Grievance Committees ........................... 58 CHAPTER TEN ............................................................................................................................ 60 xviii INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS ...................................... 60 10.1 Introduction ........................................................................................................................... 60 10.2 ARAP Implementing Institutions under KISIP..................................................................... 61 10.2.1 KISIP Project Coordination Team ................................................................................ 61 10.2.2 KISIP RAP Implementation Committee (RIC)............................................................. 62 10.2.3 County KISIP Team ...................................................................................................... 63 10.2.4 Community Settlement Executive Committee (SEC) ................................................... 63 10.2.5 The Settlement Grievance Redress Committee............................................................. 63 10.3 Sensitization and Information Sharing during ARAP implementation ................................. 64 10.4 ARAP implementation Schedule .......................................................................................... 66 CHAPTER ELEVEN .................................................................................................................... 69 MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP ............. 69 11.1 Monitoring and Evaluation ................................................................................................... 69 11.2 Monitoring and Evaluation Framework ................................................................................ 70 11.2.1 ARAP Monitoring Plan................................................................................................. 70 11.2.2 ARAP Monitoring Framework ..................................................................................... 71 11.3 Resettlement Completion Audit ............................................................................................ 73 CHAPTER TWELVE ................................................................................................................... 75 CONCLUSION AND WAY FORWARD ................................................................................... 75 12.1 Conclusion ............................................................................................................................ 75 12.2 Commitments ........................................................................................................................ 75 REFERENCES .............................................................................................................................. 77 ANNEXES .................................................................................................................................... 78 ANNEX 1: PAPS AND ASSET REGISTER.............................................................................. 78 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION ......................................... 92 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE ............................................................. 125 ANNEX 4: ARAP QUESTIONNAIRE ..................................................................................... 143 ANNEX 6: SAMPLE GRIEVANCE REGISTER ..................................................................... 146 xix LIST OF TABLES Table 0-1 Institutional and Implementation Arrangements in the KISIP Project ............................. vii Table 0-2 PAP categorization, Miiri informal settlement ................................................................... x Table 0-3 PAP information flow table................................................................................................. x Table 0-4 PAPs vulnerability Miiri informal settlement .................................................................... xi Table 0-5 Structure related Impacts ................................................................................................... xi Table 0-6 Affected structures in Miiri Informal settlement ............................................................... xii Table 0-7 Community Participation Meetings .................................................................................. xii Table 0-8 ARAP implementation budget ............................................................................................... Table 2- 1 Tenure Regularization and Land Titling Process ........................................................... 6 Table 2- 2 Community Participation Meetings .............................................................................. 12 Table 2- 3 Planning options ............................................................................................................. 2 Table 2- 4 Types of Title registration. ............................................................................................ 10 Table 3-1 ...... A summative comparative analysis of the World Bank guidelines and the Kenyan Law context ............................................................................................................................... 20 Table 4-1 Community Participation Meetings .................................................................................. 27 Table 5-1 Community Participation Meetings .................................................................................. 34 Table 5-2 Community Concerns in the ARAP process ...................................................................... 35 Table 6-1 Project impacts according to gender ................................................................................ 39 Table 6-2 Affected structures in Miiri Informal settlement ............................................................... 40 Table 6-3 Construction materials for kitchens in Miiri ..................................................................... 40 Table 6-4 Construction materials for pit latrines.............................................................................. 41 Table 6-5 Affected vulnerable persons in the settlement ................................................................... 41 Table 6-6 Categories of PAPs and Types of losses ........................................................................... 41 Table 7-1 Types of vulnerability, Miiri informal settlement .............................................................. 48 Table 8-1 Entitlement Matrix ............................................................................................................ 51 Table 10-1 National and County Government (ARAP) Implementing Institutions ......................... 60 Table 10-2 ARAP implementation budget ........................................................................................... Table 10-3 ARAP Implementation schedule .................................................................................... 67 Table 11-1 RAP Monitoring Plan.................................................................................................... 70 Table 11-2 Internal Monitoring Indicators ..................................................................................... 72 xx LIST OF FIGURES Figure 1-1 Miiri informal settlement location map........................................................................... 3 Figure 2-1 Roles and Responsibilities in the institutional set up .................................................... 11 Figure 2-2 Miiri informal settlement base map ................................................................................ 1 Figure 2-3 Miiri Local physical development Plan .......................................................................... 5 Figure 2-4 Miiri informal settlement land use budget ...................................................................... 7 Figure 2-5 Miiri ARAP Affected Structure Map ............................................................................... 8 Figure 4-1 Asset Valuation Report Preparation ............................................................................. 31 Figure 6-1 Illustration for distribution of construction materials for houses in Miiri ................... 40 Figure 9-1 Marital Status, Miiri Settlement Village ....................................................................... 44 Figure 9-2 Level of Education in Miiri Settlement Village ............................................................. 45 Figure 9-3 Monthly Income, Miiri Settlement Village .................................................................... 45 Figure 9-4 Occupation of PAPs, Miiri Village ............................................................................... 46 Figure 9-5 Other Household members’ occupation........................................................................ 46 Figure 9-6 Other Household members’ education level ................................................................. 46 Figure 9-7 Diseases Suffered .......................................................................................................... 47 Figure 9-8 Energy for cooking ........................................................................................................ 48 Figure 9-1 Grievance address procedure ....................................................................................... 59 Figure 10-1 ARAP Implementing Institutions ................................................................................... 64 Figure 10-2 ARAP Stakeholder Engagement Strategy...................................................................... 65 xxi CHAPTER ONE INTRODUCTION 1.1 Introduction The Government of the Republic of Kenya prepared the Kenya Informal Settlements Improvement Project (KISIP) as part of a national strategy to address inequality and disparities in livelihoods and quality of life within Kenya’s urban areas, the latter systematically and increasingly becoming the main population centres of the country. The Strategy comprises of three multi-sectoral programmes namely; - (i) The Kenya Informal Settlements Improvement Project (ii) The Kenya Slum Upgrading Program (K-SUP) and, (iii) the Nairobi Metropolitan Services Project (NAMSIP) to be financed by the World Bank (KISIP RPF, 2014). The aim of the Kenya Informal Settlements Improvement Project (KISIP) is to facilitate the improvement of living conditions in the informal settlements through security of tenure and municipal infrastructure development. The project will contribute to the overall Government goals for Vision 2030, through priority interventions in the following areas: institutional strengthening; improving security of land tenure and investing in infrastructure in informal settlements based on plans developed in consultation with communities; and support to proactive planning to better anticipate population growth and help develop options to dampen formation of new slums. These priority areas have been designed with four components. These are: 1 . Institutional strengthening/development and program management - This component assists in strengthening the capacity of the Ministry of Housing, the Ministry of Lands and the participating counties, and also finances program management activities (including preparation of a baseline platform and systems for monitoring and evaluation). 2 . Enhancing tenure security – this supports scale-up and process systematization of ongoing efforts to regularize tenure in urban slums and includes financing for the following types of activities: community organization and mobilization, identification and demarcation of settlement boundaries, preparation of Part Development Plans, and issuance of letters of offer/allotment to individuals/groups. 3 . Investing in settlement restructuring and infrastructure– supports implementation of settlement upgrading plans developed at the community level, investment in settlement level infrastructure and, where necessary, extension of trunk infrastructure to settlements. 1 4 . Planning for growth: Supporting delivery of affordable housing and serviced land – supports proactive planning to dampen the growth of new slums and mechanisms for delivery of land and housing that can enhance affordability for middle- and low- income households. The Program activity covers 14 counties each of which benefits from activities targeting slum improvement. KISIP’s second component on enhancing tenure security means that planning and surveying of informal settlements creates a basis for titling of land in the selected informal settlements. Enhancing security of tenure of land in the informal settlements is critical in promoting the social wellbeing of the vulnerable inhabitants. Communities in informal settlements have in the past been disenfranchised through illegal alienation and forceful eviction. Tenure regularization will make it possible for the occupiers of the land in informal settlements to make long-term commitment including investment. In addition, it will be possible for County Governments and development partners to allocate resources for infrastructure and services investment in the informal settlements, given the planning creates for public utilities and/or infrastructure. Settlement upgrading plans and surveying will determine and provide for infrastructure and services needed in each informal settlement, thus provide a sound basis for systematic investment in the settlement. 1.2 Miiri informal settlement Miiri informal settlement is located in Mathira East sub – county, in the suburbs of Karatina town, about 4km from the town centre. Miiri has a long history having been established as one of the former colonial villages in the 1960s. Despite the long duration, the Government has not been able to formally alienate the land to the PAPs. Therefore, the planning and surveying of this informal settlement is seen as a major milestone as it will lead to issuance of title deeds. Miiri informal settlement is typically rural even though it is located in proximity to Karatina Town (4km from the town centre). Its location along Karatina Town – Kerugoya town road (an all - weather road) offers it unique potential for development. Residential land use dominates the informal settlement – largely owner occupier residential land use function. However, this is likely to change once the security of tenure of land is addressed. Further, given the location of the settlement, in proximity to the Karatina town - Kerugoya town road, its likely to see land use transformation from agro-rural/commercial land uses to urban ones, i.e. business - cum – residential development. Therefore, with secure land tenure it is most likely to experience improved land values for the benefit of the land owners. Miiri informal settlement measures 3.34 acres with 47 plots. It has a population of 116 people within 47 households that have a mean household size of 3 people. The settlement has 2 generated individually owned plots only. The breakdown of these 47 individually owned plots is as follows: 6  4 plots are co-owned by 1 male and 1 female beneficiaries each  3 plots are co-owned by 2 female beneficiaries each  19 plots are owned by individual male beneficiaries  21 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 54 (23 beneficiaries been male and 31 female). Figure 1-1 Miiri informal settlement location map 1.3 KISIP’s interventions in Miiri informal Settlement The land tenure in Miiri informal settlement is classified as public land. This land is held by Nyeri County Government in trust for the people and administered on their behalf by the National Land Commission. 6 All cases of joint/co- ownership are amongst family members, non-spousal. Chapter 2 details the (ongoing and future) sensitization around these types of ownerships and the legal implications e.g. a spouse cannot sell land without consent. This is to avert conflicts. 3 KISIP’s second component intervention in Miiri informal settlement entails physical planning and surveying of the informal settlement, which led to the development and approval of a local physical development plan. The surveying component will ensure the settlers are issued with title deeds for the plots they occupy. 47 title deeds will be issued to 54 beneficiaries. To achieve the objective of the second component, KISIP is working with relevant national institutions, counties and local institutions. At the national level, institutions involved include the Ministry of Lands and Physical Planning, National Land Commission (NLC) and Ministry of Transport, Infrastructure, Housing and Urban Development. The counties are represented by the relevant ministry that houses the Physical Planning functions, KISIP County Coordination Board and the survey department. The local community is represented by the Settlement Executive Committee (SEC) which is a representation of all stakeholders at the settlement level. Like any other project, planning and surveying of informal settlements may adversely affect some households. For example, as a result of boundary realignment, some households may lose part or whole of the structures they live in resulting in PAPs in the process. This calls for the development of resettlement action plan for these PAPs. 1.4 Objective of the ARAP The objective of this ARAP is to therefore identify, document, quantify and mitigate all losses and impacts which include loss of assets and livelihoods, and impacts on vulnerable PAPs as a result of planning and surveying of Miiri Informal Settlement and provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. The ARAP provides Projected Affected Persons with compensation for their loss of structures at full replacement cost, and support for vulnerable groups. Additionally, a Grievance Redress Committee (GRC) has been established, to acknowledge and resolve grievances arising from resettlement issues, compensation to PAPs and issuance of title deeds. 1.5 Scope of the ARAP The scope of this ARAP was to: a. Develop a ARAP for the settlement in line with national legislation, KISIP Resettlement Policy Framework and world Bank’s OP 4.12 b. Study the Socio-economic reports undertaken during planning and surveying aimed at identifying data relevance, adequacy and the gaps therein in preparation of the ARAPS c. Develop innovative resettlement options (Legally sound, socially, economically and environmentally sustainable) for the displaced persons based on existing situation and context of each settlement, best global resettlement practices. d. Conduct extensive and in-depth stakeholder consultations with all project stakeholders. 4 e. Document acceptable entitlements to guide compensation and other mitigation actions to Project Affected Persons (PAPs). f. Compile an accurate PAP and Asset register (see annex 1). This ARAP is limited to impact caused by the planning and surveying of Miiri informal settlement which resulted in 47 PAPs. These impacts are twofold:  Impact caused by demolition of structures to realign road way leaves, which affected 64 structures, and  Impact caused by inter-boundary plot realignment during the planning process, affecting 36 structures. Further, all the 100 structures in the settlement were fully affected by the project. There was no complete displacement in the settlement. Every beneficiary was allocated a plot and will a receive title deed during implementation as outlined in the implementation schedule of this ARAP. The ARAP does not cover compensation for any loss of land since the PAPs in Miiri informal settlement occupy public land. The Planning was community-led and adoptive planning standards were applied,7 to ensure minimum displacements through minimal reduction of parcel sizes to provide for access which a requirement for a successful titling process. The community fully agreed and endorsed this provision leading to the approval of the LPDP by the community. 7 Use of lower level roads i.e. 8m, 6m and 5m as opposed to the standard 15 and 12m to provide for access to each plot. These standards are only applicable in special planning areas (informal settlements) to minimize displacement Impacts that would otherwise result from Conventional planning Approach. 5 CHAPTER TWO LAND TENURE REGULARIZATION AND TITLING IN MIIRI INFORMAL SETTLEMENT 2.1 Introduction to Land Titling KISIP interventions in Miiri informal settlement began in July, 2016 where the project’s component 2 will culminate to tenure regularization in the settlement. To actualize land tenure regularization, the following activities were undertaken in Miiri settlement: Community organization and mobilization, identification and delineation of settlement boundaries, preparation of settlement base map, community visioning, revision of the approved Local Physical Development Plans (LPDPs), settlement survey and beaconing as per LPDP, preparation of ARAP to mitigate impacts of planning and survey and community sensitization on title registration and benefits of title deeds. The implementation of this ARAP and issuance of title deed to the beneficiaries (including PAPs) in the settlement will be the next steps as illustrated in the table below: Table 2- 1 Tenure Regularization and Land Titling Process Stage Activities Primary Secondary Indicators Timelines Actor Actor Mobilization  Community  SEC County  Equal Undertaken Stage Mobilization  KISIP Government representation  Introduction of KISIP  Consultant in SEC activities in Miiri composition Settlement  Community  Outlining the objective welcomed the and process of Planning project as they and Survey, which will have been lead to issuance of title waiting on title deeds. deed for a long  Outlining grievance time. address mechanism.  Community committed to embrace and support the project including GRM until completion Planning Stage Base Map and  Transect walks guided Community KISIP  Base map of Undertaken physical by SEC SEC County Miiri Preparation  54 Beneficiaries Consultant Government  Every identified. Beneficiary is  Existing Plot enumerated Boundaries form basis  Participation of 6 for Planning and SEC ensured surveying that only  100 % Socioeconomic members of survey of Beneficiaries Miiri are the  Mapping of structures Beneficiaries as on the ground.  Beneficiary list representative of women beneficiaries. Visioning and  A community led Community KISIP  Active women Undertaken revision of Plan visioning process SEC County participation in  Presentation of the Consultant Government every planning findings of the basemap stakeholder versus 2000 draft plan. meeting.  Community prioritizes  Community accessibility endorses  Community involved in complete development of plan replanning and that best represents equal land their interests. redistribution as well as realignment where required.  Community aware of and endorse minimum reduction in plot sizes to provide accessibility and facilitate titling Plan Validation  A community led Community KISIP  Community Undertaken and Approval validation of plan SEC County approval of plan ensured community Consultant Government  County and vision is represented Director of  Community endorsed Physical and approved Plan Planning  Plan approved by approval of Plan county and Director of step towards Physical planning tenure regularization and issuance of titles Validation of  Every beneficiary Community County  Beneficiaries Beneficiary allowed to scrutinize SEC Government ensure existence List the plan and the Consultant of all plots in beneficiary list to KISIP the plan. 7 ensure correct details  Beneficiaries have been input. ensure correct  Women encouraged to details are in the participate. beneficiary list and sign against the details Surveying stage Surveying and  Physical Survey of Community KISIP  Beneficiaries Undertaken beaconing of Plots SEC County aware of plot plots  Women asked to be Consultant Government boundaries. present during exercise  Impacts and and shown boundaries PAPs of new plot where documented beacons have been placed.  Identification of impacts Undertaken Approval of Survey approval and Survey of KISIP New RIM Ongoing Survey Plan adjustment of Registry Kenya forwarded to Index Map (RIM) to Ministry of Land include individual for Titling surveyed Plots numbers process. ARAP Preparation ARAP Identified impacts are as Community KISIP Entitlements Undertaken Preparation a result of planning and SEC County provided for to survey are identified, Consultant Government mitigate impacts documented and mitigated ARAP  Ensure client KISIP Consultant Approved ARAP Ongoing Approval commitment to World Bank to guide implementation of implementation RAP. process and  All safeguards issuance of Titles provisions are met and addressed ARAP Implementing ARAP KISIP Consultant  Facilitation of Not yet implementation activities as per Community PAPs undertaken implementation schedule County  GRM  Issuance of Title Deeds (undertaken after facilitation) Land Titling Sensitization Registrar of Titles Registrar of County  More women Ongoing on Title owner Sensitizes Beneficiaries Titles Government aware on Joint 8 ship and their spouses on Community Consultant Titling (i) Joint Ownership of SEC  Men allow for titles KISIP joint titling with (ii) Types of spouses. registrations (iii) Benefits of the  Beneficiaries Titles aware of (iv) Conditions to be Benefits of the granted on leasehold title being Titles issued. (v)Law requirements in  Beneficiary Regulation of land grievances transactions adequately addressed Change of Beneficiary list open for Community County  Increased On Going beneficiary List final change of names to SEC Government number of Joint appear in the title Consultant Title between KISIP spouses  Beneficiaries on the final beneficiary list forwarded to the Ministry of Lands for Title printing. Titles Printing The final beneficiary list Ministry of Signed Titles are Not yet and Signing is the basis of printing of Lands- handed over to undertaken Titles Chief Land National Land Registrar Commission for Approval. Gazzettement The NLC approves National The names of Not yet transfer of Public land to Land Beneficiaries is undertaken individual beneficiaries Commission officially in Miiri published in the Kenya Gazette as individual title holders securing their tenure Issuance of Upon facilitation of all NLC County Beneficiaries Not yet Title PAPs, titles are issued to KISIP finally have undertaken respective beneficiaries individual titles to in a public event. their land. Tenure regularization is complete 9 2.2 Planning Phase The assignment began with an intention to plan notice in the local dailies and public notice boards. This was aimed at informing the relevant stakeholders and the general public on the anticipated planning and surveying of Miiri informal settlement. In the settlement, the assignment began with a reconnaissance survey of the informal settlement, with an aim of familiarising with the stakeholders and the settlement. These included the County Government of Nyeri, National Land Commission-Nyeri County, KISIP Nairobi and KISIP Nyeri County. At the local level, local communities were represented by Settlement Executive Committee (SEC) with a membership of 18. Also, during planning and surveying, research and survey assistants were recruited from the informal settlement. This enhanced public participation as they were the face of the local community in the exercise. Figure 2-1 below shows the stakeholders’ engagement framework in the settlement. 10 Ministry of Transport, Infrastructure, Housing and Ministry of Lands and Urban Development Physical Planning Houses the KISIP and provides Responsible for planning, policy framework surveying and titling of the Coordination of KISIP activities informal settlements National KISIP (Nairobi) Government Coordination and implementation of KISIP activities National Land Commission Local Community Manage public Participate in all activities relating to planning and land on behalf of surveying of their settlement the national and county Settlement Executive Committee: representative governments; of the community whose role includes: 1. Conflict resolution; 2. Safeguard interest of the community Encourage application of Nyeri County traditional 3. Conflict resolution; Government Nyeri County KISIP Coordination dispute Committee resolution 4. Safeguard interest of the community; mechanisms in Coordination and implementation of KISIP land conflicts; activities in Nyeri County COUNTY GOVERNMENT OF NYERI Monitor the County registration of all CEC Lands, Housing and Physical rights and Planning Assembly of Nyeri interests in land Chief Officer Lands Housing and Physical Planning District Survey County Director for Physical Planning Office Figure 2-1 Roles and Responsibilities in the institutional set up Responsible for planning and surveying of the informal settlements in Nyeri County 11 2.2.1 Community Sensitization on Planning In Miiri informal settlement three community planning meetings were conducted, i.e. (i) at the beginning of the planning process, (ii) Discussion of the draft 2000 plan and variance with base map, (iii) Beneficiary validation, approval of the final LPDP and other reports. Table 2-2 shows the participation and key issues discussed, as well as gender representation in these meetings. Table 2- 2 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female 1. Stakeholders 12th July,  Introduction to the settlement consultation meeting 2016 and sensitisation on the planning process and scheduling of activities 2. Participatory 28th July,  Presentation of the findings Planning process 2016 of the base map and with SEC discussion of need for revised plan. 3. LPDP & List of 18th County 3 0  Beneficiary validation of Beneficiaries October, Government Revised LPDP and List of validation 2016 of Nyeri beneficiaries. KISIP Nyeri 1 0 KISIP 3 5 Nairobi Community 24 21 Members Total 31 26 2.2.2 Preparation of informal settlement base maps The preparation of the base map entailed several sequential processes: the key were: 1. Sourcing available data and maps on the Settlement: Registry Index Map (RIM), existing LPDP, aerial photograph maps of the settlement were acquired in the form of hard copies (for LPDPs and RIMs) and soft copy aerial images for the site. The hard copy LPDPs and RIMs were scanned and geo-referenced using both GIS and CAD software i.e. ArcGIS and AutoCAD to bring them to a common coordinate system i.e. Universal Transverse Mercator (UTM) projection on Arc 1960 datum. KISIP also provided a settlement boundary sketch as sourced from the County Government of Nyeri. 2. Overlay aerial image and other sourced data. The aerial image was integrated with the digital PDPs and settlement boundary sketch provided by client to extract the 12 settlement site boundary corner coordinate data for later ground verification of settlement site boundaries. This boundary (after verification) would later be used to demarcate the settlement boundaries on the ground using key features. 3. Establishment of settlement site survey controls: Using the RIM information, survey plans were sourced in the neighbourhood of the settlement to identify previously used cadastral survey control points or existing property corner beacons that could be used as reference in verification of settlement site boundaries and site plan demarcation. 4. Verification of settlement boundary and other salient features in the settlement: Field ground truthing and accurate demarcation of the informal settlement perimeter boundaries, fixing of survey control point and identification of salient topographic features, public institutions, public spaces, utilities and other land uses of interest within the project site was undertaken through transect walks and in collaboration with the beneficiary community representatives and Nyeri County Government officials. These features were mapped using GPS. The SEC was particularly important in the verification and demarcation of the settlement boundary to confirm the spatial extent of the settlement site. During a transect walk in the settlement, the SEC was able to confirm the extent of their settlement using key features. In addition, the SEC was able to confirm the existing beneficiary plot boundaries which were also identified during the transect walks. The overlay and ground truthing showed incoherence between the 2000 LPDP and on ground situation with no well-designed road network, as part of the reserves were occupied, plots had no access etc. The result of this process was a base map (figure 2-2) which would later be used for the subsequent physical planning of the settlement. It showed structures on ground and claimed boundaries. 13 Figure 2-2 Miiri informal settlement base map 1 2.2.3 Socio-economic survey of the settlements The prepared base map was used as a basis for conducting the socio-economic survey. The structure maps in the settlement base map were used to identify the structures, mark and number them according to the numbering system that fitted the informal settlement. A digital data collection system was employed to undertake socio – economic survey and generate the list of beneficiaries and geo – referenced the plots. Recruitment of research assistants from the informal settlement was an integral part of the socio economic survey and ensured successful execution of the assignment. The research assistants were trained and piloting done to ensure efficacy of the approach and methodology A 100 percent socio-economic survey (using questionnaire in annex 3) was based on agreed eligibility criteria, and undertaken in close collaboration with the community representatives, i.e. SECs and KISIP Nyeri County Office. The following approach was adopted: a. Identification, enumeration and verification of people against identified structures: Each beneficiary was identified by the community representatives, i.e. SEC officials to avoid cases of land grabbing. Appropriate identification documents (National Identity Cards, ownership documents issued by lawful authority) were assessed to form the basis for issuance of identification documents to the enumerated household/businesses, which were scanned and recorded. A photograph of the beneficiary was also taken. All beneficiaries were captured; whether male headed or women headed. Men were encouraged to register their spouses as co-owners of their plots. b. Enumeration of structures: Each identified structure was marked using GPS coordinates. A digital photo of the structure was captured for inclusion in the database of the structures. All other attributes of the structures were captured as they are in the questionnaire (Annex 3). Each plot as identified by the beneficiary was measured by a metre rule to ascertain the size. Beneficiaries retained their current plot locations and sizes apart from those that were affected by proposed road wayleaves and boundary realignment. c. Enumeration of structure attributes: Alongside the spatial attributes, other non-spatial attributes of each structure were captured in the field questionnaire (Annex 3) such as names of the structure owners, and tenants, the entire household of both structure owners and the tenants. All this and other necessary data were captured in the digital questionnaire during the socio-economic survey. d. Verification of socio-economic data: The final socio-economic data was verified by the community representatives and county government at the end of the exercise. 1 The end product was a tentative list of beneficiaries which was subjected to a community verification process. The verification process was continuous as copies were left with the SEC for owners to also verify names and other details such national Identification Card numbers. 2.2.4 Participatory Planning Meeting A planning workshop was held on 28th July 2016 where the variance between the 2000 plan and the updated basemap was discussed. The meeting brought together the SEC together with relevant stakeholders. The aim was twofold:  Presentation of the results of the overlay and ground truthing. Here the community was informed that the overlay of the aerial image and LPDP, and the ground truthing exercise with SEC showed road reserves proposed in the 2000 draft plan were occupied while other roads did not exist on ground.  To achieve a participatory planning session; to identify planning issues and prepare a physical development plan that responds to these issues. During this session, the community identified their issues as including poor road circulation in the settlement. The community was informed in the meeting they would have to allow for realignment of road wayleaves to meet minimum standards. 2.2.5 Discussion of development proposals Considering the discussions during the community visioning process, the settlement’s draft LPDP, the following planning options were generated. Table 2- 3 Planning options Option one Option two Option three: the preferred option Options Implement existing Prepare LPDP based on ground Prepare a new LPDP LPDP without survey picking of the settlement based on a combination modification of draft LPDP, updated base map, community visioning and ground survey picking i.e. re- plan Strengths  The external  It shows the plot boundaries,  The LPDP will be boundary of the roads sizes and current land aligned to planning settlement as per uses in the settlement minimum standards, the LPDP and that  It can inform effective road sizes, access to of ground survey reorganization of the all the plots, control are in settlement reconfiguration of 2 tandem  It shows actual plots and the settlement thus  The LPDP has occupiers, which is important reducing established road in determining the actual redundancies. network standards number of plots and eventual  Optimize on land that can inform beneficiary of planning and use, enhance the conclusion of surveying functionality, i.e. the planning and  It has picked the changes that access roads for all surveying of the could have taken place since parcels. settlement the LPDP was prepared, i.e.  Replanning will subdivision. redistribute land within the settlement equally without some losing a disproportionate size, as well as enabling all to get titles. Limitations  The survey  The desired form and function  Plots and roads will pickings of roads of key land uses will not be change leading to and plots within achieved given that some impact on the settlement and roads are too narrow, some beneficiaries. the draft LPDP plots are not properly aligned,  It is time consuming are incongruent, there are also encroachment as it requires more so it will lead to which needs to be addressed, consultations, serious the redundancies especially on redesign of displacements and access roads will impair the settlement. disruption functionality of the settlement  Some plots do not  The shapes of some plots are have access irregular. making the option  Possibility that’s some plots untenable from might lose their land in the planning entirety or a disproportionately perspective as large size. Possibility of each plot must triggering land acquisition to have an access resettle those displaced in road entirety.  Plots are of varying sizes, with some being overly small to facilitate tenure regularisation 3 The community preferred option three because the plan would address their challenge of poor connectivity in the settlement e.g. realigning roads to improve accessibility but as the same time making use of existing roads (where possible) to inform the planning process, thus reducing impacts on beneficiaries. The project design (Preferred option 3) is deliberately conceptualised to ensure minimal loss of land to provide for accessibility within the settlement. 4 Figure 2-3 Miiri Local physical development Plan 5 The plan will generate 47 plots comprising of 23 male beneficiaries and 31 female beneficiaries. A road hierarchy of 8m, 6m and 5m roads has been adopted in the plan. Figure 2-3 shows the LPDP for Miiri informal settlement. The plan generates 47 individually owned plots. The breakdown of these individually owned plots is as follows: 8  4 plots are co-owned by 1 male and 1 female beneficiaries each  3 plots are co-owned by 2 female beneficiaries each  19 plots are owned by individual male beneficiaries  21 plots are owned by individual female beneficiaries Therefore, the total number of direct beneficiaries is 54, where 23 are male and 31 are female. The plan adopted a road hierarchy of 8m, 6m and 5m. The primary tangible benefit to each beneficiary is a title deed (land tenure security) for plots that were previously considered as public land. This is a document that vests in the beneficiary the absolute ownership either freehold or leasehold against any other claimants, and thus eliminates disputes or eviction if any regarding the parcel of land. In this context, a title deed has the following benefits:  Act as security/collateral for mortgage/loan from a financial institution. This enhances economic empowerment.  Act as a surety in a court of law.  Raises the value of the land. This paves way for other infrastructural development.  Eliminates risk and possibilities of future dispossession and eviction from the land as it no longer public land. 8 All cases of joint/co- ownership are amongst family members, non-spousal. This Chapter in section 2.5 details the (ongoing and future) sensitization around these types of ownerships and the legal implications e.g. a spouse cannot sell land without consent. This is to avert conflicts. 6 Figure 2-4 Miiri informal settlement land use budget An overlay of the approved LPDP on the settlement was made to highlight the affected in the settlement. This is presented as figure 2-5 below. 7 Figure 2-5 Miiri ARAP Affected Structure Map 8 2.2.6 Validation of Plan and List of Beneficiaries On 18th October, 2016, the plan was presented in a meeting to the community, Nyeri County Government and KISIP Nyeri and Nairobi staff. The plan was endorsed by the community and approved for submission to the authorities. In the same session, the beneficiary list was validated. The beneficiaries were allowed to scrutinise the plan and verify that all their plots appear on the plan. Similarly, they scrutinised the list of beneficiaries and make any changes to it, e.g. adding beneficiaries or correcting misspelt names etc. 2.2.7 Plan approval Miiri Informal Settlement LPDP has since been approved by the relevant authorities i.e. County Government of Nyeri and the Department of Physical Planning. 2.3 Surveying Phase The placing of beacons was then undertaken. The SEC guided the surveyor in placing the beacons in the presence of each beneficiary. The survey plan was then submitted and approved by the Director of Surveys. The amendment of the RIM is currently underway. The Ministry of Lands in Registration of Titles will use the RIM against the final beneficiary List. 2.4 Safeguarding of Miiri Informal Settlement from Land Grabbing Land grabbing is a common phenomenon in informal settlements. In Miiri informal settlement, there were no cases of land grabbing. However, to safeguard the community from any chance of land grabbing or claims by unknown people, the following measures were undertaken: i. The SEC (the representative of the community) was involved in ascertaining ownership of structures on the public land. ii. The list of beneficiaries involved only those who made use of the public land at the time of the exercise. Therefore no one was allowed to claim land that they do not use. iii. During the validation of list of beneficiaries, all beneficiaries were encouraged to identify their neighbours. This was to avoid unknown people being allocated land. 2.5 Issuance of Titles and Continuous Community Sensitization on Title Registration The issuance of titles will be the next process in this tenure regularisation process. This will be concurrent to the payment of facilitation/compensation to PAPs to encourage them to move into their surveyed plots and clear from road reserves. 9 In addition, sensitisation is foreseen as a continuous process thus as is the norm, KISIP will engage the Registrar of Titles before the issuance of titles to undertake more community sensitisation on a number of issues:  Benefits of Title Deed  Types of Registrations (table below)  Encourage Spouses on Joint Registration of Titles  Avoidance of Gender Based Violence on title related matters Table 2- 4 Types of Title registration. Type Of Title Details Emerging issues under KISIP Registration Absolute  Only applies in free hold land  In case of Death, Land is automatically Proprietorship  Both Husband and wife are transferred to the spouse. absolute proprietors of land  May not appear in KISIP as most land in question is located within former municipals, thus qualifying as leases Single  Singe person completely  In case of death, transfer of the land becomes Ownership owns the Land. lengthy and costly.  If Married, Consent of wife is  Discouraged under KISIP if husband and wife required before any are involved. Husband and wife encouraged transaction on the land is to go for joint tenancy/ownership. undertaken  Consent has to be reached between husband and wife on who will be the single owner of the title.  If consent is not reached between husband and wife on absolute ownership, Tenancy in common shares joint ownership is to be explored as the alternative Co-tenancy Joint Tenancy/Ownership  This type of ownership is encouraged under  Ownership of  These are naturally man and KISIP; Sensitization is ongoing land by two or wife.  It is encouraged especially during succession more persons  On the death of a joint tenant, that tenant’s and both interest shall vest in the surviving tenant or registered in tenants jointly. the title.  Tenant can transfer their interest to the other  Each co tenant tenant(s) but not to any other person. receives a copy Tenancy in common shares  Of major importance, the shareholding must of the title,  These are owners who are not be stated on the title. This may be in equal necessarily man and wife. shares or respective percentages. They can be more than two.  Each party decides what to do with his/her  If applies to spouses, husband shares since they own only a stipulated share and wife own the land in of land. shares. Common in cases  The title can only accommodate 5 entries of where there is more than one names wife and/or children are  In case of more than 5 owners, additional involved. parties to the land are required to nominate 10  In non-spousal cases, similar one to hold their shares in trust of the others ownership in shares.  This is explored especially if children are involved.  On the death of a tenant, the deceased’s share shall be treated as part of their estate Sectional Title  This applies to ownership of  In case a beneficiary builds an asset and Assets like high-rise decides to share among children/Wives, Each buildings/apartments floor is entitled to a sectional title. This sectional title can be further subjected to Joint co-ownership among children  Conditions to be granted on Leasehold Titles: Majority of KISIP related informal settlements are located in towns/municipalities where lease hold titles as opposed to free hold titles are issued in line with the law.  Law requirements in Regulation of land: o Regulation of Land transactions: The Land Control Board and functions and roles it plays in safeguarding women land rights e.g. requirement for spousal consent in land sales. o Regulation of transfers/succession when a beneficiary dies, children transfer etc.  Change of beneficiary where applicable to include joint ownership by spouses. Gender inclusivity is one of the guiding (23 male beneficiaries versus 31 female beneficiaries), KISIP will undertake more gender sensitization exercises to encourage more men to register the spouses as beneficiaries as well as build the capacity of women in the settlement to safeguard their land rights. In implementing these exercises, key stakeholders include: Registrar of Titles, KISIP and Nyeri County Government Gender Department. In particular, the Land Control Board will be a key avenue to safeguard women rights to owning land where every land transaction will be regulated by the board and spousal consent will be mandatory. The proposed gender sensitization exercises will include but not limited to the following: i. Enhancing women’s legal rights to own and inherit land, which to an extent is ongoing as women heads are already recognized through the titling process, while joint spousal registration was discussed with all settlement beneficiaries during the planning process ii. Enhancing women’s decision-making capabilities on land they use, regardless of whether they are a named owner of the land or if their 11 names appear on title deed. For example, women will be sensitised to know that a spouse cannot sell land without their consent and the role that the Land Control Board plays in enforcing the requirement of spousal consent thus acting as an avenue of safeguarding the rights of women on land ownership. iii. Addressing norms and customs for how women acquire land (e.g., purchase, inheritance), the quality of land they receive, and how land is transferred at marriage or a spouse’s death through the sensitization process. Particularly, succession processes when a male spouse dies will be highlighted to ensure women are not dispossessed of their right to ownership of the land previously held by their husbands. iv. Educating both women and men on the benefits of recognizing women’s land rights. 12 CHAPTER THREE POLICY AND LEGAL FRAMEWORK 3.1 Introduction Land alienation and tenure regularization may trigger Project impacts to people’s assets and sources of livelihood. These activities may include; i. Partial demolitions of structures to expand/re align road reserves; ii. Reclamation of encroached way-leaves; iii. Displacement of open and mobile shops (kiosks) to expand/realign road reserves, provide drainage canals etc.; iv. Displacement of settlements to reclaim public utility land; v. Land reservation for receptacles and waste collection centres, posts for security lighting; and, vi. Removal of structures to create room for trunk infrastructure such as water mains and hydrant points towards mitigating severity of fire disasters. According to KISIP Resettlement Policy Framework (RPF) 2014, there is insignificant potential for impacts within the KISIP project towns since the projects are being undertaken within the public/designated way leaves and reserves, and public land reserved for such purposes. However, given the land is public and in Miiri particular there is a draft LPDP prepared in 2000, there is potential risk for evictions especially where it concerns road reserves. Even with minimal impact, such may result to loss of means of livelihood, disruption of economic activities, persistent land- related conflicts, and displacements to poorly developed areas, inadequate and late compensation and environmental degradation. In order to mitigate the negative impacts on affected persons, Government of Kenya as well as international institutions have prepared guidelines and safeguard policies to cushion people from the potential negative impacts of planning and survey. Therefore, this chapter describes the relevant local and international policies and legislations that will apply to Project Affected Persons in Miiri informal settlement, Nyeri County. 3.2 The Constitution of Kenya of 2010 The constitution acts as the overarching law in matters of property including land, and displacement. Section 60 of Chapter 5 lays down the principles of land ownership and use as follows: i. Equitable access to land; ii. Security of land rights; 13 iii. Sustainable and productive management of land resources; iv. Transparent and cost-effective administration of land; v. Sound conservation and protection of ecologically sensitive areas; vi. Elimination of gender discrimination in law, customs and practices related to land and property in Kenya; and vii. Encouragement of communities to settle land disputes through recognized local community initiative. The Constitution entrenches the protection of legally acquired land and property rights, and any acquisition of rights in land and property, be it voluntary or involuntary, must comply with the law. However, in Miiri informal settlement, planning and regularization is on public land therefore land acquisition is not applicable. The recognition of alternative dispute resolution mechanisms is aimed at expediting issues of land rights, transfer and supporting economic development. 3.3 The National Land Policy (2007) The National Land Policy (NLP) presents policy recommendations on issues of land rights and provides for strategies on dealing with land rights of vulnerable groups, minority groups, refugees and internally displaced persons, informal settlements, children and people living with HIV/ AIDS. Section 3.6 of the Policy is exclusive on Informal Settlements, the policy provides that to deal with the challenges presented by squatters and informal settlements, the Government shall: a. Take an inventory of genuine squatters and people who live in informal settlements; b. Determine whether land occupied by squatters is suitable for human settlement; c. Establish appropriate mechanisms for the removal of squatters from unsuitable land and their resettlement; d. Facilitate planning of land found to be suitable for human settlement; e. Ensure that land subject to informal settlement is developed in an ordered and sustainable manner; f. Facilitate negotiation between private owners and squatters in cases of squatter settlements found on private land; g. Facilitate the regularization of existing squatter settlements found on public and community land for purposes of upgrading or development; h. Establish a legal framework and procedures for transferring unutilised land and land belonging to absentee land owners to squatters and people living in informal settlements; 14 i. Develop, in consultation with affected communities, a slum upgrading and resettlement programme under specified flexible tenure systems; j. Put in place measures to prevent further slum development; k. Facilitate the carrying out of informal commercial activities in a planned manner; l. Regulate the disposal of land allocated to squatters and informal settlers; and m. Establish an appropriate legal framework for eviction based on internationally acceptable guidelines Sub section (g) above applies to planning and regularization of Miiri informal settlement in Nyeri. The same section provides guidelines on gender and equity principles relating to land rights on matters to do with land and resettlement. It particularly makes provisions for joint spousal registration and documentation of land rights, and for joint spousal consent to land disposals, applicable for all forms of tenure. 3.4 Relevant Local Laws for Resettlement 3.4.1 The Environment and Land Court Act, 2012 The Act enacts Article 162(2) (b) of the Constitution; to establish a superior court to hear and determine disputes relating to the environment and the use and occupation of, and title to land, and to make provisions for its jurisdiction, functions and powers, and for connected purposes. The established Court has power to hear and determine disputes relating to; a. Environmental planning and protection, climate issues, land use planning, title, tenure, boundaries, rates, rents, valuations, mining, minerals and other natural resources; b. Compulsory acquisition of land; c. Land administration and management; d. Public, private and community land and contracts, choices in action or other instruments granting any enforceable interests in land; and e. Land administration and management; f. Any other dispute relating to environment and land. This shall be an important institution in case of grievances with regard to displacement that cannot be solved through the ARAP grievance redress system. 15 3.4.2 The Land Act, 2012 Part II section 8 of the Land Act, 2012 provides guidelines on management of public land by the National Land Commission on behalf of both national and county government. This law, in section 8(b) stipulates that the Commission shall evaluate all parcels of public land based on land capability, classification, land resources mapping consideration, overall potential for the land use, and resource evaluation for land use planning. Section 8(d) stipulates that the Commission may require the land to be used for a specified purpose subject to such conditions, covenants, encumbrances or reservations as are specified in the relevant order. In managing public land, the Commission is further required in section 10(1) to prescribe guidelines for the management of public land by all public agencies, statutory bodies and state corporations in actual occupation or use. In these guidelines management priorities and operational principles for management of public land resources for identified uses shall be stated. The land under which Miiri informal settlement falls is classified as Public land hence invoking some sections of this Act. 3.4.3 The Valuers Act Cap 532 The Valuers Act is an Act of Parliament to provide for the registration of Valuers and the regulation of the valuation profession and practice in Kenya. Clause 21 of Cap 532 prohibits any person who is not a Registered Valuer and whose name does not appear in the register to prepare and submit a valuation report. The importance of these provisions is that a valuation report prepared by a person or firm not registered under the provisions of Clause 21 is invalid and cannot be used for the basis of compensation. The provisions of this Act are relevant to the project as a Registered Valuer is required for the purposes of determining types and amount of compensation, whether the acquisition is going to be under Cap 295 or Cap 288 or World Bank OP 4.12. 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 The provisions of this Act apply to all internally displaced persons that arise either through calamities, social conflict or development projects and are guided by the Bills of Right under the Constitution of Kenya. Section 5 of the Act lists development projects among the displacement factors and outlines involvement of the affected persons through awareness, sensitization, training and education on causes, impacts, consequences and prevention measures. Section 6 of the Act provides that 16 displacements because of development project sites will only be justified by compelling and overriding public interest. The procedures to follow are listed under section 22 and include: - i. Justification as to why the displacement is unavoidable and that there is no other feasible alternative. ii. Seeking free and informed consent from the affected person iii. Holding public hearing on project planning iv. Provision of reasonable notice time to allow the affected persons review and react to the displacement conditions; and v. Displacement process should reflect respect to human rights. Displacement of the affected persons will be guided by the following factors: - i. Full information on the affected persons and ensuring their participation; ii. Identification of safe, adequate and habitable alternatives; iii. Availability of safety, nutrition, health, and hygiene as well as protection at the new location; and iv. Acceptability by the host communities in the new location (if re-location is implemented) The Act therefore provides enacted guidelines in the event of displacement in Miiri informal settlement. 3.5 KISIP’s Resettlement Policy Framework The main purpose of the RPF is to guide resolution of any displacement anticipated from project activities. The RPF conforms to OP 4.12 of the World Bank and anchored in the policy and legal provisions of the Government of Kenya pertinent to Involuntary Resettlement namely; - The National Constitution, Sessional Paper No. 3 of 2009 on National Land Policy, Chapter 288 of the laws of Kenya among others. OP 4.12 of the World Bank requires that an RPF be prepared for all projects that anticipate displacement of both settlements and livelihoods. Though minimal, if any displacement is anticipated from KISIP activities, this RPF: i. Provides for a policy, legal and institutional framework for responding to all displacement impacts occasioned by activities undertaken under KISIP. This policy covers direct economic and social impacts that both result from Bank- assisted investment projects, and are caused by:  the involuntary taking of land resulting in relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means 17 of livelihood, whether or not the affected persons must move to another location; or  The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. ii. Offers choices among, and identify technically and economically feasible resettlement alternatives; and, iii. Puts in place modalities for providing prompt and effective compensation at full replacement cost for loss of assets attributable directly to the project and provide support during the transitional period to enable the affected people to improve or at least restore their pre-impact living standards. 3.6 World Bank’s Operational Manual OP 4.12 on Involuntary Settlement The World Bank’s IRP outlines the conditions under which the World Bank will fund a project if it displaces persons or affects their social and economic wellbeing. The objective of the Bank’s Resettlement Policy OP 4.12 is to ensure that population displaced by a project receives benefits from it. The policy has the following key objectives: a. To outline measures to ensure that the displaced persons are: - i Informed about their options and rights pertaining to resettlement; ii Consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and iii Provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project b. If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are: - i Provided assistance (such as moving allowances) during relocation; and ii Provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. c. Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also includes measures to ensure that displaced persons are: - i. Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and Kenya 18 ii. Provided with development assistance in addition to compensation measures demanded by the policy; iii. Such as land preparation, credit facilities, training, or job opportunities. 3.7 Comparison between the Government of Kenya (GoK), and World Bank Guidelines GoK, and World Bank requirements are found to converge on some points such as the need for participation of all stakeholders, and consultation with project affected persons at every stage, need for mechanisms for addressing s mechanisms for project affected persons. The table 4-1 below provides a summative comparative analysis of the World Bank guidelines and the Kenyan Law context. 19 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context World Bank OP 4.12 Kenyan Context Gap filling measures General ARAP Requirements Involuntary resettlement should be avoided wherever Involuntary resettlement possible in contexts of Ensure that resettlement issues are possible, or minimized, exploring all alternatives. projects of public interest e.g. the Land Act does considered at the design stage of the not stipulate that resettlement should be avoided project in order to avoid/minimize wherever possible; on the contrary, as long as a resettlement and associated issues. project is for public interest, involuntary resettlement is considered to be unavoidable. PAPs should be assisted in improving livelihoods The Land Act 2012 guarantees the right to fair Implement World Bank OP 4.12 policy etc. or at least restoring them to previous levels. and just compensation in case of relocation. Just and fair compensation as outlined in the Land Act is vague and can only be determined by NLC. In most cases, construed as market prices thus restoring to pre-project status. ARAP Process Requirements Grievance Redress Mechanism: The ARAP should The Constitution of Kenya, 2010, envisions a Adopt both Kenyan legislation and World provide for appropriate and accessible grievance prominent role for alternative dispute resolution, Bank. mechanism will be established. Appropriate and including traditional dispute resolution accessible grievance mechanisms mechanisms. This is in addition to other are established for these groups. legislative frameworks which provide for non- formal methods of dispute resolution. For instance, Land Act 2012 clearly outlines the steps and process for grievance redress that includes alternative dispute resolution, and is backed by the judicial system through Environmental and Land Court Act. 20 Consultation: The ARAP process should provide The IDP Act internalizes high value safeguards Adopt both Kenyan legislation and World for opportunity for meaningful consultations with techniques such as the application of a free, prior Bank. affected persons and communities, local authorities, and informed consent process that emphasizes and, Non-Governmental Organizations (NGOs) the quality and meaningfulness of affected where appropriate. community participation including the impact that views obtained during consultations have on the final decision. Information Disclosure: Once approved, the ARAP, Kenyan Legal Framework not clear on Implement World Bank OP 4.12 policy is made available to the public through its InfoShop. Information disclosure of Approved ARAP KISIP is also required to disclose it in line with The World Bank Policy on Access to Information. Eligibility Criteria The Land Act 2012 provides that written and Ensure ALL users (including illegal Determined by: unwritten agreements are recognized as valid squatters, labourers, rights of access) of (a) those who have formal legal rights to land land right. affected lands are included in the census (b) those who do not have formal legal rights to land The Land Act 2012 provides that people eligible survey and all compensation for loss of at the time the census begins but have a claim to such for compensation are those holding land tenure assets will be at replacement value land or assets—provided that such claims are rights and measures to restore livelihood recognized under the laws of the country or become The Land Act 2012 also recognizes those who undertaken. recognized through a process identified in the have interest or some claim in the land such Those without legal right i.e. all resettlement plan. pastoralist or who use the land for their beneficiaries in place of resettlement (c) Those who have no recognizable legal right or claim to livelihood. receive tenure security of land occupied. the land they are occupying. The constitution recognizes occupants of land Therefore, although O.P 4.12‘s recognizes eligibility as even if they do not have titles and payment made both formal (legal) and informal owners of in good faith to those occupants. However, this expropriated land, it does not specifically recognize is not mandatory and does not apply to those all users of the land to be compensated. who illegally acquire land. The Traffic Act 21 which recognises encroaching into e.g. road reserves as illegal is repugnant or encroachers into e.g. road reserves as stipulated under Traffic Act. O.P 4.12 describes that normally the cut-off date is the date the census begins. It could also be the date The Land Act, 2012 is not specific on the cut-off Implement World Bank OP 4.12 policy the project area was delineated, prior to the census, date but proposes a final survey of land (with provided that there has been an effective public regard to private land) to be undertaken before dissemination of information on the area delineated, compensation is paid. It does not cover public and systematic and continuous dissemination land. subsequent to the delineation to prevent further population influx. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation or resettlement assistance. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated. Measures: Cash based compensation should only be made where Land Act 2012 appears to prefer mode of cash Ensure that all alternative options are (a) land taken for the project is a small fraction of the compensation by the Government to the affected considered before providing cash affected asset and the residual is economically viable; population. compensation. (b) active markets for lost assets exist and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. 22 World Bank OP4.12 Article 6(a) requires that Land Act talks of prompt, just compensation Use World Bank OP 4.12 procedures in affected persons are provided with prompt and before the acquisition of land. However, determining form of compensation effective compensation at full replacement cost for interpretation of just compensation is yet to be Implement prompt and effective losses of assets attributable directly to the project. If clearly outlined through a specific schedule resettlement assistance. physical relocation is an impact, affected persons defining just compensation has not been put in must be provided with assistance during relocation place. Therefore, Costs such as attorney’s fees, and residential housing, housing sites and/or cost of obtaining advice or cost incurred in agricultural sites to at least equivalent standards as preparing and making written claim not in the the previous site. Land Act. Similarly, the Act does not out Replacement cost does not take depreciation into rightly stipulate assistance for relocation but can account. In terms of valuing assets, if the residual of only be implied. the asset being taken is not economically viable, compensation and assistance must be provided as if the entire asset had been taken. Compensation and other assistance required for The Land Act, 2012 is not specific on any other Ensure that ALL resettlement options are relocation should be determined prior to assistance to affected persons. Assistance ends at agreed on with PAPs and put in place impact/displacement, and preparation and provision compensation. prior to Impact/displacement of affected of resettlement sites with adequate facilities, where PAPs required. Impact/Displacement must not occur before all necessary measures for resettlement are in place, i.e., measures over and above simple compensation. O.P 4.12 proposes that measures for livelihood The Land Act, 2012 is not specific on livelihood restoration are considered during resettlement of restoration. Implement World Bank OP 4.12 policy PAPs. Valuation: Land Act 2012 talks of just compensation for the Apply the World Bank OP4.12 valuation 23 With regard to land and structures, ―replacement lost assets but it is not specific of the exact measures, as outlined in part 6, in order to cost is defined as follows: amount or procedures on the same. fully value all affected assets in a For houses and other structures, it is the market cost Interpretation of just compensation has not been consistent manner. of the materials to build a replacement structure with defined. an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labour In case of conflict between OP/BP 4.12 and national laws, OP 4.12 will prevail. 24 3.7.1 Supporting Principles In approaching rehabilitation assistance within the KISIP, provisions of both GoK and OP 4.12 of the World Bank will apply and where gaps are encountered, additional provisions in mitigation have been identified. Additionally, project development has been firmly anchored on principles aimed at mitigating displacement impact as follows: - a) Minimization of Displacement: This project subscribes to the policy of minimization of displacement as follows: -  KISIP interventions in Miiri are by design quite small and targeted at enhancing quality of life among the settlers. This has and will greatly minimise the need for impact.  Revision of Local Physical Development Plan will utilize existing way leaves. Thus, wherever permanent dwellings may potentially be affected by a new LPDP, the latter shall be redesigned to minimise impact accordingly;  To the extent possible, projects will utilize public easements - sewer lines, other linear infrastructures etc. will be routed inside existing right-of-ways (roads, streets, and power lines) wherever possible. b) Enhancement of benefits and Livelihood Restoration: One of the objectives of KISIP RPF is to ensure that livelihoods are improved or restored to pre- impact/displacement levels. c) Assistance to vulnerable groups: The Project recognises the need for providing additional support to vulnerable groups so as to cushion them from impacts associated with the project and to facilitate faster adjustment in the new environment. Vulnerable PAPs may have different needs from most PAPs, or needs unrelated to the amount of land available to them. d) Gender Empowerment and Inclusivity: The Constitution of Kenya Advocates for gender inclusivity at every level of decision making. In this regard, the preparation of Miiri informal settlement Plan was no exception. To effect this, the composition of SEC accurately met the gender inclusivity principle as it ensured women are involved in decision making. This rule was reflected in stakeholder engagement meetings where women were present, actively participated and raised concerns and deliberations that entrenched their views in the plan preparation. 25 CHAPTER FOUR APPROACH AND METHODOLOGY 4.1 Introduction The preparation of this Resettlement Action Plan was guided by the project’s Resettlement Policy Framework (RFP). The RPF sets out the process to be undertaken in the preparation of ARAPs, and key components to be included in the ARAPs e.g. provision of socio-economic baseline information, policy, legal and institutional framework, grievance redress mechanism, public consultation, census of Project Affected Persons (PAPs) and assets, entitlement matrix, implementation schedule, budget, and monitoring and evaluation. At the conceptual stage, during project development, social and environmental analysis was undertaken to determine the nature and magnitude of the potential impacts on the environment, people and livelihoods; and to determine the level of environmental and social assessment required. The social analysis revealed that the project will lead to delineation of public utilities; alignment of the plot boundaries; alignment of road wayleaves; and creation of new ones. This therefore triggers the World Bank’s safeguards policy OP 4.12 which requires the preparation of ARAP to ensure that all the Project Affected Persons (PAPs) are adequately compensated for the loss they are likely to incur. The methodology adopted in the preparation of this ARAP involved various steps. These steps are discussed in the following sections: 4.2 Review of Relevant Documents As a first step, and throughout the ARAP process, a number of key documents relating to KISIP project were consulted to provide guidance:  Project Appraisal Document (PAD) for KISIP which the official project document is  Environmental and Social Management Framework (EMSF) which provides a framework for identification and mitigation of potential environmental and social impacts arising from any KISIP project intervention  Resettlement Policy Framework (RPF) which provides a framework consistent with the World Bank’s OP 4.12 for mitigating physical and livelihood impacts.  Socio Economic Report for Miiri 2016 prepared as part of this consultancy covering the settlement to provide baseline information for design and monitoring project interventions.  Community Consultation Report Miiri 2016 which documents community involvement in the identification and prioritization of project interventions. 26  Environmental and social screening report that informed the need for a ARAP  Survey Plans, Registry Index Maps (RIMs) and Physical Development Plans (PDPs). 4.3 Community and stakeholder consultation Public consultations were realized through community meetings; transect walks, and participatory planning and mapping. The aim of public consultation process was to identify the interests of the different stakeholders and draw consensus. Public participation is also constitutional requirement. Three community planning meetings were therefore held in the settlement. These meetings were: (i) at the beginning of the planning process (ii) Discussion of the draft 2000 plan and variance with basemap, (iii) Beneficiary validation, approval of the final LPDP and other reports. In addition, one ARAP sensitization meeting was held in the settlement on 7th March 2018. 1 GRC sensitization meeting was also held. The details of the meetings are in table 4-1 below: Table 4-1 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female 1. Stakeholders consultation th 12 July,  Introduction to the meeting 2016 settlement and sensitisation on the planning process and scheduling of activities 2. Participatory Planning 28th July,  Presentation of the process with SEC 2016 findings of the base map and discussion of need for revised plan. 3. LPDP & List of 18th County 3 0  Beneficiary validation Beneficiaries validation October, Government of Revised LPDP and 2016 of Nyeri List of beneficiaries. KISIP Nyeri 1 0  Cut off declared as 18th KISIP 3 5 October 20169 Nairobi Community 24 21 Members Total 31 26 4. ARAP Meeting th 7 March, County 3 0  This recapped the 2018 Government ARAP process and of Nyeri discussed the draft ARAP report before approval. ARAP National 1 0 implementation process Land and Grievances redress Commission 9 Refer to RAP and GRC sesnsitisation meetings minutes in Annex 2 27 Community 20 21 mechanism discussed. Members  Verification of the PAP Total 24 21 register.  Cut-off date recapped. 5 GRC 18th KISIP 0 2  GRC sensitisation and sensitisation/Strengthening, December strengthening RAP, Planning and Survey 2018 County 1 0  Cut-off date recapped. Issues resolution Government  Recap of resolutions on of Nyeri community re- allocation/sub division National 1 0 of land. Government  Recap of voluntary movement by some Community 13 18 PAPs before ARAP completion Total 15 20 4.4 Census of the Project Affected Persons The Consultant conducted a household survey which included 100% census of the affected persons in May 2017. The local community represented by the SEC was vital in identifying and authenticating the PAPs i.e. the PAPs must have their structures within the settlement boundary and listed in the list of beneficiaries agreed during the validation of the LPDP and the list of beneficiaries. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons, ii. Identify affected assets and livelihoods for each PAP, iii. Register the affected population and establish a list of legitimate beneficiaries before the project’s onset that counters spurious claims from those moving into the project area solely in anticipation of benefits, iv. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates, and v. Provide a baseline for monitoring and evaluation of the resettlement interventions. A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation and housing conditions. The census also documented housing conditions, health conditions economic activities. This information was used: i. To establish a list of PAPs; ii. To establish a socio-economic profile of PAPs based on existing conditions; and, iii. To provide a baseline for resettlement monitoring and evaluation The standard questionnaire was also used collect inventory of losses information from PAPs about assets that are affected such as structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; 28 The information was provided by the PAP as required and validated by the team on the ground. The ARAP team ensured PAPs or their representatives were present during asset enumeration, thus the questionnaire was signed by the PAP or representative. In the event that the head of the household was not available at the time of asset inventory, a member of the household would sign and confirmed by the SEC member available. The PAPs were required to sign the asset inventory collecting tool (annex 4) to show a confirmation that it’s the true copy of the information collected. In the event that the head of the household was not available at the time of asset inventory, a member of the household would sign and confirmed by the SEC member available. 4.5 Inventory of Vulnerable Groups As part of the Socio-economic baseline survey (tool in annex 3), vulnerable groups inventoried to ensure provision of extra entitlements as soft landings in the compensation process. According to KISIP’s RPF, such groups should include; - i. Indigenous people: These are people who are closely tied to their traditional or customary lands and natural resources on these lands, but these lands may not be under legal ownership. Going by tradition, indigenous peoples are rarely encountered in urban centres and it is unlikely that any will be displaced under the KISIP. Indeed, none were encountered during field work either for the KMP or currently under KISIP. ii. Persons with Severe Disabilities: Such are usually disadvantaged in that their labour is challenged which makes them often unable to secure employment and locks them out of certain businesses. iii. Elderly persons: Elderly people without assets or investments and people to depend on suffer numerous vulnerabilities. Any impact will affect their economic viability and may separate them from the person or household on whom they depend for their support. iv. HIV/AIDS afflicted persons: Relatively high percentages of the poor and total population are living with HIV or are terminally ill with AIDS. Many are beneficiaries of numerous health programmes from the government, international organizations and the NGO community. v. Orphans and street children: Due to the impacts of the AIDS pandemic, there are a considerable number of orphaned children, whose parents have died from AIDS related diseases. These children today fall into three categories of care namely (i) those being looked after by close relatives, (ii) those being looked after by the government, local authorities or NGOs and (iii) those living alone and providing for themselves and other siblings. These children are more vulnerable since they are often "voiceless" because they have no parents to defend or stand up for them. 29 vi. Widows and women household heads: women headed households rarely own the land that they farm (rendering them vulnerable to landlessness on divorce or widowhood). They are also more likely to experience difficulties in accessing credit, organising labour, or securing insurance. Thus, female-headed households possibly need special provision for coping with major shocks. Miiri informal settlement recorded 3 male elderly PAPs. 23 female PAPs were further identified with other vulnerabilities including widowed and female household heads. These groups of vulnerable persons were identified for special cushioning which includes additional cash support for the first three months for all vulnerable PAPs. In addition, depending on the type of vulnerability, these groups will also through the County government of Nyeri Ministry of Gender, Social Services and Sports be recommended for additional assistance. Such programmes may include the unconditional cash transfer programmes that include Inua Jamii 70 years and above, and the Older Persons Cash transfers (OPCT) programmes run by the government of Kenya Ministry of Gender, Social Services and Sports. 4.6 Inventory of Affected structures and Valuation Methodology During the exercise, structures including main houses and pit latrines were affected by the planning and surveying project in Miiri informal settlement. An inventory of all the affected structures was therefore required to determine the number, their descriptions and size, so as to facilitate the valuation process. However, at the time of undertaking the ARAP, 15% of the structures had already been moved. Most PAPs moved their structures immediately after beaconing and some after asset inventory (during the planning and surveying stage), without the knowledge of the consultant. This was later indicated to be voluntary and without any pressure from any authority (i.e. SEC or county government), and something uniquely undertaken in Nyeri settlements. The community later indicated that it was triggered due to the nature of their structures i.e. wooden, where some structures e.g. houses could be literally moved, or e.g. latrines could be reconstructed re-using part or most of the materials. While some indicated that they interpreted the beacons to mean they were occupying other people’s land or road reserve, thus movement to ensure they lived within their ‘own’ plots/parcels. The inventory information was therefore collected (using tool in annex 3) and included the nature of the structure, materials used for construction, its size (measurements) and the claimant. In the case of the structures that had already been moved, their location was verified using the basemap that had been prepared during the planning process. 10 In addition, the SEC was used to verify the structure description given by the PAPs for valuation. The SEC and the PAP then signed the ARAP questionnaire (annex 4), to verify the description given. The values given are estimations of the structures that had been moved. This process 10 As explained in chapter 2, all plots and structures had been mapped during the planning and survey process. 30 was undertaken by the project ARAP specialist while valuation was done by a registered valuer. 4.6.1 Valuation of structures Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. The rate adopted was inclusive of the cost of site preparation, building materials, labour, transportation and any other associated costs. These rates adopted were obtained from mixed sources including the Institution of Quantity Surveyors of Kenya and Ministry of Transport, Infrastructure, Housing and Urban Development. Figure 4-1 shows the asset and livelihood valuation report preparation. Asset inventory was established ARAP ensured data from various stakeholders including Surveys of Kenya, Ministry of Lands and other relevant parties was gathered Asset inventory was prepared Asset and Livelihood Valuation Roll was established Valuation was done by Registered Valuer Figure 4-1 Asset Valuation Report Preparation 4.7 Cut-off date In line with OP 4.12, the cut-off date normally, is the date the census begins. It could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and 31 continuous dissemination subsequent to the delineation to prevent further population influx. Here the latter applies. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated. Establishing this cut-off date is essential in the process, as new inhabitants coming to the project affected areas after the cut-off date will not be considered for compensation. The Project Cut-off Date for Miiri informal settlement was declared as 18th October 2016. The PAPs were reminded on 7th March 2018 and 18th December 2018. 32 CHAPTER FIVE PUBLIC CONSULTATION AND PARTICIPATION 5.1 Introduction Public consultation in relation to the ARAP occurs at all stages, starting with inception and planning when the potential land and alternative sites are being considered. A participatory approach was adopted as an on-going strategy throughout the entire project cycle. Public participation and consultations was done through individual, group, and community meetings. Selection of ways to consult, and expand participation by PAPs and other stakeholders, took into consideration gender, literacy levels prevalent in affected communities; ethnicity and cultural aspects; and practical conditions (like distance). Public consultations were realized through individual meetings e.g. during the socio- economic baseline survey, community meetings; and transect walks. Community consultations were held during socio-economic surveys to identify and prioritize project interventions based on the needs identified, the resources available and the likely impacts of KISIP interventions. Before the ARAP process, 3 planning meetings had been organised within the settlement with the local Settlement Executive Committees (SECs), beneficiaries, with representation from the County and National Land Commission. ARAP related issues were also raised in the planning meetings. In general, in Miiri 3 planning meetings and 1 ARAP meeting were held to discuss ARAP issues. Details of these meetings are discussed in section 5.4 below 5.2 Objectives of public participation The aim of public consultations was to identify the interests of the different stakeholders and draw consensus. Public participation is also a constitutional requirement. The objectives of the stakeholder consultations were:  To sensitize the community about the project and potential impacts on people and their assets;  Provide a platform for the community to air views and concerns which are relevant to the ARAP and need to be resolved,  Involve them in key processes of census and the undertaking of the affected asset inventory,  Provide an opportunity for the community to themselves propose the most appropriate mitigation measures for asset and livelihood losses,  To seek support from the community and other all relevant stakeholders in the preparation and implementation of the ARAP. 33  To discuss the draft ARAP report and its recommendations. 5.3 Stakeholders During the public consultations, multiple groups of stakeholders were consulted. The stakeholders were those who have an interest in the project development, and who will be involved in the further consultative process. The main groups of stakeholders are: i. Project Affected People These are the people who reside in the area or derive their livelihood from the affected land. These people will lose their structures due to the planning and surveying activities in Miiri informal settlement. Most of the directly affected people were informed and consulted on major issues concerning impact. They participated in the socio-economic survey. ii. Government Agencies  KISIP  National Land Commission  Area chief’s office  County government of Nyeri  Ministry of Lands and Physical Planning The two groups of stakeholders attended the ARAP meetings as shown in annex 2. 5.4 Community Meetings and issues raised The minutes and attendance lists have been annexed (annex 2). Table 5-1 Community Participation Meetings No. Meeting Session Date Participants Key issues discussed Male Female 1. Stakeholders 12th July,  Introduction to the consultation meeting 2016 settlement and sensitisation on the planning process and scheduling of activities 2. Participatory 28th July,  Presentation of the findings Planning process 2016 of the base map and with SEC discussion of need for revised plan. 3. LPDP & List of 18th County 3 0  Beneficiary validation of Beneficiaries October, Government Revised LPDP and List of validation 2016 of Nyeri beneficiaries. KISIP Nyeri 1 0  Cut off declared as 18th KISIP 3 5 October 201611 34 Nairobi Community 24 21 Members Total 31 26 4. ARAP Meeting th 7 March, County 3 0  This recapped the ARAP 2018 Government process and discussed the of Nyeri draft ARAP report before approval. ARAP implementation process and National 1 0 Grievances redress Land mechanism discussed. Commission  Verification of the PAP Community 20 21 register. Members Total 24 21  Cut-off date recapped. 5 GRC sensitisation/ th 18 KISIP 0 2  GRC sensitisation and Strengthening, RAP, December strengthening Planning and Survey 2018 County 1 0  Cut-off date recapped. Issues resolution Government  Recap of resolutions on of Nyeri community re-allocation/sub division of land. National 1 0  Recap of voluntary Government movement by some PAPs before ARAP completion Community 13 18 Total 15 20 Asset inventory was conducted in the community on 15th May, 2017 during the census of the PAPs. During this exercise, PAPs and the SEC were present to confirm individual boundaries for PAPs and inventory of the affected assets. This was verified by the structure owners on 7th March 2018. The following were the community concerns during the ARAP sensitization meeting Table 5-2 Community Concerns in the ARAP process Issue Response PAPs inquired if the The PAPs were informed that the rate that was adopted facilitation will be adequate to for valuation did not cater for depreciation. The build a new structure structures would be compensated at full replacement cost. PAPs were concerned about PAPs were informed that there would no facilitation for compensation for loss of land loss of land since the land in the settlement was public land. PAPs asked if they could start The PAPs were informed that any movement within the moving to their surveyed plots settlement was informal and that once the ARAP is disclosed, PAPs would be given 30 days to move. 35 The project resulted in total re-planning to provide for road wayleaves in the settlement, which the community agreed to (see minutes in annex 2). However, the community was informed that loss of land will not be compensated since the land is public land. In addition, the County Government of Nyeri assured them that once their tenure was secured, the community would be able to undertake development of the titled plots 36 CHAPTER SIX PROJECT IMPACTS 6.1 Introduction According to the Resettlement Policy Framework Project Affected Person(s) (PAPs) are persons affected by planning and survey (tenure regularization). These person(s) are affected because they may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. Here PAPs in Miiri informal settlement are the persons affected by the planning and surveying of their settlement resulting in partial or complete loss of their dwelling units and other structures. There was no loss of land in Miiri informal settlement since the land in the settlement is public land and the project is focused on tenure regularization. The settlement does not have any tenants as PAPs and no community structures and infrastructure were affected. However, 47 structure owners owning 100 structures were affected in the settlement. 6.2 Positive Impacts of the Project Given the trends in urbanization and slum populations, slum upgrading interventions may be an important component of the development process. However, investing resources in slum upgrading projects should ideally be based on clear evidence of which specific interventions should be given priority because they are more effective. The following are some of the gains the beneficiaries in Miiri informal settlement are going to experience from the planning and surveying of their settlement: 6.2.1 Secure land tenure The main objective of this assignment is to address the longstanding issue, i.e. insecure land tenure in this informal settlement. Secure land tenure is seen as an important means of improving the standard of living of those living in the informal settlement. With secure land tenure, those living in the informal settlement can make long – term investment commitment in the land. Miiri informal settlement has a long history having been established in the 1960s, as one of the colonial villages. Therefore, the original inhabitants of the land have occupied it for over 50 years. Despite the long duration, the Government has not been able to formally alienate the land to the settlers despite the presence of an approved plan prepared in 2002. Therefore, the ongoing planning and surveying of this informal settlement is seen as a major milestone as it will lead to issuance of title deeds, to the relief of the inhabitants. With secure land tenure, it is possible to expect increased interest in the development of the land by the land owners as well as County and National Governments. 37 6.2.2 Women empowerment in relation to land rights In relation to the security of tenure, women empowerment in relation to land rights is a key impact of the project. The project lays emphasis on joint titling for spouses as a means to safeguard women rights to owning land as well as allow for changes to the Title beneficiary list before final printing of the titles. This has ensured more women than men were registered as beneficiaries i.e. 31 female to 23 male beneficiaries12 6.2.3 Improved infrastructure Although the informal settlement fronts a major road, lack of basic infrastructure (such as roads and drainage) within is a major concern. Accessibility in the informal settlement is a major challenge as roads are narrow and poorly developed. Some of the roads proposed in the approved 2000 plan are non-existent on the ground as the plan was never implemented, others encroached into. Some of these roads wayleaves were adopted in the New approved LPDP prepared under KISIP leading to PAPs, and whom have been provided for within this ARAP. While it is recognized that this is an informal settlement, roads that guarantee accessibility must be provided for as a measure of planning for future growth of the settlement. A settlement with good road network is attractive for investment and living. Furthermore, while this is a rural settlement, but it is expected to gradually change to urban land use function given its location in the peri – urban areas of Karatina town. The LPDP has provided for 8m, 6m and 5m roads to improve accessibility within the settlement (See figure 2.3.) The residents’ access water from different sources, i.e. municipal water supply by Nyeri Water & Sewerage Company, springs, etc. There is need to improve access to safe drinking water in the informal settlement, which will be possible once this LPDP is approved, and the settlement is surveyed and title deeds issued. For instance, new road wayleaves will provide space for laying of water pipes by Mathira Water and Sanitation Company. 6.2.4 Improved Housing Currently, the housing structures in the settlement are predominantly of poor quality and temporary - made of wood, rusted Iron sheets and stones. These conditions may be attributed to insecurity of tenure in the settlement. Past projects in the country on improved land tenure have resulted in improved housing, and other investments on land. With the 12 Additional gender and land rights sensitization will be carried out as detailed in Chapter 2 of this ARAP. This might lead to more female beneficiaries. 38 tenure of the land secured, it is expected that the beneficiaries in Miiri informal settlement will invest in better housing for their families. 6.3 Negative impacts of the project 100 structures belonging to 47 PAPs were affected in Miiri informal settlement. Table 6-1 below shows how different genders were affected by the project. Table 6-1 Project impacts according to gender Category Number Distribution Male 24 52% Female 23 48% Total 47 100% 6.3.1 Reduced Plot Sizes Miiri informal settlement sits on public land; therefore, the beneficiaries did not experience loss of private land. However, the beneficiaries experienced minimal reduction of initial plot sizes to provide for road wayleave access to every plot- a prerequisite for a successful titling process. However, to minimise significant loss of plot sizes during the regularisation exercise, the following measures were adopted: a. A lower road hierarchy was adopted. In Miiri a road hierarchy of 8m, 6m and 5m was adopted in the plan instead of 15m and 12m roads. This ensured that the reduction of plot sizes in the affected plots is minimized. b. The settlement was totally re-planned and the land available was allocated equally among the beneficiaries. This ensured that any loss of land is distributed equally among the beneficiaries. The foregone alternative was to create access to the plots (without access) through other people’s land, meaning some beneficiaries would have lost a disproportionate huge segment of their parcels leaving land that would not be sufficient to rebuild affected structures. c. In lieu of minimal loss of plot sizes to provide for accessibility, tenure regularization will be realized and each beneficiary will be issued with a title deed. 6.3.2 Loss of Structures Loss of structures is the main type of loss identified, with majority structures affected are of temporal nature (wooden walls and earthen floors). The structures are used mainly as dwelling units by the owners and include main houses, kitchens and pit latrines as shown in table 6-2. The impact on all affected structures was total loss of the structures due to total 39 re-planning of the settlement. 64 structures were affected by new road wayleaves while 36 were affected by boundary re-alignment during the exercise. Table 6-2 Affected structures in Miiri Informal settlement Number Distribution of structures Type of structure House 62 62% Kitchen 17 17% Pit Latrine 8 8% Animal Shed 12 12% Store 1 1% Total 100 100% The construction materials of the houses, kitchens and pit latrines were analysed. The data shows that majority of the houses in Miiri informal settlement are made of galvanised iron roof, timber off cut walls and earth floor. This is indicative of poor living conditions. Figure 6-1 Illustration for distribution of construction materials for houses in Miiri Table 6-3 shows that typical kitchens in Miiri are constructed using galvanised iron sheet roofs, timber off cut walls and earthen floors. However, others are made of timber or galvanised iron sheet walls. Table 6-3 Construction materials for kitchens in Miiri Construction materials Number Distribution of the construction materials GCI roof timber off cut walls earth floor 13 76.4 GCI roof GCI wall earth floor 2 11.8 GCI roof timber wall earth floor 2 11.8 Total 17 100 Pit latrines in Miiri informal settlement are built using galvanised iron sheet roofs, timber off cut walls, and timber off cut floors although there was one with an earthen floor (table 6-4). 40 Table 6-4 Construction materials for pit latrines Construction materials Number Distribution of the construction materials GCI roof timber off cut walls timber off 7 87.5% cut floor GCI roof GCI wall earth 1 12.5% Total 8 100% 6.3.3 Increased vulnerability among the elderly, widows, and female household heads As part of the Socio-economic baseline survey, people considered to be disadvantaged as compared to rest of society were inventoried to ensure provision of soft landings in the compensation process. Elderly people,13 widows, widowers and female household heads without assets or investments and people to depend on suffer numerous vulnerabilities. Any impact will affect their economic viability. In total, 26 vulnerable PAPs were identified as shown in table 6-5 below. Table 6-5 Affected vulnerable persons in the settlement Type of vulnerability Men Women Elderly 3 0 Elderly, widowed and headed 0 5 household Household head 0 16 Widowed household head 0 2 Total 3 23 6.3.4 Summary of losses 24 male and 23 female PAPs in Miiri informal settlement suffered loss of their structures. The summary of types of PAPs is tabulated in table 6-6 below: Table 6-6 Categories of PAPs and Types of losses Type of PAP Structure owner Livelihood Vulnerability Structure owner PAPs 47 0 26 Tenants 0 0 0 13 This ARAP identifies the elderly as those PAPs that are older than 65 years. 41 Figure 6-1 Map Showing affected structures and reduction in plot sizes. 42 CHAPTER SEVEN SOCIO ECONOMIC STATUS/BASELINE 7.1 Socio-Economic Survey The ARAP Team conducted a household survey which included 100% census of the affected persons in May 2017. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons ii. Identify affected assets for each PAP iii. Register the affected population iv. Establish a list of legitimate beneficiaries before the project’s onset that counters spurious claims from those moving into the project area solely in anticipation of benefits v. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates vi. Provide a baseline for monitoring and evaluation of the resettlement interventions A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation and housing conditions. The census also documented housing conditions, health conditions economic activities. This information was used (i) to establish a list of PAPs; (ii) to establish a socio-economic profile of PAPs based on existing conditions; and, (iii) to provide a baseline for impact monitoring and evaluation. The standard questionnaire was also used collect inventory of losses information from PAPs about assets that are affected i.e. structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss. The information was provided by the PAP as required and validated by the team on the ground. The questionnaire was accompanied with photographs of the PAP and key affected assets in the event the structures were still on the ground. This was then signed by the PAP or a representative. During the census, requisite procedures were followed, including notifying people; collecting data, validating the collected data, approval and disclosing information on eligible PAPs and affected assets. In addition, the ARAP team ensured PAPs or their representatives were present during asset enumeration. The PAPs were required to sign the asset inventory collecting tool to show a confirmation that it’s the true copy of the information collected. 43 7.2 Socio-economic characteristics of PAPs Planning and surveying of Miiri informal settlement resulted in 47 structure owner PAPs. There were no tenants affected. The following section show the socio-economic characteristics of the PAPs. 7.2.1. Gender and Age Survey results show that structure ownership is near parity. Men own 52% of the affected structures while women own 48%. The average age of the PAPs is 52 years. 7.2.2. Marital Status The marital status of PAPs in Miiri is presented in Figure 7-1. Survey data reveals that the married were the highest at 57%, with widowed PAPs being 16%. 20% were single and 6.5% were separated. Figure 9-1 Marital Status, Miiri Settlement Village 7.2.3. Education Literacy levels in Nyeri County are relatively high with an overall Gross Enrolment Ratio (GER) of 85.9%, which is above Kenya’s GER of 73.4% (Republic of Kenya, 2014). However, survey data reveals that a 9% of PAPs in Miiri have no formal education, with 64% having only primary education. Secondary and tertiary education was represented by 20% and 2% respectively (Figure 7-2). 44 Figure 9-2 Level of Education in Miiri Settlement Village 7.2.4. Income and Occupation Income poverty seems to be rampant in Miiri settlement scheme, given that a substantial number of PAPs (37%) earn less than KShs. 3,800 shillings per month. This explains the rampant poverty in Miiri settlement (Figure 7-3). Figure 9-3 Monthly Income, Miiri Settlement Village In Miiri settlement, 50% of the PAPs are causal laborers, with the unemployed constituting 16%. Casual laborers in most cases do not earn a decent wage, and therefore their livelihoods are riddled with inadequate access to basic services such as health, education and proper housing. 45 Figure 9-4 Occupation of PAPs, Miiri Village 7.2.5. Other household members’ characteristics The average age in Miiri informal settlement is 23. The occupation profile for the other household members showed that 8% were still in school. 45% were gainfully employed as casual labourers mainly outside the village. 19% were self-employed and 11% were unemployed (figure 7-5). Figure 9-5 Other Household members’ occupation 8% of the household members had attained a college/university education and 32% had primary education (figure 7-6). Figure 9-6 Other Household members’ education level 46 7.2.6. Diseases Prevalence The epidemiological profile of Miiri settlement village indicates that infectious diseases dominate the burden of disease (figure 7-7). A majority of the PAPs (88.6%) suffered from common cold, with 4.5% having suffered from malaria, 2.3% Typhoid, 6.8 % and 4.5% suffering from hypertension and diabetes. Figure 9-7 Diseases Suffered 7.2.7. Water Supply Surface water (river) is the main source of water for the settlement. There is an existing water supply pipeline laid by Mathira Water and Sanitation Company, which is not in use at the moment. The community indicated the pipeline is dry, most days in a month. The quality of water from the river is not guaranteed and there is need to ensure regular supply of piped water. Access to clean water is an important indicator for improved standard of living. The household survey indicates that the stream is the main source of water for the residence, which is estimated at over 80%. From the data collected, it is evident that the community in Miiri augments their stream source with rainwater harvesting. Most indicated that the cost of water is not prohibitive and there is willingness to pay for household piped water connection. 7.2.8. Sanitation The survey data revealed that 98% of PAPs in Miiri use latrines, while access to bathroom faculties is at 45%. Due to the small sizes of plots in the settlement, the pit latrines and bathrooms are very close to each other. Close location and distribution of pit latrines is an environmental and public health threat, especially pollution of air, surface and underground water. This means the settlement would best benefit from common ablution blocks under KISIP component 2 on infrastructure. 47 7.2.9. Energy Household electricity connection in Miiri is about 32%. The settlement is connected to the national grid and as soon as the land tenure issues are certain, 100% electricity connection can be achieved. PAPs stated that electricity cost is not prohibitive and expressed willingness to pay for the utility at ease. The majority of Miiri PAPs use firewood (93.2%) and charcoal (25%) for cooking (figure 7-8). This is due to the fact that the settlement is located in a rural area where the source of cooking energy is largely firewood. However, as the densification is enhanced after the certainty in land tenure system, a shift in the source of cooking energy may occur. Figure 9-8 Energy for cooking 7.2.1 Vulnerable groups According to OP 4.12 ad KISIP RPF, this study identified the elderly, widowed, and female headed households were also identified as vulnerable. 3 male PAPs and 23 female PAPs were identified as vulnerable in the settlement as presented in table 7-1. Table 7-1 Types of vulnerability, Miiri informal settlement Type of vulnerability Men Women Elderly 3 0 Elderly, widowed and 0 5 household head Household head 0 16 Widowed household head 0 2 Total 3 23 48 CHAPTER EIGHT MITIGATION OF IMPACTS 8.1 Introduction World Bank’s Safeguard Operational Policy O.P. 4.12 on ‘Involuntary Resettlement’ requires that displaced persons should be compensated at full replacement cost. Under this policy, affected persons should be:  Compensated at full replacement cost prior to the displacement;  Supported during the transition period; income restoration measures and support to vulnerable groups offered. 8.2 Eligibility Criteria The entitlement matrix defines the type of compensation and assistance to be provided to the different categories of project affected households. According to the RPF, the following principles should guide payment of compensation for lost assets:  Compensation shall be paid prior to displacement;  Compensation shall be extended to all PAPs irrespective of tenure status;  Compensation will be at replacement cost meaning that replacement of assets with an amount sufficient to cover full cost of lost assets and related transaction costs.  Compensation for structures shall include the full cost of materials and labour required for reconstructing a building of similar surface and standing. In other words, the affected person must be able to have their structure rebuilt in a different location using the compensation paid for the old building. Depreciation will not be taken into account while calculating the cost of affected structures.  PAPs will be offered livelihood restoration support, where the income sources are impacted. The affected persons, irrespective of their status, are eligible to assistance if the structures they occupy will be affected by Planning and Survey Intervention or engaged in any livelihood income-generating activity at the affected sites before the entitlement ‘cut-off date’ which has been taken as 18th October 2016. All persons affected by the project and meeting the cut-off date requirements will be entitled to a combination of facilitation packages and resettlement assistance depending on the nature of ownership rights on lost assets and scope of the impacts. As part of the Socio-economic baseline survey, vulnerable groups were inventoried to for additional assistance over and above the compensation for affected assets (if any). In this case, Miiri informal settlement recorded 26 PAPs as vulnerable. These group of vulnerable persons were identified for extra cushioning in the compensation process including 49 additional cash entitlements. Depending on the type of vulnerability, these groups will also through the County government of Nyeri Ministry of Gender, Social Services and Sports be recommended for additional assistance through other government of Kenya programmes. Such programmes will include the unconditional cash transfer programmes including the Inua Jamii 70 years and above cash transfer programme and the Older Persons Cash transfers (OPCT) programme. In addition, vulnerable PAPs will be accorded specific assistance or services in the ARAP implementation process e.g. assistance with reconstruction of structures (where such assistance is needed, and on a case by case. This will require the SEC in consultation with the PAP, to identify artisans to be involved in the reconstruction, and in collaboration with the RIC will provide oversight, supervision and quality control of the structures been constructed 8.3 Notification After compensation and the issuance of title deeds (which will be issued concurrently with compensation), the PAPs will be served with adequate notice of minimum 30 days to self- demolish salvage and rebuild affected structures within their new boundaries. All the stakeholders in the project will also be notified of the self-demolition notice through a community meeting. The County Government will be allowed to demolish any structures on the roads after expiry of the notice period. 8.4 Compensation Payment Protocols The RAP Implementation committee will verify the correctness of each PAP as stated in the register. KISIP RIC will carry out a sensitization (meeting to be held in the settlement) on opening of joint accounts and appropriate use of compensation funds for PAPs. Part of this sensitization will include discussions on the importance and need for disclosure of full facilitation payment to both spouses and the need for both to sign for the payments so as to ensure funds are utilized well. Explicitly and in partnership with the area chief who is the local law enforcement Government official especially on domestic matters, the RIC will undertake sensitization on Gender based violence in relation to the facilitation funds as well as Title Ownership and management. The Community will be sensitized against any form of gender related violence related to the implementation of the project and the GRM at settlement level will be key in intercepting, resolving and escalating to relevant authorities any form of GBV. KISIP will then allow PAPs to open individual and joint accounts with financial institutions of their choice. KISIP will confirm and verify the PAP and Asset registers and acquire more details on the PAPs, which will include their telephone numbers and their bank account numbers. 50 This ARAP also proposes that where possible, KISIP considers alternative mechanisms for remitting facilitation to the PAPs. Mobile money transfer may be adopted for small amounts Ksh. 20,000.00. In both cases (i.e. mobile money or other financial institutions), all transactional costs will be borne by the project. The PAP register and the PAP details will then be submitted to KISIP accounts office for processing of funds. The funds will be deposited directly to Bank accounts (or via Mpesa/mobile money accounts) provided by the PAPs. KISIP will follow up using phone calls to confirm to the PAPs (including those in joint ownership) that funds have been disbursed. Table 8-1 shows the entitlement matrix that was used to determine the compensation for the PAPs. Table 8-1 Entitlement Matrix NO TYPE OF PAP ENTITLEMENTS LOSS CATE GORY A. Loss of structures 1 Partial loss but Squatter  Cash compensation at replacement cost without depreciation residual viable  Repair costs equivalent to 25% of the compensation  Right to salvage material 2 Fully Squatter  Alternative accommodation where possible, or affected/part  Cash compensation at replacement cost without depreciation affected and  One-time shifting allowance of Ksh. 2500 where main dwelling remaining unit is fully affected. structure is non-  Housing allowance of 2500 for 2 months where main dwelling viable unit is fully affected.  Right to salvage materials.  Additional cash support of Ksh. 2500/month for the first three months as rental expenses for vulnerable PAPs main dwelling unit is fully affected. B. Support to vulnerable groups (Elderly, Widows and Female Headed Households)  Additional cash support of Ksh 2000/month for the first three months for all vulnerable  On a case by case basis, assistance in reconstruction of structures.  The names of the Elderly - through the County government of Nyeri Ministry of Gender, Social Services and Sports – will be forwarded for consideration for additional assistance to other programmes. These will include the unconditional cash transfer programmes such as the Inua Jamii 70 years and above cash transfer programme and the Older Persons Cash transfers (OPCT) programme. 51 CHAPTER NINE GRIEVANCE REDRESS MECHANISM 9.1 Overview Regardless of its scale, involuntary resettlement inevitably gives rise to grievances among the affected population over issues ranging from rates of compensation to eligibility criteria. It is important to address these grievances in a timely manner to facilitate the resettlement process and the implementation of the project. Grievance procedures may be invoked at any time, depending on the complaint and on the people involved. Grievances might be triggered due to the following reasons among others. a) Misidentification of assets or mistakes in valuing them; b) Dispute over the ownership of a given asset (two individuals claim to be the owners of this asset); c) Disagreement over the valuation of the asset; d) Successions, divorces, and other family issues, resulting in disputes between heirs and other family members, over ownership or ownership shares for a given asset Therefore, this ARAP has identified procedures to allow affected people to lodge a complaint or a claim without cost and with the assurance of a timely and satisfactory resolution of that complaint or claim in which case, dialogue is a vital element. The grievance redress mechanism is designed with the objective of solving disputes at the earliest possible time which will be in the interest of all parties concerned and therefore implicitly discourages referring such matters to the Courts which would otherwise take a considerably longer time. The grievance procedure will be simple, administered as far as possible at the local levels to facilitate access, flexible and open to various proofs. In addition, and in following the principles of simplicity and avoidance of parallel GRMs, the project has a singular grievance redress mechanism for tenure regularization as well as ARAP related grievances such as compensations. The grievance mechanism presented in the following sections of this ARAP will therefore include those related to issuance of titles, thus the representation by a surveyor and land administrator in the RAP Implementation Committee level. Grievance redress is anticipated at 3 levels namely: - (i) The first tier will allow for amicable review and settlement of the grievance at the settlement level (ii) The second tier will involve the RIC in case the grievance cannot be solved at the first level 52 (iii)The third tier will be the option of allowing the aggrieved party to seek redress at the court of law. Levels (i), and (ii) are costs free. The legal redress option however, may incur some costs for the parties involved. Expectations for each level are highlighted in below. 9.2 Grievance Redress Institutions/Structure 9.2.1 Settlement Grievance Redress Committee (SGRC) It is desirable to resolve all the grievances at the community level to the greatest extent possible. The community or settlement level grievance mechanism must be credible and generally acceptable. The grievance redress mechanism will aim to solve grievances at the earliest possible time in the interest of all parties concerned. The Settlement Grievance Redress Committee (SGRC) was established within the Project location on 18th December 2018, after sensitisation on the procedures of the GRM. Although the RPF indicates this should comprise of 2 SEC Members and other 2 respected community members elected by the Community (1 male and 1 female), the community preferred to have 4 members of the SEC designated as the GRC to avoid 2 parallel institutions given the 2 additional members are not members of the SEC. In the spirit of flexibility and need to contextualise such committees to existing context and given the SEC had been handling all grievances so far in the planning process, 4 members of the SEC were designated as the SGRC. The 4 are enjoined by the Location Chief who chairs the committee. 9.2.2 RAP Implementation Committee In case the grievance is not resolved at first tier, the SGRC handling resettlement-related grievances will be enjoined by the RAP Implementation Committee (RIC) of KISIP and one representative of County Administration (e.g. Assistant County Commissioner). The RIC is an implementation committee in KISIP according to the RPF which describes an elaborate composition for RIC comprising of the following members: From KISIP National PCT: a) Head of Component 1 b) Environmental and social safeguard specialist c) Community Development specialist d) 3 members from Component 2 – Surveyor, land administrator and valuer e) KISIP Finance Officer From the County 53 a) County KISIP Coordinator who will be the chairman b) Community Development Officer c) County Surveyor d) County Physical Planner e) County Environmental Officer f) Representative from enforcement department g) Town Administrator The members of parliament and members of the County Assembly (MCAs) may be co- opted as ex-officio members. Nyeri County - Office of the County KISIP Coordinator will provide the secretariat for the committee. 9.2.3 Legal Redress In situations where PAPs are not satisfied with the decision of Grievance Redress committee and KISIP representatives; and on complaints and grievances that specifically pertain to the valuation of affected assets, the PAPs may seek legal redress. 9.3 Procedure of Receiving and resolution of Complaints 9.3.1 Step 1: Receipt of complaint/grievance A verbal or written complaint from a PAP or community member will be received by the Grievance Officer (GO) on behalf of the SGRC (refer to Box 9-1 for the roles of the GO). This will take the form of annex 5. 54 Box 9.1: Role of a Grievance Officer The Grievance Officer (GO), is the secretary of the GRC. Principal responsibilities of the GO include: a) Recording the grievances, both written and oral, of the affected people, categorising and prioritising them for handling within the specified time period. He will sort the grievances as those:  That need clarifications etc.  To be handled by SGRC  To be forwarded to RIC/KISIP Headquarters directly e.g. complains on compensation amounts and problems related to issued titles. In the case of titles, the GO will be sensitized on the supporting documents to collect from the complainant e.g. a copy of the title, national ID, nature of issue. Upon recording, the GO will inform the SGRC on the received grievance. b) Discussing grievances on a regular basis with the SGRC and coming up with decisions/actions regarding issues that can be resolved at that level. c) Reporting to the aggrieved parties about developments regarding their grievances and the decisions of the SGRC and RIC. d) Providing inputs into the monitoring and evaluation process. The grievance team will hold meetings at site level based on grievances received by the GO. The GO will record the grievance and progress into the grievance register (annex 6). The grievance register will indicate grievances, date opened/lodged, actions taken to address or reasons why the grievance was not acted upon (e.g. the grievance was not related to the resettlement process), information provided to complainant and date on which the grievance was closed. Grievances can be lodged at any time directly to the GO based at the settlement level. The process of lodging complaint is outlined below: (i) The GO will receive a complaint from the complainant. (ii) The GO will ask the claimant questions in their local language, write the answers in English and enter them in English onto the grievance form. (iii)The local leader (representative of an independent local civil society organisation) and the complainant both sign the grievance form after they have both confirmed the accuracy of the grievance. (iv) The GO lodges the complaint in the grievance register. 9.3.2 Step 2: Determination of Corrective Action If in their judgment, the grievance can be solved at this stage and the GO and SGRC will determine a corrective action in consultation with the aggrieved person. A description of 55 the action, the time frame within which the action is to take place, and the party charged with implementing the action will be recorded in the grievance register. Grievances will be resolved and the status reported back to complainants within 14 days. If more time is required, this will be clearly communicated in writing and in advance to the aggrieved person. In cases that are resolvable within the stipulated time, site investigations will be undertaken and results discussed with the affected persons. In some instances, it may be appropriate to appoint independent third parties to undertake the investigations. 9.3.3 Step 3: Meeting with the complainant The corrective action and the time frame in which it is to be implemented will be discussed with the complainant within 14 days of receipt of the grievance. Acceptance of the agreement and corrective action will be documented, with the complainant appending the signature. If no agreement is reached Step 2 will be revisited. 9.3.4 Step 4: Implementation of Corrective Action Agreed corrective actions will be undertaken by the party agreed by SGRC within the agreed time frame. The date of the completed action will be recorded in the grievance register. 9.3.5 Step 5: Verification of corrective action To verify satisfaction, the aggrieved person will be approached by the GO and SGRC to verify that the corrective action has been implemented. A signature of the complainant will be obtained and recorded in the grievance register (see Step 3). If the complainant is not satisfied with the outcome of the corrective action, additional steps may be undertaken to reach agreement between the parties. If additional corrective action is not possible, the matter is escalated to the RIC. 9.3.6 Step 6: Action by RIC If the complainant remains dissatisfied and a satisfactory resolution cannot be reached, the complaint will be handled by the RIC, whose membership has already been discussed under earlier sections of this report. This committee however must have a quorum of at least five persons. Decisions will be reached by simple majority. The Grievance Committee should be constituted for as long as grievances are being lodged, and a register (annex 6) kept to track progress on the resolution of grievances Once the RIC has determined its approach to the lodged grievance, this will be communicated to the GO, who will communicate this to the complainant. If satisfied, the complainant signs to acknowledge that the issue has been resolved satisfactorily. The 56 RIC has 14 days to resolve the grievance. If the complainant is not satisfied, however, the complainant notes the outstanding issues, which may be re-lodged with the Grievance Committee or the complainant may proceed with judicial proceedings. 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission In case this mechanism will not lead to resolution of the grievance, the complaint is free to seek redress at the courts of law at any given time. 9.4 Terms of Reference for the Grievance Redress Mechanism Committee The Terms of Reference for the Grievance Redress Mechanism Committees will be as follows:  Address all forms of grievances relating to the implementation of this ARAP expeditiously and impartially.  To consult with all the relevant parties involved in the disputes in the process of seeking solutions, and further to seek technical advice where necessary to reach a verdict  Document the grievance handling process from the time a complaint is received to the final determination. To this end, the committee shall maintain a grievance register, minutes of all meetings held to address grievances, and correspondences  To notify the concerned parties promptly once a verdict has been reached, and the next steps. The grievance redress form (annex 5) includes components like name of the recorder; definition of the grievance, information about the complainant and the details of grievance. 9.5 Effectiveness of the Grievance Redress Mechanism The following measures will ensure the effectiveness of the Grievance Redress Mechanism:  The SGRC and the RIC will be trained on their roles and the process flow before the start of ARAP implementation.14 Training of the SGRC and RIC is to be undertaken by the KISIP social safeguards team, and where necessary with support from the World Bank.  Necessary technical and financial support will be extended to the SGRC to enable them function effectively,15 14 Part of this sensitisation and strengthening was carried out in December 2018. Refer to the implementation schedule/table 10.3 for timelines for more sensitization. 15 Refer to the implementation schedule/table 10.3 for timelines. 57  The SGRC and the RIC will make monthly reports on the progress in addressing grievances e.g. grievances received and handled,  The committees will maintain records such as: grievance registers, minutes of meetings, and correspondences, for reference and inspection.  The community will be sensitised by the RIC about the GRM through community level meetings.16 Culturally appropriate information and explanation about the GRM will be included in planned community sensitization meetings. 9.6 Capacity-Building for the Grievance Officer and Grievance Committees It will be important for the GO to be appointed based on his/her experience and training in conflict resolution through mediation and reconciliation. It will also be important for the GO to have sufficient skills in mediating disputes involving parcels of land, ownership shares, and data management, including data entry, data analysis and storage. This notwithstanding, it will be important that steps are taken to orient and build the capacity of the GO as part of the project implementation team in conflict resolution procedures, such as mediation and reconciliation, and other management areas such as record- keeping, report-writing and ICT equipment management. The Grievance Committee members will also need to be oriented to the grievance management system suggested in the ARAP as adopted from the RPF. The capacities of the Grievance Committee members will also need to be built around issues of conflict identification, conflict information analysis and conflict resolution as provided for in the land legislation. Figure 9-1 gives a presentation of the grievance redress mechanism. 16 Part of this sensitisation was carried out in December 2018. Refer to the implementation schedule/table 10.3 for timelines for more sensitization. 58 Level 1 Registration of the grievance with GO and resolution by SGRC (14 days) Level 2 Forward findings Complainant and YES satisfied with NO recommendation outcome s to RIC Grievance Final closure YES Complainant processing satisfied with by outcome RIC (14days) NO Level 3 Complainant seeks legal redress Figure 9-1 Grievance address procedure 59 CHAPTER TEN INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS 10.1 Introduction KISIP is the primary implementing actor for this ARAP. This ARAP will be implemented within a period of not more than 60 days upon approval from the World Bank. During implementation, KISIP will ensure all PAPs are adequately facilitated according to the provisions of this ARAP concurrent with issuance of Title Deeds to all beneficiaries (including the PAPs). The implementation tasks will be carried out by ARAP Implementation Committee (RIC) for Nyeri County whose composition is outlined in this ARAP. Government Institutions and their responsibilities in implementation of this ARAP are outlined in the table 10-1 below: Table 10-1 National and County Government (ARAP) Implementing Institutions No. Institution Role Capacity 1. Ministry of  It houses the KISIP project and The Ministry has the Transport, provides for policy direction. capacity for Infrastructure, implementation of this Housing and Urban ARAP Development The Ministry has the capacity for infrastructure improvement in the planned settlements 2. Ministry of Lands  It handles land tenure matters and The Ministry has experts and Physical issues titles in the necessary key areas: Planning land management, land administration and physical planning 3. Ministry of Finance  Financial management on behalf of the Capacity exists and funds Borrower (GoK) will be made available.  Provision of counterpart funding – part of which is used to settle compensation claims by PAPs 4. National Land  Custodian of all public land on behalf The commission has the Commission of the county governments. capacity to this mandate  It is responsible for allocation public land 5. Nyeri County  Clearance of structures if people The County has experts in Government don’t self-demolish after notice both social and period and compensation environmental safeguards.  Part of grievance redress mechanism  Recommendation of vulnerable PAPs for additional assistance to relevant actors. 60  Delivery of other assistance to PAPs will be the responsibility of county governments under the coordination of respective RICs e.g. allocation of trading space as this is a devolved function.  Responsibility for appropriate and suitable measures to prevent further encroachments after the cut-off date.  Clearance of structures if people don’t self-demolish after notice period and compensation  Part of grievance redress mechanism In addition to the above governmental institutions, several structures have been established to ensure effective implementation of this ARAP: 10.2 ARAP Implementing Institutions under KISIP 10.2.1 KISIP Project Coordination Team The overall coordination of the whole process, from development to implementation and monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit has the following roles: i. Overall supervision and coordination of the entire process from conception to implementation ii. Ensure compliance is adhered to in as far as all legal, policy and quality control is concerned including compliance with agreed implementation procedures and guidelines iii. Ensure fair play and adherence to law and timely facilitation/compensation to PAPs. iv. Bid and procure the required consultants for different assignment in the implementation of the ARAP. v. Provide necessary support and capacity building to other engaged institutions in local level. vi. Prepare Progress Reports on the implementation of the environmental and social safeguards. vii. Supervise ESMF/RPF implementation during and after project implementation. viii. Ensure integration of EMPs and ARAPs into Contract and Bid Documents. ix. Ensure adequate community participation. The KISIP PCT has a safeguards team that is responsible for ensuring that project meets its obligations under the ESMF and RPF. 61 10.2.2 KISIP RAP Implementation Committee (RIC) A RAP implementation Committee, appointed by the Project Coordinator will have the overall responsibility of monitoring and evaluation of the resettlement process. While the RPF proposes an elaborate composition for RIC, for the relevance of this ARAP related to planning and survey, and for efficiency and effectiveness purposes, the following are the recommended members: From KISIP National PCT: a. Head of Component 1 b. Environmental and social safeguard specialist c. Community Development specialist d. 3 members from Component 2 – Surveyor, land administrator and valuer e. KISIP Finance Officer From the County a. County KISIP Coordinator who will be the chairman b. Community Development Officer c. County Surveyor d. A representative from enforcement department e. Town Administrator The members of parliament and members of the County Assembly (MCAs) may be co- opted as ex-officio members. Nyeri County - Office of the County KISIP Coordinator will provide the secretariat for the committee. The committee works with the Project Affected Persons for each settlement. The committees’ roles are as presented below. (i) The RAP implementation committee shall ensure the list of all PAPs has been verified and documented in the PAP register. The register shall have, among other parameters, (1) the name of the person, (2) type of loss (structure / Livelihood) (3) identification number of the PAP, (3) Compensation Amount (3) Bank Details or Mpesa details of the PAP. (ii) The RAP implementation committee will verify the identity of each PAP as stated in the register and ascertain that every identity card holder is correctly documented in the register. (iii)RAP implementation committee will support KISIP in carrying out sensitization about opening of joint accounts and appropriate use of compensation funds for households. RIC will support PAPs in opening individual and joint accounts with financial institutions of their choice. RIC will support KISIP in following up on PAPs to ensure they have received their compensation. In addition, in partnership 62 with the area chief, the RIC will undertake sensitization on GBV as indicated under commitments under section 12.2. (iv) The RIC will undertake translation of the executive summary in a local language and engage the SEC in translation role during disclosure of the ARAP meeting at the settlement level. (v) On completion of the PAP Audit list, the committee shall recommend payment and compensation. Payments will be made according to locations and adequate information will be made available to all affected persons prior to payment. Such information will include: dates and locations of payment, List of eligible people and amount Mode of payment, etc. 10.2.3 County KISIP Team For effective implementation of the Project, Counties have established County KISIP Teams whose composition is a replica of the national team. The county team was crucial in development of this study and they will also be important during implementation the ARAP prior to commencement of civil works. The role of the County KISIP Team includes: i. Validation of assets and PAPs before compensation ii. Formation of the grievance redress committee iii. Capacity building of ARAPs committee iv. Sensitization of PAPs on bank accounts and use of compensation funds v. Monitoring of ARAP activities 10.2.4 Community Settlement Executive Committee (SEC) This was instrumental in mobilizing the community and providing a link between KISIP, the Consultants, and the community. The Committee has been involved in all stages of ARAP development and is expected to continue playing an active role in monitoring its implementation. The settlement executive committee role is crucial in the ARAP process: • It provides an entry point into the informal settlement • It is the crucial link between the community and other institutions • Plays an important role in the formulation of the community resettlement committee and other engagement structures. • Will play a crucial role in assisting the vulnerable households organise for rebuilding of structures, and movement, where such assistance is required. 10.2.5 The Settlement Grievance Redress Committee This will be formed to address all grievances related to the development and implementation of this ARAP. 63 KISIP Project Coordination Team Overall coordination Overall responsibility of ARAP implementation Ensure budget for implementation is available RAP Implementation Committee Monitoring and Coordination of resettlement process Grievance redress Nyeri County KISIP County Government of Team Nyeri Validation of Assets Ensure sustainability of the Handling grievances project ARAP implementation The Settlement Grievance Redress Committee First tier of grievance redress Figure 10-1 ARAP Implementing Institutions 10.3 Sensitization and Information Sharing during ARAP implementation Given that various types of sensitization and information sharing will be undertaken by KISIP, Figure 10.2 below summarizes the sensitization and information to be shared. Overall, KISIP through the PCT will ensure coordination with the various stakeholders in ensuring the right type of information is given, and in a timely basis. 64 What Why Areas Whom How - Avert Disputes/conflicts and GBV - Benefits of Title Deed - Chief Registrar of Titles - All Community G Titles Sensitization - Enhance/safeguard Women’s - Types of Registrations - KISIP beneficiaries meetings E Land Rights - Joint Registration of Titles - NLC - Spouses with N - Regulation of land transactions - Land Control Board Joint D (mandatory spousal consent) Ownership - Relevant land related institutions E - Allow PAPs to self-demolish, - Entitlements - RIC PAPS Community Notification & R salvage and rebuild affected - PAP register - County Government of meetings structures in time - Notice for self-demolish and implications Nyeri (CGN) Disclosure - Ensure PAPs use compensation of failure to do so within time - Area Chief for right purpose C - Ensure grievances are directed - Unilateral Grievance Redress Mechanism RIC PAPS Community Sensitization on O towards the right institutions for for ARAP implementation meetings GRM N timely resolution - Procedures and processes in GRM C - Avert conflicts and GBV over - Full disclosure of facilitation payment to - RIC PAPS - Community E compensation both spouses - CGN meetings Compensation & R - Ensure PAPs use funds for right - Opening of Joint Accounts - Area Chief - Individuals/ Joint Accounts N purpose - Utilization of funds, GBV - SGRC Spouses meetings Sensitisation S Guiding Principles Proactive Engagement Clear and Open Information Sharing Learning & Modifying performance Overall Coordination by KISIP PCT Figure 10-2 ARAP Stakeholder Engagement Strategy 65 10.4 ARAP implementation Schedule The implementation schedule (table 10-3) for this ARAP covers the period from the preparation of the ARAP to the conclusion of the envisaged projects in Miiri informal settlement. It should be noted that the procedure in the schedule starting from notification of the PAPs through compensation will be done in phases to synchronize with the various phases of the project. The ARAP Implementation Schedule defines the duration and timing of the key milestones and tasks. The major component tasks for the schedule include:  Disclosure of ARAP – Meetings will be organized at settlement level and coordinated by the KISIP RAP Implementation Committee, during which a summary of the main findings and recommendations, entitlements, and PAP register will be presented to the community. This includes ensuring a translated version of the Executive summary is availed at the settlement. In addition, and in line with past practice (during planning and survey, ARAP meeting), the RIC in collaboration with the SEC will ensure that disclosure meetings are held in a language understandable to all PAPs.17 Stakeholders in this process will include the county government, the National Land Commission who have been part of the planning process, among other relevant stakeholders. In addition, the ARAP will be made available on the Ministry of Transport, Infrastructure, Housing and Urban Development website and the World Bank’s Info shop. Copies of the report will also be made available to the SEC, Grievance Committees, and the County offices.  Audit of PAP register and compensation package due to each PAP. This can also include negotiation on the facilitation packages.  Resolution of emerging grievances  Notification and sensitisation of PAPs prior to the commencement of the activities that will affect them. Facilitation  Commencement of project operations including issuing of titles  Monitoring and evaluation, including baseline update 17 Meetings have so far been held in Swahili, while translations are made to the local language i.e. Kikuyu given the settlement is homogenous in terms of language spoken. 66 Table 10-2 ARAP Implementation schedule Period in Months Sl. No. TASK NAME Actor Implementation to begin within 60 days of Approval of ARAP 1 2 3 4 5 6 7 8 9 1. Approval of ARAP World Bank Sensitization on Title Registration (including Gender KISIP, Chief Registrar 2. Empowerment and avoidance of GBV on land ownership) 3. Disclosure of Updated ARAP RIC Formation and capacity building of Grievance KISIP, RIC, Beneficiaries 4. management committees 5. Validation of asset valuation/values RIC, Area Chief Sensitisation of Community on Grievance Redress RIC, Area Chief, SGRC 6. Mechanism 7. Grievance Redress County KISIP, RIC, PAPs, GRC Sensitization of PAPs on bank accounts and use of RIC, Area Chief, SGRC compensation funds including joint spousal 8. management of cash, GBV on use of facilitation Funds as well as titles 9. Payment of compensation18 KISIP, RIC 10. Issuance of notice for self-demolition RIC, Nyeri County 11. Issuance of titles19 Ministry of Lands 12. Self-Demolition PAPs, SEC 18 Indicated as a continuous process to allow for resolution of grievances on compensation/amounts if any arises. 19 Indicated as a continuous process to allow for resolution of grievances on titling if any arises. 67 Period in Months Sl. No. TASK NAME Actor Implementation to begin within 60 days of Approval of ARAP 1 2 3 4 5 6 7 8 9 Demolition of any structures that have not been Nyeri County 13. demolished at the expiry of the notice period KISIP 14. Monitoring activities MoTIH&UD 68 CHAPTER ELEVEN MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP 11.1 Monitoring and Evaluation Monitoring and Evaluation (M&E) procedures establish the effectiveness of all resettlement activities, in addition to the measures designed to mitigate adverse social impacts. The procedures include internal track-keeping efforts as well as independent external monitoring. The purpose of resettlement monitoring for the Project is to verify that: (i) Actions and commitments described in the ARAP are implemented; (ii) Eligible project-affected persons receive their full compensation prior to displacement/any impact; (iii) All Grievances are resolved in time by the GRM. (iv)All beneficiaries (including PAPs) are issued with title deeds. Monitoring and evaluation activities will be funded through budget item No. 6 while the primary responsibility for monitoring and evaluation will be under KISIP through its National Environmental and Social Safeguards Team under the guidance of PCT. The team includes: i. 3 social safeguards experts, ii. A community development officer (who also doubles as the main person in charge of GRM), iii. 1 Environmental Safeguards expert iv. 1 social safeguards expert who also doubles as the coordinator for the team, v. 1 M&E officer, vi. 1 valuer, and vii. An overall component head. The team is often backed by desk officers from the planning component where 1 desk officer is attached to this settlement (and other planning and survey officers e.g. surveyor, land administrator, planner etc. as and when needed). At county level activities, these are joined by relevant officers from Nyeri County including the community development officer. All members of the above team are responsible for monitoring on gender concerns as these are cross cutting issues e.g. the GRM officer reports on resolution of grievances disaggregated by gender, safeguards officers ensure that all community meetings and mobilisation covers both genders. However, the M&E officer acts as the final focal person in compilation of all reports. 69 11.2 Monitoring and Evaluation Framework 11.2.1 ARAP Monitoring Plan The ARAP Monitoring Plan and Framework is presented in table 11-1 below. It involves: (i) Internal monitoring by MoTIH&UD (ii) Impact monitoring commissioned to specialized firms; and (iii) ARAP Completion Audit Table 11-1 RAP Monitoring Plan Component Type of Source of Responsibility Frequency/ Activity Information/ Information/ for Data Audience of Data Collected Data collection Collection, Reporting Methods Analysis and Reporting Performance Measurement of Monthly or quarterly MoTIH&UD Semi-annual/annual Monitoring input indicators narrative status and Project as required by the against proposed financial reports Implementation Proponent time-table and Team (MoTIH&UD) budget. Impact Tracking Quarterly or semi- Project Annual or more Monitoring effectiveness of annual quantitative resettlement unit frequently as inputs against and qualitative or contracted required by the baseline indicators surveys external Proponent monitoring (MoTIH&D) Assessment of PAP Regular public agency satisfaction with meetings and other inputs consultation with people affected by the project; review of grievance mechanism outputs Completion Measurement of External Contracted On completion of Audit outcome indicators assessment/sign-off external auditing the ARAP time such as productivity report based on and evaluation table gains, livelihood performance and agency restoration, and impact monitoring developmental reports, independent impact against surveys and baseline consultation with affected persons 70 11.2.2 ARAP Monitoring Framework ARAP Monitoring framework provides for the below listed provisions; (i) Internal ARAP Implementation Reports will be verified by a field check of the following: - Payment of compensation including its levels and timing - Adequacy of sensitization/capacity building and other developmental inputs - Rehabilitation of vulnerable Persons - Transition allowances - Gender Concerns (ii) Random samples of affected people will be interviewed in open-ended discussions to assess their knowledge and concerns regarding the resettlement process, their entitlements and rehabilitation measures. (iii) Public Consultations with affected people at the community level will be observed. (iv)The resettlement operation at all levels will be observed to assess its effectiveness and compliance with the ARAP. (v) The type of grievance issues and the functioning of grievance redress mechanisms will be checked by reviewing the processing of appeals at all levels and interviewing aggrieved affected people. (vi)The standards of living of the affected people after implementation of resettlement will be surveyed to assess whether the standards of living of the affected people have improved or been maintained. (vii) Project management will be advised regarding necessary improvements in the implementation of the ARAP, if any. The Table 11-2 below shows a selection of Internal/External Monitoring Indicators that will be checked during Internal Performance Monitoring by MoTIH&UD or during the external evaluation. To avoid conflict of interest, the external evaluation will be undertaken by an external evaluation agency. 71 Table 11-2 Internal Monitoring Indicators Activity/Parameters Indicators Compensation and  Number of PAPs promptly paid disaggregated by gender Livelihood restoration  Number and amounts of payments made to PAPs  Number of PAPs with restored assets disaggregated by type of structure  Number of PAPS with restored livelihood enterprises  Number of restored structures disaggregated by type, building/construction material, asset use/purpose and standard  Average income level by source  Employment status of household head  Use of compensation cash  Number of people/groups with improved livelihoods  Development of settlement triggered by land tenure process  Changes in land values and plot ownership Access to services  Number of PAPs with access to water services disaggregated by type of water source  Number of PAPs with access to sanitation services disaggregated by type of water source  Number, type of educational establishments and proximity to PAPs  Number, type of religious establishments and proximity to PAPs  Number, type of health facilities establishments and proximity to PAPs Vulnerability  Status of “vulnerable” homesteads  Structures constructed to PAPs through Additional Assistance Community  Number of local consultative meetings held participation and  Type of issues raised at public consultation meetings public engagement  Number of participants attending public consultation meetings disaggregated by gender Training and Capacity  Number of trainings held disaggregated by target group/institutions Building and issues  Number and type of participants disaggregated by gender  Themes discussed in various trainings  Perception of PAPs on usefulness and timing of these issues discussed Gender Concerns  Number of women with land ownership disaggregated by type (e.g. sole owners, joint owners)  Participation of women in trainings  Number of women involved/consulted by spouses on use of compensation cash 72 Grievance management  Number of grievances received  Number of grievances resolved promptly (within the duration allowed in the grievance redress mechanism)  Number of grievances not resolved in time but completed  Number of outstanding grievances not resolved  Average timelines for resolution of grievances disaggregated by the various levels of grievance redress mechanism/institutions  Number of grievances referred to Level 3 (Courts of Law)  Number of complaints referred to World Bank Awareness and Access  Type of information disclosed to PAPs during each meeting to Information  Accessibility of the ARAP document at the local level  Accessibility of the ARAP document on the Ministry’s website and the Bank’s Info shop  Awareness on ARAP/Entitlement information  Number of people seeking information on project impact and compensation Process Management  Formation of proposed institutions or better alternatives  Census and asset verification/quantification procedures in place  Effectiveness of compensation delivery system by KISIP  Efficiency of compensation delivery system by KISIP  Co-ordination between KISIP national, KISIP County, County Government and the community The indicators presented above will be revised and appropriate Terms of Reference (ToR) established for the external monitoring consultant. Evaluation will be done against the existing baseline information identified in the ARAP and indicators identified in table above. Therefore, monitoring (and evaluation) will be undertaken regularly during implementation and post implementation for the purposes of compiling the Project Completion Report. The report will include an evaluation that ascertains whether resettlement compensation goals and objectives were realised. 11.3 Resettlement Completion Audit The purpose of the Completion Audit is to verify that the resettlement process has complied with resettlement commitments defined by the ARAP. Reference documents for the Completion Audit are the following: (i) This ARAP Report, (ii) Kenyan policies and legal statutes as defined in section 4 of this Report 73 The Completion Audit will have the following specific objectives: (i) General assessment of the implementation of the ARAP against the objectives and methods set forth in the ARAP, (ii) Assessment of compliance of implementation with laws, regulations and safeguard policies; (iii) Assessment of the fairness, adequacy and promptness of the compensation and resettlement procedures as implemented; (iv)Evaluation of the impact of the compensation and resettlement program on livelihood restoration, measured through incomes and standards of living, with an emphasis on the “no worse-off if not better-off” requirement; and (v) Identification of potential corrective actions necessary to mitigate the negative impacts of the program, if any, and to enhance its positive impacts. The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People. 74 CHAPTER TWELVE CONCLUSION AND WAY FORWARD 12.1 Conclusion The subject of this ARAP Report is for mitigating impacts from the planning and surveying of Miiri informal settlement that will result to tenure regularisation and issuance of Title Deeds. This ARAP has been prepared consistent with the applicable policy provisions of Kenyan Government and the provisions of the World Bank's Safeguard Policy on Involuntary Resettlement (OP 4.12). It presents an inventory (register) of PAPs, an Asset register of affected assets and the entitled compensation package. The preparation of this ARAP was community led and all affected persons have been adequately consulted and informed of the content of this ARAP there the implementation of this ARAP is expected to be embraced and owned and by the community. The objective of this ARAP was to identify and quantify all losses from impact on assets and livelihoods as a result of the implementation of the approved LPDP and provide adequate mitigation measures in conformity with the World Bank OP 4.12, the Government of Kenya policies and laws and KISIP RPF. This objective was met by the ARAP by ensuring all affected persons have been entitled to adequate compensation for their losses, Vulnerable PAPs receive additional assistance, Women land rights are safeguarded, implementation institutions are constituted and made aware of their roles, an implementation budget and schedule is provided and a monitoring and evaluation framework is in place. This will pave way for issuance of title deeds to beneficiaries ultimately achieving Component 2 Objective. 12.2 Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this ARAP including the budget for compensation and timelines as per the implementation schedule.  KISIP will ensure all Grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP.  KISIP through the NLC will within 3 months of approval of this ARAP begin issuance of title deeds to beneficiaries and PAPs, concurrently with compensation. 75  KISIP and the area chief will undertake community sensitization to caution the community against any form of Gender based Violence related to issuance of title deeds and land management as well as the use of compensation funds by spouses. The Settlement GRC will be key to prevent and resolve any cases of GBV.  KISIP PCT will organize and carry out Title registration sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence.  KISIP will work with the County Government of Nyeri in ensuring the sustainability of the project. The County will be part of the RIC in implementing this ARAP, part of the grievance resolution mechanism, provide additional assistance where necessary to vulnerable PAPs in rebuilding their structures through the SEC, undertake development control, Clearance of structures on road way leaves after the expiry of self-demolition period as well as protecting the road reserves from future encroachment by beneficiaries and/or any other actors.  KISIP will issue a minimum of one-month notice after compensation is issued to PAPs to enable them salvage their assets.  KISIP will undertake Monitoring and Evaluation of this ARAP during and after implementation as indicated in Section 11.0. 76 REFERENCES 1. KISIP Resettlement Policy Framework 2. Republic of Kenya (2010): The Constitution of Kenya, 2010 3. Republic of Kenya (2009) Sessional Paper No. 3 of 2009 on National Land Policy. 4. Republic of Kenya (2011): Environment and Land Court Act, 2011 5. Republic of Kenya (2012): The Land Act, 2012 6. Government of Kenya (2012). The Valuers Act, Chapter 532. 7. Republic of Kenya (2012): The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 8. World Bank. Operational Policy OP. 4.12 updated 2001 – Involuntary Resettlement 77 ANNEXES ANNEX 1: PAPS AND ASSET REGISTER PLOT OWNER DEVELOPMENT TYPE OF LOSS CONSTRUCTION VULNERABILITY NO. TYPE SUPPORT Residential house All are cases of total Roof: GCI sheets Elderly, widowed female 1. 29 Agnes loss walls: Timber off cut household head Nyawira Ngari floor: Earth Roof: GCI sheets Residential house walls: Timber off cut floor: Earth 2. 6 Alice Patricia Residential house roof: GCI sheets Female household head Wambui walls: Timber off cut Maina floor: Earth roof: GCI sheets Residential house 2 walls: Timber off cut floor: Earth walls: Timber off cut floor: Earth Kitchen roof: GCI sheets 3. 8 Alice Wanja Residential house walls: Timber off cut Female household head Wachira floor: Earth roof: GCI sheets walls: Timber off cut Cattle shed floor: Earth 78 roof: GCI sheets roof: GCI sheets walls: Timber off cut Chicken house floor: Earth roof: GCI sheets Walls: Timber off cut Pit latrine Floor: Timber off cut Residential house Roof: GCI sheets Elderly, widowed female 4. 28 Beatrice walls: Timber off cut household head Wamuyu floor: Earth Ruheni Residential house Roof: GCI sheets walls: Timber off cut floor: Earth House Roof: GCI sheets None 5. 15 Brian Mugo wall: Timber offcuts Wamaitha Floor: earth Residential house Roof: GCI sheets Female household head 6. 20 Caroline wall: Timber Mumbi floor: Earth Gichero Chicken shed Roof: GCI sheets wall: Timber offcuts floor: Suspended timber off cut Goat pen GCI roof 79 Timber wall Floor: Suspended timber off cut Kitchen Roof: GCI sheets Wall: GCI floor: Earth 7. 2 Catherine House Roof: GCI sheets Female household head Njeri Walls: Timber off cut Gathungu Floor: Earth Kitchen Roof: GCI sheets walls: Timber off cut floor: Earth Residential house Roof: GCI sheets Elderly 8. 40 David Maina walls: Timber off cut Murage floor: Earth Residential house 2 Roof: GCI sheets walls: Timber off cut floor: Earth Residential house 3 Roof: GCI sheets walls: Timber off cut floor: Earth Pit latrine Roof: GCI sheets walls: Timber off cut floor: Timber off cut 80 Residential house Roof: GCI sheets None 9. 23 Elijah Wamai wall: Timber Ngari floor: Earth Residential house roof: GCI sheets None 10. 46 Ephraim Walls: Timber off cut Mahinda Floor: Earth Kiragu Pit latrine roof: GCI sheets Walls: Timber off cut Floor: Timber off cut Kitchen roof: GCI sheets Walls: Timber off cut Floor: earth 11. 4 Evan Githiri Residential house roof: GCI sheets Widowed female household Macharia walls: Timber off cut head floor : Earth 12. 25 Francis Ngari Residential house Roof: GCI sheets Elderly Warui & wall: Timber Catherine floor: Earth Residential house Njoki Kiragu Roof: GCI sheets wall: Timber floor: Earth Kitchen Roof: GCI sheets wall: Timber floor: Earth 81 House Roof: GCI sheets None 13. 13 Geoffrey wall: Timber offcuts Murage Maina Floor: earth Roof: GCI sheets Kitchen wall: Timber offcuts Floor: earth Chicken house Roof: GCI sheets wall: Timber offcuts Floor: earth Residential house Roof: GCI sheets Female household head 14. 32 Hannah Phelis walls: Timber off cut Wambui floor: Earth Wanjohi Kitchen Roof: GCI sheets walls: Timber off cut floor: Earth Roof: GCI sheets Goat shed walls: Timber off cut floor: Suspended timber off cut Residential house Roof: GCI sheets Female household head 15. 33 Irene Mwihaki walls: GCI Kinyua floor : earth Residential house Roof: GCI sheets Elderly, widowed female 16. 37 Jacqueline walls: Timber off cut household head Wangari floor: Earth Murage 82 Roof: GCI sheets Kitchen walls: GCI floor: timber off cut Goat pen Roof: GCI sheets walls: Timber floor: Suspended timber off cut 17. 10 James Maina Main house Roof: GCI sheets None Mwangi wall: Timber offcuts Floor: earth Pit latrine Roof: GCI sheets wall: Timber offcuts floor :Timber off cut 18. 16 Jane Wamuyu Residential house Roof: GCI sheets None Maina and wall: Timber offcuts Ephraim Floor: earth Mbuthia Cera 19. 7 John Kagusu Main house walls: Timber off cut None Kariithi floor: Earth roof: GCI sheets walls: Timber off cut Kitchen floor: Earth roof: GCI sheets Residential house Roof: GCI sheets None 20. 35 John Miano walls: Timber off cut Njogu floor: Earth 83 Roof: GCI sheets Kitchen walls: Timber off cut floor: Earth Residential house Roof: GCI sheets walls: Timber off cut floor: Earth Kitchen Roof: GCI sheets Elderly 21. 44 Joseph walls: Timber off cut Mathenge floor: Earth Kiragu Roof: GCI sheets Residential house walls: Timber off cut floor: Earth roof: GCI sheets Store walls: Timber off cut floor: Timber off cut (raised) roof: GCI sheets walls: Timber off cut Goat pen floor: Timber off cut (raised) Roof: GCI sheets Pit latrine walls: Timber off cut floor: Timber off cut 84 Roof: Open to the sky Cattle shed walls: Timber off cut floor :Earth Residential house GCI roof None 22. 43 Joseph Timber off cut walls Wachira Earth floor Ngaru Residential house Roof: GCI sheets None 23. 21 Joseph wall: Timber Waweru floor: Earth Wambui Residential house Roof: GCI sheets Female household head 24. 30 Joyce Wambui walls: Timber off cut Wachira floor: Earth Residential house Roof: GCI sheets None 25. 39 Julius Ngari walls: Timber off cut Maina floor : Earth Residential house Roof: GCI sheets Female household head 26. 17 Lucy wall: Timber offcuts Wachuka Kinyua Floor: earth Kitchen Roof: GCI sheets wall: Timber offcuts floor: Earth Roof: GCI sheets Pit latrine wall: Timber offcuts Floor: Timber off cut floor 27. 12 Lucy Wanjiku Residential House Roof: GCI sheets Female household head 85 Githuku & wall: Timber offcuts Elizabeth Floor: earth Muthoni Githuku Roof: GCI sheets Residential House wall: Timber offcuts Floor: earth Residential house roof: GCI sheets Female household head 28. 45 Margret Walls: Timber off cut Wanjugu Floor: Earth Maina Kitchen roof: GCI sheets Walls: Timber off cut Floor: Earth roof: GCI sheets Goat pen Walls: Timber off cut Floor: Timber off cut (raised) 29. 19 Martin Residential house Roof: GCI sheets None Mwangi Njeri wall: Timber offcuts Martin Irungu floor: Earth Muthoni Chicken house Roof: GCI sheets wall: Timber offcuts floor: Raised timber off cut Residential house Roof: GCI sheets None 30. 36 Mary Njoki walls: Timber off cut Munyiri & floor: Earth Joseph Maina Goat pen Roof: GCI sheets 86 Kanyora walls: Timber floor: Suspended timber off cut Cow shed Roof: GCI sheets walls: Timber off cut floor: Earth 31. 11 Millicent House Roof: GCI sheets Female household head Nyawira wall: Timber offcuts Wanjohi Floor: earth Teresa Roof: GCI sheets Gathigia House wall: Timber offcuts Gatimu Floor: earth Main house Roof: GCI sheets Widowed female household 32. 42 Muchangi walls: Timber off cut head Ngaru Ngure floor: Earth Roof: GCI sheets Kitchen walls: Timber off cut floor: Earth Ngatia Murage Residential house Roof: GCI sheets None 33. 34 walls: Timber off cut floor: Earth Roof: GCI sheets Kitchen walls: Timber off cut floor: Earth 87 Residential house Roof: GCI sheets None 34. 38 Nicholas walls: Timber off cut Julius Muriithi floor: Earth Kunyua Goat shed Raised GCI roof on wooden poles Kitchen Roof: GCI sheets walls: Timber off cut floor: Earth Pit latrine Roof: GCI sheets walls: GCI floor: timber off cut Residential house Roof: GCI sheets Elderly, widowed female 35. 26 Peris Wairimu Wall: mud household head Ruigi Floor: Earth Residential house Roof: GCI sheets Female household head 36. 27 Peris Wanjiku walls: Timber off cut Wambugu floor: Earth Roof: GCI sheets Residential house walls: Timber off cut floor: Earth Kitchen Roof: GCI sheets walls: Timber off cut floor: Earth 88 37. 9 Peter Residential house roof: GCI sheets None Gachomba walls: Timber off cut Kariithi & floor: Earth Mary Muthoni Mwatha House roof: GCI sheets walls: Timber off cut floor: Earth Residential house Roof: GCI sheets None 38. 31 Peter Murimi walls: Timber off cut Mwangi floor: Earth Residential house Roof: GCI sheets walls: Timber off cut floor: Earth Roof: GCI sheets Kitchen walls: Timber off cut floor: Earth 39. 5 Robert Maina Residential house roof: GCI sheets None Mugo walls: Timber off cut floor: Earth Residential house roof: GCI sheets None 40. 47 Robert Walls: Timber off cut Wachira Floor: earth Muraguri Residential house Roof: GCI sheets Female household head 41. 18 Rose Njeri wall: Timber offcuts Kihara floor: Earth Sicily Wambui Residential house Roof: GCI sheets Widowed female household 42. 22 wall: Timber head 89 Kanja floor: Earth Residential house Roof: GCI sheets wall: Timber floor: Earth Residential house Roof: GCI sheets wall: Timber floor: Earth Kitchen Roof: GCI sheets wall: Timber floor : Earth 43. 1 Tabitha Residential house Roof: GCI sheets Widowed female household Muthoni Walls: Timber off cut head Murimi Floor: Earth 44. 3 Tabitha Residential house roof: GCI sheets Elderly, widowed female Wameru walls: Timber off cut headed household Mwangi floor: Earth Kitchen roof: GCI sheets walls: Timber off cut floor: Earth Pit latrine roof: GCI sheets walls: Timber off cut floor: Timber off cut Residential house Roof: GCI sheets Female headed household 45. 41 Teresa walls: Timber off cut Nyawira floor: Earth Maina Kitchen Roof: GCI sheets walls: Timber off cut 90 floor: Earth Roof: GCI sheets Chicken pen walls: Timber off cut floor: timber off cut (Suspended) Residential house Roof: GCI sheets None 46. 24 Wanjohi wall: Timber Murage floor: Earth Wanjohi Main house GCI roof Elderly 47. 14 William Mugo Cement screed floor Muriithi Roof: GCI sheets Pit latrine wall: Timber offcuts Floor: Timber off cut 91 ANNEX 2: MINUTES OF STAKEHOLDERS’ CONSULTATION 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 ANNEX 3: SOCIO-ECONOMIC QUESTIONNAIRE KENYA INFORMAL SETTLEMENTS IMPROVEMENT PROJECT (KISIP) FOMU YA KUHESABU WAKAAZI WA VIBANDA INFORMAL SETTLEMENT ENUMERATION FORM Date: Serial No: Enu. No: County: Nyeri – NYR Settlement: Villages ZoneID ParceID Structure ID RoomID A Enumeration details Mwenye kujibu (Respondent): 3 Jina la kwanza (First Name): 4 Jina la kati (Middle Name): 5 Jina la mwisho (Last Name): 6 Nambari ya kitambulisho (ID card No): 7 Nambari ya Kodi (Pin No.) 8 1. Mwenye ploti (Plot Owner(s)) 2. Mwenye Nyumba (Structure owner(s)) 125 3. Mpangaji (Tenant/ Occupier(s)) 9. Mwingine (Other) 8 (If 9 please explain) Parcel owner’s/ owner occupier’s/ Tenant’s general details B (Structure Owner/  Shirika 1 Mtu (Person) occupier): (Organisation) 2 (Photo number): 3 (First Name/Org. 4 Name): (Middle Name): 5 (Last Name): 6 (Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth (Registration)): 8 (ID No (Registration No) 9 (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) (If 9 please explain) 10 (Marital status): 1. Hajaoa/Hajaolewa(Single) 2. Ameolewa (Married) 3. Wameachana (Separated) 4. Mjane (Widowed) 11 (Any disablity?) 1. Ndio (Yes) 2. La (No) 9.If yes, please specify 12 (Educational 1. Chuo/Chuo Kikuu (College/University) level) 2. Shule ya upili (Secondary) 3. Shule ya msingi (Primary) 4. Shule ya gumbaru (Adult Education) 5. Asiye na elimu (None) 9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Occupation)  1. Mwajiriwa wa Serikali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A) 126  9. Kazi nyingine(Other) 14 Place of work)  1. Katika kijiji hiki (In this village)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of  1. Gari la kibinafsi (Private car) transport used to  2. Matatu/ Basi (Bus/ Matatu) work)  3. Pikipiki (Motor cycle)  4. Baiskeli (Bicycle)  5. Kwa miguu ( On foot)  6. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly household income) 17 (Which mode of  1. Barua (Letters) communication do  2. Simu (Land line telephone) you use?)  3. Simu ya jamii (Pay phone)  4. Simu ya rununu (Mobile phone) 5. Furushi (Parcels) 6. Barua Pepe (E-Mail) 7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you most often seek 1. Hospitali ya raia (Public hospital) medical treatment when sick?) 2. Hospitali ya kibinafsi (Private hospital) 3. Hospitali ya kidini/Shirika lisilo la sirikali (Mission / NGO hospital) 4. Mganga wa mitishamba (Traditional Healer) 5. Duka la Dawa(Chemist) 6. Duka la Kawaida (Shop) 7. Kuombewa / (Spiritual Healer) 19 (Name of the medical facility) 20 (Where is this medical facility  1. Katika kijiji hiki (In this village) located?)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 21 (What would you like to be considered during the upgrading process in order of priority?)  Usalama (Security)  Afya (Health)  Elimu (Education)  Maji (Water)  Umeme/Stima (Electricity)  Barabara (Roads)  Nyumba (Housing)  Ajira (Employment) 127  Usafi wa mazingira (Sanitation)  Takataka (Solid waste management)  Mambo mengine (Other issues) Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua ( Diseases suffered in the last 4 Months ) miezi 4 iliyopita  1. Malaria 6. Amoeba / Typhoid  2. TB 7. Hypertention  3. Diarrhoea 8. Diabetes 4. Pneumonia 9. Magonjwa mengine (Other ailments) 5. Common cold (If 9 please explain) Additional details for owners 23 (Mode of  1. Kujikatia (Self Acquired) Acquisition):  2. Kupewa na Serikali (Allocation)  3. Kumiliki (Inherited)  4. Kununua (Purchased)  9. Njia Nyingine (Other Mode) 24 (Ownership  1. Cheti cha kumiliki ardhi (Title deed) proof):  2. Cheti cha muda (Temporary Occupancy License)  3. Hakuna waraka (No document)  9. Waraka mwingine (Other document) 25 (Number of plot owners) 26 (If joint ownership indicate your share) 27 (Owner’s  1. Katika kijiji hiki (In this village) residence if not  2. Katika Mtaa huu(Inside this settlement) within this structure):  3. Nje ya Mtaa huu (Outside this settlement) 28 (If you don’t  1. Yes 2. No reside within the village, are you  renting?): For Information on additional Owners See Appendices B1……………… Additional details for Occupiers 29 (Your share of the rent) 128 30 (Where did you live before 1. Katika kijiji hiki (In this settlement) you came here?) 2. Katika Mtaa moja jijini (In a formal residential area in the town) 3. Nje ya jiji hii (Outside this town) 4. N/A 31 (Why did you move here?) 1. Sababu za kinyumbani (Domestic reasons) 2. Sababu za uchumi (Economic reasons) 3. Ukosefu wa Shamba (Landlessness) 4. Kuhamishwa (Eviction) 5. Mapigano (Skirmishes) 6. N/A 9. Sababu nyingine (Other reason) 32 (How many years have you lived in this village?) C Household unit details 1 (Structure/Room use): Makao(Residential): Viwanda (Industrial) Elimu (Educational) Kuburudika (Recreational) 301. Michezo (Sports/Gym)  302. Muziki (Music)  303. Nyumba la michezo (Theatre)  304. Nyumba la disko/Nyumba ya vinywaji (Disco/Night club)  399. burudani nyingine (Other Recreational) Ikiwa 399 (burundani nyingine), tafadhali ueleze (If 9 please explain) Commercial (Biashara) Uchukuzi (Transport) Ukulima(Urban Agriculture) Lengo la uma: (Public purpose) Utoshelevu wa Uma (Public Utility 2 Vifaa vya ujenzi vinavyotumika (Building materials used) (Walls)  Mawe (Stone)  Mabati (Ironsheets)  Mbao (Wooden) 129  Udongo na simiti (Cemented earthwall)  Udongo (Earth)  Karatasi (Polythene/ Carton) 3 Sakafu (Floor):  1. Saruji (Cement)  2. Udongo (Earth)  9. Nyingine(Other) Ikiwa 9 tafadhali eleza (If 9 explain) 4 (Roof) Vigae (Tiles) Mabati (Iron sheets) Mbao (Wooden) Nyasi (Grass thatched) Kifaa Kingine (Other) Ikiwa 9 (Kifaa kingine), tafadhali ueleze (If 9 please explain) 5 House size Urefu (Length Upana (Width): ):  6 (Rental Agreement): 1. Mapatano ya kupangisha (Written Agreement) 2. Mapatano ya kuongea (Verbal Agreement) 7 (Monthly rent for the room): 8 (What is the main 0. Hakuna maji (No water) source of water?): 1. Maji ya mfereji (Piped water) 2. Kisima kisicho kirefu (Shallow well) 3. Maji ya mvua (Rain water) 4. Mto (River/stream) 9. Njia nyingine ya kupata maji (Other water source) Ikiwa 9 (Njia nyingine ya kupata maji), tafadhali ueleze (If 9 9 (Average cost of water per day): please explain) 10 (Do you have access to a  0. Hakuna Bafu (No bathroom) bathroom?):  1. Bafu (Bathroom in the structure)  2. Bafu (Bathroom outside the structure) 11 (Which type of toilet facilities do  0. Hakuna Choo/Bafu (No toilet/bathroom) you have access to?):  1. Choo cha shimo (Latrine)  2. Choo malumu (VIP)  3. Choo cha maji (WC/Sewer)  4. Tenki ya kinyesi (Septic Tank)  5. Kinyesi kwenye plastiki (Flying Toilet)  9. Choo kingine(Other) If 9 please explain 12 (Average cost of use of toilet facilities incurred daily): 13 (How do you utilize electricity?)  0. Hakuna umeme/stima (No Electricity)  1. Mwangaza (Lighting) 130  2. Kupika (Cooking)  9. Matumizi mengine (Other) Ikiwa 9 (Matumizi mengine), tafadhali ueleze (If 9 please explain) 14 (Average cost of use of electricity per month: 15 (Cooking energy)  1. Umeme/stima (Electricity)  2. Gesi (Gas)  3. Gesi ya kinyesi (Biogass)  4. Mafuta ya taa (Kerosene)  5. Makaa (Charcoal)  6. Kuni (Firewood)  7. Vumbi la makaa na udongo (Chaarcoal dust)  9. Nishati nyingine(Other) If 9 please explain 16 (Where do you dispose your solid 1. Mtoaji wa huduma ya kibinafsi (Private service provider) waste?): 2. Huduma ya serikali ya Kaonti (County Government 3. Mahali maalum pa takataka (Dump site) 4. Pipa la takataka (Bin) 5. Barabarani (Road) 6. Mtoni (River) 7. Nje ya nyumba (Outside the structure) 8. Mitaru ya maji machafu (Open waste water drainage) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 17 (Number of persons living in this household unit) 18. Household Census PERSON 18.1 18.2 18.3 18.4 18.5 18.6 NO. NAME RELATIONSHIP NATIVE STATUS GENDER AGE TO PERSON 1 GROUP Person 1 is the Names of the 1.Spouse 1. Native 1. Owner 1. Male Age last Head of the people who (husband/wife) 2. 2. Tenant 2. Female birthday household usually live at 2.Partner Migrant 3. Heir this 3. Father 3. Other 4. Joint address 4. Mother Heir Or 5. Sister Regards this 6. Brother address as their 7. Daughter “Usual Place of 8. Son Residence 9. Cousin 10.Not related Add S for step relative e.g. S8 for Step Son 1 131 19 Parcel Details (for Percel Owners) 19.1 Kipimo cha Ploti (Size of Parcel) 19.2 Idadi ya wenye ploti (Number of Owners): 19.3 Idadi ya vyumba kwenye ploti (Number of structures): 19.4 Huduma zilizo kwenye Ploti? (Services available): 1. Choo (Toilet) 2. Bafu (Bathroom) 3. Stima (Electricity) 4. Maji (Water) 19.5 (Access to this Parcel 1. Njia ya miguu (Foot path) 2. Barabara ya gari (Motorable road) 3. Hakuna Njia (No / Blocked Access) 19.6 Dominant use of this parcel 20 Structure Details Structure No. 20.1 Idadi ya Vyumba katika (Number of rooms in Nyumba hii the structure) 20.2 Idadi ya wenye nyumba hii (No of structure owners) 20.3 Ulijenga nyumba hii mwaka Gani? (Year of construction) 20.4 Ukuta (Walls) 1. Mawe (Stone) 2. Mabati (Ironsheets) 3. Mbao (Wooden) 4. Udongo (Earth) 5. Karatasi (Polythen/Carton) 20.5 1. Vigae (Tites) Paa 2. Mabati (Ironsheets) (Roof): 3. Mbao (Wooden) 4. Nyasi (Grass) 9. (Other) 20.6 (if 9 please explain) 20.7 Size Urefu (Length) Upana (Kipimo) (Width) 20.8 Matumizi ya Nyumba Structure Use D Business details 1 (Trade License No): 2 (Company 3 Registration No): (Company/trading 4 name): Type) (Business  501. Supamaketi (Supermarket)  502. Duka la jumla (Wholesale shop) 132  503. Duka la rejareja (Retail shop)  504. Duka la vifaa (Hardware)  505. Pumpu ya petroli/ mafuta ya taa (Petrol/Kerosene pump )  506. Viwanda vya nguo (Textiles)  507. Mitumba (Secondhand clothes)  508. Duka la nyama (Butchery)  509. Kibanda cha vyakula (Food kiosk)  510. Duka la mboga (Green grocer)  511. Mwuzaji makaa (Charcoal dealer)  512. Seremala (Carpenter)  513. Fundi wa baiskeli (Bicycle repair)  514. Fundi wa viatu (Shoe cobbler)  515. Ushonaji (Tailoring)  516. Kinyozi/Mahali pa kutengeneza nywele (Hair salon)  517. Ukumbi wa filamu/Maktaba ya video (Video show/Video library)  518. Baa (Bar)  519. Vifaa kuukuu (Secondhand goods)  520. (Battery charging)  521. (Telephone bureau)  521 Motorcycle transport  599. Biashara nyingine (Other commercial) Ikiwa 599 (Biashara nyingine), tafadhali ueleze (If 599 please explain) 5 (Monthly Income): 6 (Source of raw material) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 2. Nje ya Mtaa huu (Outside this settlement) 7 (Problems encountered) 8 (How do you transport your 1. Lori (Lorry) raw material/products?) 2. Gari la kibinafsi (Private car) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 6. Mchukuzi (Porters) 7. Wilibaro (Wheelbarrow) 8. Pikipiki (Motorcycle) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 9 (Where do you sell your products?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 10 (Where do your customers come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 133 11 (Number of workers including yourself): 12 (Where do you live?)  1. Katika kijiji hiki (In this village)  2. Katika Mtaa huu(Inside this settlement)  3. Nje ya Mtaa huu(Outside this settlement) E Industry details 1 (Trade License No): 2 (Company Registration No): 3 (Company): 4 (Industry Type): 101. Uchomeleaji (Welding) 102. Mhunzi(Blacksmith) 103. Kinu cha kusagia unga (Posho mill) 104. Utengenezaji wa pombe (Brewing) 199. Kiwanda kingine (Other) Ikiwa 199 (Kiwanda kingine), tafadhali ueleze (If 199 please explain) 5 (Monthly Industry Income ) 6 (Source of raw material) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 7 (Problems encountered) 8 (How do you transport your raw 1. Lori (Lorry) material/products?) 2. Gari la kibinafsi (Private car) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 6. Mchukuzi (Porters) 7. Wilibaro (Wheelbarrow) 8. PikiPiki (Motorcycle) 9. Nyingine (Other) (If 9 please explain) 9 (Where do you sell your products?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 2. Nje ya Mtaa huu (Outside this settlement) 10 (Where do your customers come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 134 11 (Number of workers including yourself): 12 (Where do you live?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) F School details 1 Nambari ya shule (School ID No): 2 (School Ownership Class): 1. Shule ya raia (Public School) 2. Shule ya kibinafsi (Private School) 3. Shule ya watu wa Mtaa (Communal School) 4. Shule ya Misheni (Mission School) 3 (Name of school): 4 (School Type) 201. Shule ya watoto wadogo (Nursery school) 202. Shule ya msingi (Primary school) 203. Shule ya upili (Secondary school) 204. Shule ya ufundi kijini (Village Polytechnic) 205. Shule ya gumbaru (Adult Education School) 206. Shule ya walemavu (School for disabled) 207. Shule ya viziwi (School for deaf) 208. Shule ya vipofu (School for blind) 209. Shule ya wenye akili punguani (School for mentally disabled) 299. Elimu nyingine (Other Education) (If 299 please explain) 5 (Problems encountered) 6 (Number of students): 7 (Where do your students come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) G Public Utility/ Purpose 1 (Facility ID No): 2 (Ownership): 1. Uma (Public) 2. Kibinafsi (Private) 3. Watu wa Mtaa (Communal) 3. Misheni (Mission) 135 3 (Name of facility): 4 (Type of facility?): 1. Ofisi ya Maji (water office) 2. Kituo cha Umeme (Power station) 3.Sewerage treatment plant 4.Kituo cha kidini (Religious institution) 5. Makaburi (Cemetry) 6. Ofisi ya rais (Administration office(s)) 7. Kituo cha polisi (Police post) 8. Pipa la taka (Dumping site 9.Aina nyingine ya lengo la uma/utoshelevu wa uma (Other Public purpose/utility Service) Ikiwa 9 (Aina nyingine ya lengo la uma/utoshelevu wa uma), tafadhali ueleze (If 9 please explain) 5 (Number of clients per day) 6 (Where do your clients come 1. Katika kijiji hiki (In this village) from?) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 7 (No of employees) 8 (Problems encountered) H Health facility details 1 Nambari ya kituo cha afya: (Health facility ID No): 2 (Ownership): 1. Uma (Public) 2. Kibinafsi (Private) 3. Watu wa Mtaa (Communal) 3. Misheni (Mission) 3 (Name of facility): 4 (What services do you offer?): 1. Mgonjwa asiyelazwa hospitalini (Out- patient) 2. Mgonjwa alazwaye hospitalini (In- patient) 3. Duka la dawa (Pharmacy) 4. Maabara(Laboratory) 9. Huduma nyingine ya afya (Other Health Service) Ikiwa 9 (Huduma nyingine ya afya), 5 (Average number of patients per day) tafadhali ueleze (If 9 please explain) 6 (Number of beds) 7 (Rate of bed occupancy) 8 (What are the common ailments?): 136  1. Malaria 7. Amoeba / Typhoid  2. TB 8. Hypertention  3. Diarrhoea 10. Diabetes  4. Pneumonia 11. Eye Infections  5. STD 12. Soft Tissue Injuries  6. Common cold 9. Magonjwa mengine (Other ailments) (If 9 please explain) 9 (Where do your patients come from?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 10 (No of Medical personnel) 4. Mkunga (Midwife) 5. Muuguzi (Nurse) 9. Waajiriwa wengine wa afya (Other medical personnel) Ikiwa 9 (Waajiriwa wengine wa afya), 11 (Where are referrals made to?) tafadhali ueleze (If 9 please explain) 12 (Problems encountered) I Urban Agriculture 1 ParcelID / StructureID / RoomID : 2 (Type of agriculture): 1. (Ukuzaji wa mimea) Crop farming 2. Ufugaji wa Mifugo (Livestock ) 3.Ufugaji wa Ndege (Poultry) 9.Kilimo kingine (Other type of (If 9 please explain) agriculture) 3 (How many animals)? 4 (State your farm produce per day/month/year)  5 (Use of produce?) 1. Matumizi ya kinyumbani (Domestic Use) 2. Matumizi ya Biashara (Commercial Use) 9. (Other Use), if 9. Please Explain below B1 Owner Details 1 (Owner): Mtu (Person)  Shirika (Organisation) 2 (Photo number): 3 (First Name/Org. 4 Name): (Middle Name): 137 5 (Last Name): 6 (If Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth) : 8 (ID No /Registration 9 No ) (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) If 9 please explain 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married)  3. Wameachana (Separated)  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest educational  1. Chuo/Chuo kikuu (College/University) level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main occupation)  1. Mwajiriwa wa Serkali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (place of work)  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of transport  1. Gari la kibinafsi (Private car) mainly used to work)  2. Gari la moshi (Train)  3. Matatu/ Basi (Bus/ Matatu)  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle)  6. Kwa miguu ( On foot)  7. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total monthly income) 17 (Which mode of 1. Barua (Letters) 138 communication do 2. Simu (Land line telephone) you mainly use?) 3. Simu ya jamii (Pay phone) 4. Simu ya rununu (Mobile phone) 5. Furushi (Parcels) 6. Barua Pepe(E-mail) 7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you  1. Hospitali ya raia (Public hospital) mainly seek medical  2. Hospitali ya kibinafsi (Private hospital) treatment when sick?)  3. Hospitali ya kidini (Mission / NGO hospital)  4. Mganga wa mitishamba (Traditional)  5. Najitibu kwa kununua dawa kwa Duka la Dawa(Chemist)  6. Najitibu kwa kununua dawa kwa Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Jina la mahali pa (Name of the medical matibabu) facility) 20  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 21 What would you like to be considered during the upgrading process (in order of priority)?(Show order with 1 being the one highly prioritized) Usalama (Security)  Barabara (Roads) Afya (Health)  Nyumba (Housing) Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Kiwanda (Industry) Kitengo cha ardhi kwa matumizi ya uma Mambo mengine (Other issues) (Public Utility Space) mambo mengine, tafadhali taja (If any other please state)  22 Magojwa ambayo umeugua miezi 4 ( Diseases suffered in the last 4 Months ) iliyopita  1. Malaria (Malaria) 5. Common cold (Homa)  2. TB (Kifua Kikuu) 6. Amoeba / Typhoid (Amoeba/Homa ya matumbo)  3. Diarrhoea 7. Hypertension (Kupanda kwa mishipa ya damu)  (Kuhara) 4. Pneumonia 8. Diabetes (Ugonjwa wa sukari) 9. Magonjwa mengine (Other ailments) Ikiwa 9 (Magonjwa mengine), tafadhali ueleze (If 9 please explain) Ownership and Mode of Acquisition 23  1. Kujikatia (Self Acquired)  2. Kupewa na Serikali kuu/serikali ya mtaa (Allocation)  3. Kuridhi (Inherited)  4. Kununua (Purchased) 5. Kupewa na rafiki/gift (Token/Gift from a friend) 139  9. Njia Nyingine (Other Mode) 24 (Do you have any 1. Cheti cha kumiliki ardhi (Title deed) document for proof of 2. Cheti cha muda (Temporary Occupancy License/Allotment letter) Ownership) 3. Hakuna waraka (No document) 9. Waraka mwingine (Other document) 25 (How many people own this piece of land) 26 (If joint ownership what is your share) 27 (Owner’s residence if  1. Katika Mtaa huu (Inside this settlement) not on this structure):  2.. Nje ya Mtaa huu (Outside this settlement) 28 (If you don’t reside  1. Yes within the settlement, are you renting?):  2. No B2 Co -Tenants / Additional Household Members 1 (Occupier): Mtu (Person)  Shirika (Organisation) 2 (Photo number): 3 (First Name/Org. 4 Name): (Middle Name): 5 (Last Name): 6 (If Gender):  1. Mume (Male) 3. Not Applicable (N/A)  2. Mke (Female) 7 (Year of birth ): 8 (ID No.): 9 (Nationality):  1. Raia wa Kenya (Kenyan Citizen)  2. Mkimbizi (Refugee)  9. Raia wa nchi nyingine (Other Nationality) Ikiwa 9 (Raia wa nchi nyingine), tafadhali ueleze (If 9 please explain) 33. Uhusiano na mpangaji (Relationship with tenant/household head ) 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married)  3. Wameachana (Separated)  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest educational  1. Chuo/Chuo kikuu (College/University) level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) 140 (Main occupation)  1. Mwajiriwa wa Serkali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (Place of work)  1. Katika Mtaa huu (Inside this settlement)  2. Nje ya Mtaa huu (Outside this settlement) 15 (Main mode of  1. Gari la kibinafsi (Private car) transport used to  2. Motorcycle work)  3. Matatu/ Basi (Bus/ Matatu)  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle)  6. Kwa miguu ( On foot)  7. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly income) 17 (Which mode of  1. Barua (Letters) communication do  2. Simu (Land line telephone) you mainly use?)  3. Simu ya jamii (Pay phone)  4. Simu ya rununu (Mobile phone)  5. Furushi (Parcels)  6. Barua Pepe(E-mail)  7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you mainly  1. Hospitali ya raia (Public hospital) seek medical  2. Hospitali ya kibinafsi (Private hospital) treatment when sick?)  3. Hospitali ya kidini (Mission / NGO hospital)  4. Mganga wa mitishamba (Traditional)  5. Duka la Dawa(Chemist)  6. Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Name of the medical facility) 20 (Where is this medical  1. Katika Mtaa huu (Inside this settlement) facility located?)  2.. Nje ya Mtaa huu (Outside this settlement) 21 What would you like to be considered during the upgrading process (in order of priority)? Usalama (Security)  Barabara (Roads) Afya (Health)  Nyumba (Housing) 141 Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Mambo mengine (Other issues)  Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua miezi 4 ( Diseases suffered in the last 4 Months ) iliyopita  1. Malaria  5. Common cold  2. TB  6. Amoeba / Typhoid  3. Diarrhoea  7. Hypertension  4. Pneumonia  8. Diabetes 9. Magonjwa mengine (Other ailments) (If 9 please explain) 29 (Your share of the rent) 30 (Where did you  1. Katika Mtaa huu (Inside this settlement) live before you  2.. Nje ya Mtaa huu (Outside this settlement) came here?)  3. N/A 31 (Why did you  1. Sababu za kinyumbani (Domestic reasons) move here?)  2. Sababu za uchumi (Economic reasons)  3. Kuhamishwa (Eviction)  4. Mapigano (Skirmishes)  5. Landlessness  5. N/A  9. Sababu nyingine (Other reason) Ikiwa 9 (Sababu nyingine), tafadhali 32 eleza many explain) (How (If 9 please years have you lived in this settlement?) 142 ANNEX 4: ARAP QUESTIONNAIRE 143 ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM Grievance Form Grievance Number Copies to forward to: Name of the Recorder (Original)-Receiver Party Sub-County (Copy)-Responsible Party Date INFORMATION ABOUT GRIEVANCE Define The Grievance: Forms of Receive INFORMATION ABOUT THE COMPLAINANT Name-Surname □Phone Line Telephone Number □ Community/ Address Information Village Meetings Sub-County □ Mail Signature of □ Informal Complainant □ Other DETAILS OF GRIEVANCE 1. Access to 2. Damage to 3. Damage to 4. Decrease or 5. Traffic Land Infrastructure or Loss of Accident and Resources Community Assets Livelihood a) House a) Road/Railway a) Agriculture a) Injury a) Fishing b) Land b) Bridge/ b) Animal b) Damage to grounds c) Livestock Passageways husbandry property b) Lands d) Means of c)Power/Telephone c) Beekeeping c) Damage to c) Pasturelands livelihood Lines d) Small scale livestock d) House e) Other d) Water sources, trade d) Other e) Commercial canals e) Other site and water f) Other infrastructure for irrigation and animals e) Drinking water f) Sewerage System g) Other 6. Incidents 7. 8.Employment 9. Construction 10. Other Regarding Resettlement and Camp (Specify) 144 Expropriation Process Recruitment and Community and (Specify) (Specify) Relations Compensation a) Nuisance from (Specify) dust b) Nuisance from noise c) Vibrations due to explosions d) Misconduct of the project personal/worker e) Complaint follow up f) Other 145 ANNEX 6: SAMPLE GRIEVANCE REGISTER The following provides a sample of a register for grievances and/or complaints and the actions undertaken. This will provide the Committee with a record of the types of complaints received (any trends), the effectiveness of resolution strategies and a record of what was done. Date Complainant Contacts Complaint Outcome Actions Closure Signature of the Received Name Description Sought Taken to Date Complainant address the grievance 146