+- KENYA REPUBLIC OF 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 KIARUHIU/KARIKI INFORMAL SETTLEMENT PREPARED BY FEBRUARY, 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 Kiaruhiu/Kariki 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 NMSP Nairobi Metropolitan Services Project NYEWASCO Nyeri Water & Sewerage Company Limited iii OP Operational Policies OPCT Older Persons Cash transfers PAD Project Appraisal Document PAP Project Affected Persons PDO Project Development Objective PDP Part Development Plan RAP Resettlement Action Plan RFP Resettlement Policy Framework RIC RAP Implementation Committee RIM Registry Index Map RPF Resettlement Policy Framework SEC Settlement Executive Committee SGRC Settlement Grievance Redress Committee SIDA Swedish International Development Agency SRTM Shuttle RADAR Topographic Mission UTM Universal Transverse Mercator WB World Bank iv DEFINITION OF TERMS Abbreviated Resettlement Action Plan is a resettlement document prepared to mitigate impacts that has affected less than 200 Project affected persons in accordance to World Bank OP 4.12. 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 is the date of completion of the socio-economic survey/census and asset inventory of PAPs. 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. 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. Market rate is 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. Replacement cost means replacement of assets with same quality and quantity with an amount sufficient to cover full cost of lost assets and related transaction costs and taxes. The cost is to be based on Market rate (commercial rate) according to Kenyan law for sale of land or property, without depreciation in addition to other considerations such as (a) transporting building materials to the construction site; (b) any labour and contractors‟ fees; and (c) any registration costs. Therefore, for Replacement cost for houses and other structures means the prevailing cost of replacing affected structures, in an area and of the quality similar to or better than that of the affected structures at market rates without depreciation. v 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 (PAPs). Squatters are those who have extended their settlements into Government lands and have no formal right or claim to the portion of the lands. Vulnerable Groups include all those affected by the project, and include the elderly, women and children headed households, indigenous people, ethnic minorities, Persons with Severe Disability (PWSD) 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 . This is 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. It is implemented in fourteen (14) Counties including Nyeri County where Kiaruhiu/Kariki informal settlement, a former colonial village, is one of the beneficiary settlements. The settlement, located in Mathira East Sub-County, measures 33.87 acres, and comprises of 82 plots with a population of 306 people. Unlike several other Nyeri municipal informal settlements under KISIP, Kiaruhiu had no Local Physical Development Plan (LPDP) prepared.1 Therefore, the first step towards accomplishing the key development objective (of regularizing the tenure) was to prepare a settlement LPDP. This led to adjustments in the existing settlement structure/inhabitation,2 and consequently, 73 Project Affected Persons (PAPs) were affected. Towards addressing the impact on structures, livelihood and vulnerability, an Abbreviated Resettlement Action Plan 3 (ARAP) was prepared. This Plan is prepared with participation and endorsement from the local community and the entitlements are based on a Resettlement Policy Framework for KISIP, prepared in accordance with the World Bank’s OP 4.12 at preparation and approval by the World Bank. Institutional and implementation arrangements developed are captured in the table below. Institutional and Implementation Arrangements Table 0-1 Institutional and Implementation Arrangements in the KISIP Project Actor Responsibility i. KISIP Secretariat: - Tasked with overall coordination and execution of the Project. This is the National - Procurement of consultants to undertake Planning and Survey for the KISIP 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 regularization4 are complete to facilitate issuance of title deeds to beneficiaries 1 There was no evidence of any formal planning before KISIP came in. 2 As a result of both boundary and roads way leave alignment. 3 Abbreviated Resettlement Action Plan are prepared in accordance to World Bank OP 4.12 when impacts affected less than 200 Project Affected Persons (for Kiaruhiu/Kariki, 73 PAPs have Been Affected). 4 Tenure Regularization Processes are described in detailed in Chapter 2 vii - Undertake and participate in stakeholder Consultations and sensitizations including sensitizations on Joint Titling with The Chief Land Registrar. - Management of Grievances - Ensure Implementation of this ARAP upon approval ii. County KISIP Team: - Tasked with implementing National KISIP directives within the county. this 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 - Tasked with selection of Informal settlements to undergo tenure Nyeri: One of the regularization selected counties - Facilitate all KISIP interventions in selected informal settlements. where KISIP Project - Approval of Local Physical Development Plans for planned settlements. interventions are being undertaken iv. Settlement Executive - This is the link between the community and KISIP Committee: This is the - Ensure adequate and comprehensive consultations are carried out in all community KISIP Tenure Regularization activities. representation in the - Management of Grievances KISIP Project v. The Community: This - Actively participate in consultations and sensitizations of tenure is the primary regularization process being carried out by KISIP stakeholder that will - Guide the whole process of tenure regularization by ensuring it is beneficial benefit from KISIP to them tenure regularization - Validate and approve at the settlement level prepared Local Physical interventions Development Plan. vi. The Consultant: A - In consultation with relevant stakeholders prepare Local Physical professional in the Development Plans, carry out Survey and prepare Resettlement Action plan field of urban planning to mitigate any displacement 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 in Kiaruhiu/Kariki In March, 2017 KISIP started a participatory planning and survey process in Kiaruhiu/Kariki informal settlement, which was expected to culminate in tenure regularisation for the residents. The informal settlement did not have any draft LPDP prepared before KISIP’s entry. KISIP therefore prepared a base map, and its analysis showed that the land uses were not optimally planned. In addition, 3 community members had settled on an environmentally fragile area. This necessitated planning of the informal settlement to take into consideration the situation on the ground through application of adoptive planning standards. Therefore, the viii consultant was tasked with preparing a LPDP and undertaking survey which will culminate to issuance of title deeds to beneficiaries. Land Titling In Kiaruhiu/Kariki Land titling in Kiaruhiu/Kariki 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. Through a community consultative planning process, beneficiaries proposed alignment of the roads in the settlement and relocation5 of 3 beneficiaries settled in an environmentally fragile area. This informed the preparation of Local Physical Development Plan with each beneficiary receiving a plot. The community was made aware and agreed that for titling to be successful, access to every plot is necessary thus minimum reduction in plot sizes in lieu of provision of roadway leaves. The 3 locally displaced PAPs were also accommodated within the settlement. This informed the successful first level of approval of the Plan by the community with the plan generating 82 plots comprising of: 3 churches, 1 polytechnic, 1 community-owned organisation, 1 police station and 76 individually owned plots. The breakdown on the individually owned plots is as table below. 6 Table 0-2 Breakdown of individually owned plots in Kiaruhiu/Kariki informal settlements Female beneficiaries on each Male beneficiaries on each plot Male Female Plot Numbers plot 2 0 2 0 4 2 1 2 2 4 1 2 2 0 2 1 1 2 2 2 4 1 8 2 1 3 3 0 1 3 0 3 1 1 3 1 3 1 3 1 3 1 1 2 1 2 1 5 What is referred to as localised displacement as defined in the list of definitions. 6 All cases of joint/co- ownership are amongst family members, some spousal and others 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. ix 48 1 48 0 14 1 0 14 Total number Total beneficiaries 71 34 of plots: 76 Therefore, the total number of direct beneficiaries is 111, with 71 being male beneficiaries and 34 female beneficiaries. The plan adopted a road hierarchy of 10m, 9m and 6m, and was validated and endorsed by the community, consequently approved by the County Government of Nyeri 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. All Project Affected Persons were adequately sensitized and consulted as per Annex 2. To ensure the beneficiaries are aware of available title registration options under Kenyan Laws and the corresponding benefits of each option, KISIP and the Chief Land Registrar will carry out more settlement-specific community sensitizations on titling and registration with emphasis on joint titling for spouses as a means to enhance and safeguard women rights to owning land as well as allow for changes to the Title beneficiary list (to allow for joint titling for spouses) 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. 3 PAPs who had settled in an environmentally fragile area experienced localised displacement and were accommodated within the settlement, while an additional 64 structure owners PAPs and 6 PAP institutions (i.e. 3 churches 1 polytechnic, 1 community based women group and 1 police station were impacted by the project. The 3 PAPs were accommodated within the settlement – following an equal reduction of all other community members parcels – based on resolution by the community members to ensure all settlement members received a title. x The beneficiaries were sensitized that the minimum portions of land handed over to road way leaves were necessary to facilitate issuance of titles, as each plot must have access and must not to be located on environmentally fragile land. The implementation of the approved LPDP will result in impacts on 73 beneficiaries in the settlement, related to loss of structures and livelihood. The preparation of this Abbreviated Resettlement Action Plan (ARAP) is therefore directed towards identification, documentation and quantification of all losses/impacts that will result from the implementation of the approved LPDP and to provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. Impacts on Project Affected Persons (PAPs) This ARAP is limited to impacts caused by the planning and surveying of Kiaruhiu/Kariki informal settlement, which affects 73 PAPs of which 23 are vulnerable. Table 0-3 Classification of PAPs, Kiaruhiu informal settlement Type of PAP Number Category Number Structure owner PAPs 67 Vulnerable structure owners PAPs 23 PAP Institutions 6 Churches 3 Polytechnic 1 Police station 1 Community based women group 1 Total 73 Survey results shows that more male PAPs have been affected at 73% while affected women are 27%. 67% of the affected PAPs are married. A larger proportion had primary education qualifications (57%) followed by secondary education (30%). The occupation profile for the PAPs shows that majority of them are casual labourers (60%). 5% of the PAPs are unemployed. 23 PAPs were identified as vulnerable. Table 0-4 PAP flow information table PAPs - 73 Male - 49 Female - 18 Institutions - 6 Vulnerable – 7 Non-vulnerable -42 Vulnerable -16 xi Vulnerable PAPs 7 male PAPs were classified as vulnerable because they were elderly.7 16 female PAPs were also identified as female household heads (in addition to other vulnerabilities) therefore vulnerable. Apart from entitlements as outlined in the KISIP RPF, these PAPs will also be recommended for enrolment into the unconditional national safety net programmes such as Inua Jamii and the Older Persons Cash transfers (OPCT) programmes run by the government of Kenya Ministry of Gender, Social Services and Sports. These provide a monthly stipend for qualifying older persons. As part of additional assistance during relocation, the RIC and SEC will ensure that Vulnerable PAPs are assisted in reconstruction of affected structures during implementation period of this ARAP. Project impacts The displacements in Kiaruhiu/Kariki are twofold: displacement caused by partial demolition of structures to expand or align road way leaves; and displacement caused by inter-boundary plot alignment. 44 structures were affected by road wayleave alignment while 71 structures were affected by boundary alignment. Out of these 115 structures, 71 structures were fully affected by the project while 44 structures were partially affected. In addition, 1287 trees (166 commercially non-viable fruit trees and 1121 non fruit or timber trees), 60 tea bushes, 11 coffee plants and 99 banana stems were affected. Table 0-5 Structure Related Impacts Cause of Impact Number of affected Type of Impact Number of affected structures structures Boundary Alignment 71 Fully Affected 71 Road alignment 44 Partially Affected 44 Total 115 Total 115 Table 0-6 Affected structures in Kiaruhiu/Kariki informal settlement Type of Affected by road Affected by boundary Total Distribution of the structure alignment alignment structures affected Residential 13 34 47 40.8% houses Pit latrines 12 10 22 19.1% Gates 3 0 3 2.6% Fences 5 1 6 5.2% Kitchens 2 7 9 7.8% Bathrooms 1 0 1 0.9% Animal sheds 5 18 23 20.1% Water pipe 3 1 4 3.5% Total 44 71 115 100% 7 Above 65 years of age xii Planning and surveying in Kiaruhiu informal settlement resulted in localised displacement of 3 PAPs, who were accommodated within the settlement – following the equal reduction of the remaining community members parcels. The 3 PAPs had settled in an environmentally fragile area. The beneficiaries were adequately sensitized during the planning process that the minimum portions of land handed over to road wayleaves were necessary to facilitate issuance of titles as each plot must have access. This provision was endorsed by the community noting that the planning process would require some beneficiaries to surrender some land so as to ensure the titling output is achieved - a benefit that overrides the reduced plot sizes given the PAPs in Kiaruhiu/Kariki informal settlement occupy public land. More so, as the community indicated during meetings, the benefits of a title enhances opportunities for development to be initiated by actors such as the government, eliminates chances of dispossession of land,8 and feelings of been discriminated and marginalised. In addition, the beneficiaries proposed and agreed to re-distribute all other plots equally to ensure the 3 locally displaced PAPs were settled within the settlement. Approach and Methodology The preparation of this Resettlement Action Plan was guided by the updated project’s Resettlement Policy Framework (RFP) i.e. prepared in 2014. It is based on a number of methods including a Review of relevant documents b Community and stakeholder consultation c Socio-economic survey and census of the PAPs and assets d Valuation of assets and livelihood losses, and preparation of asset register e Preparation of PAP and Asset register Community Consultation and Participation Public participation which is a constitutional requirement was realized through meetings and transects walks. The aim was to identify the interests of the different stakeholders and draw consensus. Four planning meetings were held by the consultant in the settlement (table 0-6 below), and ARAP related matters e.g. need for accommodating the locally displaced PAPs discussed in these meetings.9 In addition, a meeting for ARAP PAP sensitization, final verification of PAPs and presentation of draft ARAP was held on 8th March 2018 in the settlement. This meeting was attended by the PAPs (38 male and 13 female); County Government of Nyeri, National Land Commission and the National Government. During this 8 Community was concerned that insecure tenure enhances chances of land grabbing. 9 Some community members noted e.g. that some would be required to surrender some land or move and requested sufficient notice and time to do so, relocation of the beneficiaries in hazardous area among other issues. xiii 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 Meeting Date Participants Male Fema Key issues discussed Session le Community 29th County Government of Nyeri 3 1 consultation March, Importance of planning, The meeting 2017 KISIP Nyeri 1 1 Planning process and scheduling National Government 1 1 of activities Community Members 33 34 Total 38 37 1st Planning 3rd March, Community Members 50 41  Review of base map and session/Base 2017 community input into planning map process. presentation  Community members bring to attention of consultant that some settled in environmentally sensitive area. Draft LPDP 12th May, Community members 58 29  Presentation and discussion of presentation 2017 County Government of Nyeri 4 1 draft LPDP National Government 0 1  Environmentally sensitive area Ministry of Lands and 1 1 zoned out as green area. Physical Planning KISIP Nyeri 2 0  Need to resettle the PAPs in National Land Commission 1 1 the environmentally sensitive area and some proposal floated Total 66 33 including land redistribution, settling them on school land etc. Validation of 17th May, County Government of Nyeri 3 1  Draft Plan presentation, the plan and 2017 discussion and validation by National Land Commission 0 1 list of Community. beneficiaries Ministry of Lands and 1  Draft Plan incorporates the Physical Planning 0 PAPs previously located in National Government 1 1 environmentally sensitive area. Community Members 61 29  Cut off declared as 17th May 201710 Total 65 33 PAP 8th March, County Government of Nyeri 3 0  This recapped the ARAP verification 2018 process and discussed the draft National Land Commission 1 0 ARAP report before approval. Community Members 38 13 ARAP implementation process and proposed Grievances Total 42 13 redress mechanism discussed.  Verification of the PAP register  Cut-off date recapped 10 Refer to Annex 2 for minutes during the RAP and GRC sensitization meetings. xiv GRC 19th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening Strengthening, 2018 County Government of Nyeri 1 1  Cut-off date recapped RAP, Planning  Recap of resolutions on and Survey National Government 1 1 community re-allocation/sub Issues division of land to resolution Community 46 21 accommodate the 3 locally displaced PAPs Total 48 25  Recap of voluntary movement by some PAPs before ARAP completion Implementation of the ARAP The primary responsibility for the implementation of this ARAP remains with KISIP who will ensure all PAPs are adequately facilitated according to the budget below an activity that will be concurrent with the issuance of Title deeds to all beneficiaries including PAPs. The implementation tasks will be carried out by KISIP RAP Implementation Committee (RIC) for Nyeri County. The composition of the RIC as stipulated in the KISIP Resettlement Policy Framework has been described in this ARAP under Section 10.2.2. ARAP Implementation Budget All persons affected by the project and meeting the cut-off date of 17th May 2017 will be entitled to a combination of facilitation packages depending on the nature of ownership rights of lost assets and scope of the impacts as outlined in KISIP RPF’s entitlement Matrix. Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. Valuation of trees was based on total prices of timber products which could be harvested from the tree less the necessary costs of harvesting, timber preparation, transportation and selling costs.11 Valuation of banana stems, coffee plants and tea bushes was based on the value of the standing fruit/leaves at harvest, determined by the average gross market value of fruits for the three previous years, adjusted to take care of time to maturity and inflation.12 Facilitation of structures will be done concurrently with issuance of titles. Grievance Redress Mechanism A project-based grievance redress mechanism (at no cost to PAPs) has been designed with the objective of solving grievances within the shortest possible time. A settlement GRC has been established as the first level of grievance redress while escalation mechanisms include the RAP implementation Committee (with membership from both national KISIP and County government) and the Courts of Law (highly unlikely since the process has been community led). A grievance log documents all grievances and their resolution status and is in use to monitor GRM progress. 11 Section 4.6.1 details more on trees and the mode adopted by KISIP. 12 Section 4.6.2 details more on compensation of the plants. xv Monitoring and Evaluation The ARAP Monitoring and Evaluation Framework that has been adopted involves internal monitoring by KISIP; impact monitoring commissioned to specialized firms; and an ARAP Completion Audit. The Monitoring Indices include: i. Number of PAPs facilitated ii. Vulnerable PAPs assisted in rebuilding structures iii. Number of titles issued iv. Number of Joint titles for spouses issued v. Grievances logged and resolved Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this ARAP including the budget for compensation and timelines as per the implementation schedule.  KISIP will ensure all grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP.  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 PCT will organize and carry out sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence.  KISIP and Area Chief will undertake sensitization aimed at ensuring the community does not cut the trees rather conserve them as community assets. KISIP through the relevant department of environment, Nyeri County Government will also provide seedlings to ensure the trees on road way leaves will be re-established in time.13  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 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. 13 Assumption is that these trees will be cut one day to pave way for infrastructure. xvi  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. xvii TABLE OF CONTENTS EXECUTIVE SUMMARY .......................................................................................................... vii Project description ............................................................................................................................ vii Institutional and Implementation Arrangements ............................................................................... vii Planning and Survey in Kiaruhiu/Kariki .......................................................................................... viii Land Titling In Kiaruhiu/Kariki......................................................................................................... ix Planning and Surveying Impacts......................................................................................................... x Impacts on Project Affected Persons (PAPs) ..................................................................................... xi Vulnerable PAPs ............................................................................................................................... xii Project impacts .................................................................................................................................. xii Approach and Methodology ............................................................................................................ xiii Community Consultation and Participation ..................................................................................... xiii Implementation of the ARAP ........................................................................................................... xv ARAP Implementation Budget ......................................................................................................... xv Grievance Redress Mechanism ......................................................................................................... xv Monitoring and Evaluation .............................................................................................................. xvi Commitments ................................................................................................................................... xvi CHAPTER ONE.............................................................................................................................. 1 INTRODUCTION........................................................................................................................... 1 1.1 Introduction ............................................................................................................................. 1 1.2 Kiaruhiu/Kariki informal settlement ....................................................................................... 2 1.3 KISIP’s interventions in Kiaruhiu/Kariki informal Settlement............................................... 3 1.4 Objective of the ARAP ........................................................................................................... 4 1.5 Scope of the ARAP ................................................................................................................. 4 CHAPTER TWO............................................................................................................................. 6 LAND TENURE REGULARISATION AND TITLING IN KIARUHIU/KARIKI INFORMAL SETTLEMENT ............................................................................................................................... 6 2.1 Introduction to Land Titling .................................................................................................... 6 2.2 Planning Phase ........................................................................................................................ 9 2.3 Community Sensitization on Planning .................................................................................. 11 2.3.1 Preparation of informal settlement base maps .............................................................. 12 2.3.2 Socio-economic survey of the settlements .................................................................... 14 2.3.3 Participatory Planning meeting ..................................................................................... 15 2.3.4 Preparation and Discussion of development proposals ................................................. 16 2.3.5 Validation of Plan and List of Beneficiaries ................................................................. 19 2.3.6 Plan approval ................................................................................................................ 19 2.4 Surveying Phase .................................................................................................................... 19 2.5 Safeguarding of Kiaruhiu/Kariki Informal Settlement from Land Grabbing ....................... 20 2.6 Issuance of Titles .................................................................................................................. 20 2.7 Continuous Community Sensitization on Title Registration ................................................ 20 CHAPTER THREE....................................................................................................................... 23 POLICY AND LEGAL FRAMEWORK ..................................................................................... 23 3.1 Introduction ........................................................................................................................... 23 3.2 The Constitution of Kenya of 2010....................................................................................... 23 3.3 The National Land Policy (2007).......................................................................................... 24 3.4 Relevant Local Laws for Resettlement ................................................................................. 25 3.4.1 The Environment and Land Court Act, 2012 ................................................................ 25 3.4.2 The Land Act, 2012 ...................................................................................................... 25 3.4.3 The Valuers Act Cap 532 .............................................................................................. 26 xviii 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 ................................................................................................. 26 3.5 KISIP’s Resettlement Policy Framework ............................................................................. 27 3.6 World Bank’s OP 4.12 on Involuntary Settlement ............................................................... 28 3.7 Comparison between the Government of Kenya (GoK), and World Bank Guidelines ........ 28 3.7.1 Supporting Principles .................................................................................................... 32 CHAPTER FOUR ......................................................................................................................... 33 APPROACH AND METHODOLOGY ....................................................................................... 33 4.1 Introduction ........................................................................................................................... 33 4.2 Review of Relevant Documents............................................................................................ 33 4.3 Community and stakeholder consultation ............................................................................. 34 4.4 Census of the Project Affected Persons ................................................................................ 35 4.5 Inventory of Vulnerable Groups ........................................................................................... 36 4.6 Inventory of Affected structures and Valuation Methodology ............................................. 37 4.6.1 Valuation of structures .................................................................................................. 38 4.6.2 Valuation of Trees ......................................................................................................... 38 4.6.3 Valuation for Livelihood (Banana stems, coffee and tea bushes/plants) ...................... 38 4.7 Cut-off date ........................................................................................................................... 40 CHAPTER FIVE ........................................................................................................................... 41 PUBLIC CONSULTATION AND PARTICIPATION ............................................................... 41 5.1 Objectives of public participation ......................................................................................... 41 5.2 Stakeholders .......................................................................................................................... 41 5.3 Community Meetings and issues raised ................................................................................ 42 CHAPTER SIX ............................................................................................................................. 45 PROJECT IMPACTS.................................................................................................................... 45 6.1 Introduction ........................................................................................................................... 45 6.2 Positive Impacts of the Project.............................................................................................. 45 6.2.1 Secure land tenure ......................................................................................................... 45 6.2.2 Women empowerment in relation to land rights ........................................................... 46 6.2.3 Improved housing ......................................................................................................... 46 6.2.4 Improved infrastructure................................................................................................. 46 6.2.5 Conservation of Environment and Environmentally fragile areas ................................ 46 6.3 Negative impacts of the project ............................................................................................ 47 6.3.1 Reduction of Plot/parcel size ........................................................................................ 47 6.3.2 Loss of Structures.......................................................................................................... 47 6.3.3 Loss of trees .................................................................................................................. 48 6.3.4 Loss of livelihood.......................................................................................................... 49 6.3.5 Increased vulnerability among the PAPs ...................................................................... 49 6.3.6 Summary of losses ........................................................................................................ 49 CHAPTER SEVEN....................................................................................................................... 51 SOCIO ECONOMIC STATUS/BASELINE ............................................................................... 51 7.1 Socio-Economic Survey........................................................................................................ 51 7.2 Socio-economic characteristics of PAPs............................................................................... 51 7.2.1. Gender ........................................................................................................................... 52 7.2.2. Marital status ................................................................................................................. 52 7.2.3. Education status ............................................................................................................ 52 7.2.4. Occupation .................................................................................................................... 53 7.2.5. Income........................................................................................................................... 53 7.2.6. Characteristics for other Household members .............................................................. 53 xix 7.2.7. Housing typology .......................................................................................................... 54 7.2.8. Disease prevalence ........................................................................................................ 55 7.2.9. Sanitation ...................................................................................................................... 55 7.2.10. Waste disposal............................................................................................................... 56 7.2.11. Source of water ............................................................................................................. 56 7.2.12. Vulnerable groups ......................................................................................................... 56 CHAPTER EIGHT........................................................................................................................ 57 MITIGATION OF IMPACTS ...................................................................................................... 57 8.1 Introduction ........................................................................................................................... 57 8.2 Eligibility Criteria ................................................................................................................. 57 8.3 Notification ........................................................................................................................... 58 8.4 Compensation Payment Protocols ........................................................................................ 58 CHAPTER NINE .......................................................................................................................... 61 GRIEVANCE REDRESS MECHANISM ................................................................................... 61 9.1 Overview ............................................................................................................................... 61 9.2 Grievance Redress Institutions/Structure .............................................................................. 62 9.2.1 Settlement Grievance Redress Committee (SGRC) ...................................................... 62 9.2.2 RAP Implementation Committee .................................................................................. 62 9.2.3 Legal Redress ................................................................................................................ 63 9.3 Procedure of Receiving and resolution of Complaints ......................................................... 63 9.3.1 Step 1: Receipt of complaint/grievance ........................................................................ 63 9.3.2 Step 2: Determination of Corrective Action ................................................................. 65 9.3.3 Step 3: Meeting with the complainant .......................................................................... 65 9.3.4 Step 4: Implementation of Corrective Action ............................................................... 65 9.3.5 Step 5: Verification of corrective action ....................................................................... 65 9.3.6 Step 6: Action by RIC ................................................................................................... 65 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission ........... 66 9.4 Terms of Reference for the Grievance Redress Mechanism Committee .............................. 66 9.5 Effectiveness of the Grievance Redress Mechanism ............................................................ 66 9.6 Capacity-Building for the Grievance Officer and Grievance Committees ........................... 67 CHAPTER TEN ............................................................................................................................ 69 INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS ...................................... 69 10.1 Introduction ........................................................................................................................... 69 10.2 ARAP Implementing Institutions.......................................................................................... 70 10.2.1 KISIP Project Coordination Team ................................................................................ 70 10.2.2 KISIP RAP Implementation Committee (RIC) ............................................................. 70 10.2.3 County KISIP Team ...................................................................................................... 72 10.2.4 Community Settlement Executive Committee (SEC) ................................................... 72 10.2.5 The Settlement Grievance Redress Committee............................................................. 72 10.3 Gender Empowerment Initiatives ......................................................................................... 73 10.4 ARAP implementation Schedule .......................................................................................... 74 CHAPTER ELEVEN .................................................................................................................... 77 MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP ............. 77 11.1 Monitoring and Evaluation ................................................................................................... 77 11.1 Monitoring and Evaluation Framework ................................................................................ 78 11.2.1 ARAP Monitoring Plan................................................................................................. 78 11.2.2 ARAP Monitoring Framework ..................................................................................... 79 11.2 Resettlement Completion Audit ............................................................................................ 81 CHAPTER TWELVE ................................................................................................................... 83 xx CONCLUSION AND WAY FORWARD ................................................................................... 83 12.1 Conclusion ............................................................................................................................ 83 12.2 Commitments ........................................................................................................................ 83 REFERENCES .............................................................................................................................. 85 ANNEXES .................................................................................................................................... 86 ANNEX 1. PAPs AND ASSET REGISTER ............................................................................ 86 ANNEX 2. MINUTES OF STAKEHOLDERS’ CONSULTATION ................................... 115 ANNEX 3. SOCIO-ECONOMIC QUESTIONNAIRE ......................................................... 176 ANNEX 4. RAP QUESTIONNAIRE ..................................................................................... 196 ANNEX 5. SAMPLE GRIEVANCE REDRESS FORM ...................................................... 197 ANNEX 6. SAMPLE GRIEVANCE REGISTER ................................................................. 199 xxi LIST OF TABLES Table 0-1 Institutional and Implementation Arrangements in the KISIP Project ............................. vii Table 0-2 Breakdown of individually owned plots in Kiaruhiu/Kariki informal settlements ............ ix Table 0-3 Classification of PAPs, Kiaruhiu informal settlement ....................................................... xi Table 0-4 PAP flow information table ............................................................................................... xi Table 0-5 Structure Related Impacts ................................................................................................. xii Table 0-6 Affected structures in Kiaruhiu/Kariki informal settlement ............................................. xii Table 0-7 Community participation meetings .................................................................................. xiv Table 2-1 Tenure Regularization and Land Titling Process ................................................................ 6 Table 2-2 Community participation meetings during Planning and Survey ..................................... 11 Table 2-3 Planning options................................................................................................................ 16 Table 2-4 Breakdown of individually owned plots in Kiaruhiu/Kariki informal settlement............. 18 Table 2-5 Types of Title registration. ................................................................................................ 20 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context ............................................................................................................................... 29 Table 4-1 Community participation meetings ................................................................................... 34 Table 5-1 Community Participation Meetings .................................................................................. 42 Table 5-2 Community Concerns in the ARAP process ..................................................................... 43 Table 6-1 Project impacts according to gender ................................................................................. 47 Table 6-2 Affected structures in Kiaruhiu/Kariki Informal settlement ............................................. 48 Table 6-3 Construction materials for kitchens in Kiaruhiu and Kariki informal settlements ............ 48 Table 6-4 Types of vulnerability, Kiaruhiu informal settlement ....................................................... 49 Table 6-5 Classification of losses experienced in Kiaruhiu informal settlement .............................. 50 Table 6-6 Types of losses with number of affected PAPs ................................................................. 50 Table 6-7 Breakdown of losses experienced by PAPs ...................................................................... 50 Table 8-1 Entitlement Matrix ............................................................................................................ 59 Table 10-1 National and County Government (ARAP) Implementing Institutions ........................ 69 Table 10-3 ARAP Implementation schedule ................................................................................... 75 xxii LIST OF FIGURES Figure 1-1 Kiaruhiu/Kariki informal settlement location map ......................................................... 3 Figure 2-1 Stakeholders’ analysis ................................................................................................... 10 Figure 2-2 Kiaruhiu/Kariki informal settlement base map ............................................................. 14 Figure 2-3 Kiaruhiu/Kariki Local physical development Plan ....................................................... 17 Figure 2-4 Kiaruhiu/Kariki informal settlement land use budget ................................................... 19 Figure 4-1 Asset and Livelihood Valuation Report Preparation..................................................... 40 Figure 7-1 PAP gender ................................................................................................................... 52 Figure 7-2 PAPs marital status ....................................................................................................... 52 Figure 7-3 Education level for PAPs .............................................................................................. 52 Figure 7-4 Occupation of PAPs ...................................................................................................... 53 Figure 7-5 Monthly Income ............................................................................................................ 53 Figure 7-6 Education profile ........................................................................................................... 54 Figure 7-7 Occupation profile......................................................................................................... 54 Figure 7-8 Access to Toilet............................................................................................................. 55 Figure 7-9 Access to Bathroom ...................................................................................................... 55 Figure 7-10 Source of Water ............................................................................................................ 56 Figure 10-1 RAP Implementing Institutions .................................................................................... 73 xxiii LIST OF PLATES Plate 7-1 A section of typical dwelling units in the village .............................................................. 54 xxiv CHAPTER ONE INTRODUCTION 1.1 Introduction The Government of the Republic of Kenya prepared the Kenya Informal Settlements Improvement Project (KISIP) as part the national strategy to address inequality and disparities in livelihoods and quality of life within Kenya’s urban areas, the latter of which are systematically and increasingly becoming the main population centres of the country. The Strategy comprises of three multi-sectoral programmes namely; - (i) The Kenya Informal Settlements Improvement Project (ii) The Kenya Slum Upgrading Program (K-SUP) and, (iii) the Nairobi Metropolitan Services Project (NAMSIP) to be financed by the World Bank (KISIP RPF, 2014). The aim of KISIP is to facilitate the improvement of living conditions in the informal settlements through security of tenure and municipal infrastructure development. The project will contribute to the overall Government goals for Vision 2030, through priority interventions in the following areas: institutional strengthening; improving security of land tenure and investing in infrastructure in informal settlements based on plans developed in consultation with communities; and support to proactive planning to better anticipate population growth and help develop options to dampen formation of new slums. These priority areas have been designed with four components. These are: 1 . Institutional strengthening/development and program management - This component assists in strengthening the capacity of the Ministry of Housing, the Ministry of Lands and the participating counties, and also finances program management activities (including preparation of a baseline platform and systems for monitoring and evaluation). 2 . Enhancing tenure security – this supports scale-up and process systematization of ongoing efforts to regularize tenure in urban slums and includes financing for the following types of activities: community organization and mobilization, identification and demarcation of settlement boundaries, preparation of Part Development Plans, and issuance of letters of offer/allotment to individuals/groups. 3 . Investing in settlement restructuring and infrastructure– supports implementation of settlement upgrading plans developed at the community level, investment in settlement level infrastructure and, where necessary, extension of trunk infrastructure to settlements. 4 . Planning for growth: Supporting delivery of affordable housing and serviced land – supports proactive planning to dampen the growth of new slums and mechanisms for 1 delivery of land and housing that can enhance affordability for middle- and low- income households. The Program activity covers 14 counties each of which benefits from activities 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 Kiaruhiu/Kariki informal settlement Kiaruhiu/Kariki informal settlement is one of the colonial villages established in the 1950s, to settle the landless as a result of colonization. It is located in Mathira East Sub-County, Nyeri County, approximately 10 km from Karatina Town. The settlement measures 33.87 acres, and has a population of 306 people. It hosts 76 households that have a mean household size of 4 people. The residential land use function characterizing the area is owner occupier, so rental residential housing has not yet developed in the area. This is likely to change once the security of tenure of land is addressed. Further, given that the area is within the municipality it is possible to expect urban land use functions to emerge and take root in the informal settlement, with a greater push coming from increased urbanisation and devolution. Households engage in different types of agriculture (livestock and crops), growing maize, bananas, horticultural crops, fruit trees, etc. Livestock kept are dairy cows and poultry, etc. Small land sizes represent a major constraint to farming in the informal settlement. Therefore, sustainability of farming in the informal settlement hinges on adoption of high value types adaptive to small land sizes. 2 Figure 1-1 Kiaruhiu/Kariki informal settlement location map 1.3 KISIP’s interventions in Kiaruhiu/Kariki informal Settlement The land tenure in Kiaruhiu/Kariki informal settlement is classified as public land. This land is held by Nyeri County Government in trust for the people and administered on their behalf by the National Land Commission. KISIP’s Component 2 intervention in Kiaruhiu/Kariki informal settlement entails physical planning and surveying of the informal settlement. This led to the development of a local physical development plan for the settlement. The surveying component will ensure the settlers are issued with title deeds for the plots they occupy. 111 beneficiaries will be issued with title deeds. To achieve the objective of the second component, KISIP is working with relevant national institutions, counties and local institutions. At the national level, institutions involved include the Ministry of Lands and Physical Planning, National Land Commission (NLC) and Ministry of Transport, Infrastructure, Housing and Urban Development. The counties are represented by the relevant ministry that houses the Physical Planning functions, KISIP County Coordination Board and the survey department. The local community is represented 3 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 beneficiaries. For example, because of proposed boundary alignment and provision of road way leaves, 73 PAPs will lose part or whole of the structures. This led to the preparation of this Abbreviated resettlement action plan. 1.4 Objective of the ARAP The objective of this ARAP is to therefore identify and quantify all losses and impacts which include loss of assets and livelihoods and impacts on vulnerable PAPs as a result of planning and surveying of Kiaruhiu/Kariki Informal Settlement and provide adequate mitigation measures in conformity with the World Bank OP 4.12, and the Government of Kenya Policies and Laws. The ARAP provides Projected Affected Persons with compensation for their loss of structures at full replacement cost, livelihood restoration measures and support for vulnerable groups. Additionally, a Grievance Redress Committee (GRC) has been established, to acknowledge and resolve grievances arising from displacement, compensation and issuance of title deeds. 1.5 Scope of the ARAP The scope of this ARAP was to: a. Develop a ARAP for the settlement in line with national legislation, KISIP Resettlement Policy Framework and world Bank’s OP 4.12 b. Study the Socio-economic reports undertaken during planning and surveying aimed at identifying data relevance, adequacy and the gaps therein in preparation of the ARAPS c. Develop innovative resettlement options (legally sound, socially, economically and environmentally sustainable) for the PAPs based on existing situation and context of each settlement, best global resettlement practices. d. Conduct extensive and in-depth stakeholder consultations with all project stakeholders. e. Document acceptable entitlements to guide compensation and other mitigation actions to Project Affected Persons (PAPs). f. Compile an accurate PAP and Asset register (see annex 1). This ARAP is limited to impacts caused by the planning and surveying of Kiaruhiu/Kariki informal settlement which resulted in the localised displacement of 3 PAPs who had settled in an environmentally sensitive area, and impact on an additional 64 structure owner PAPs and 6 PAP institutions (3 churches 1 polytechnic, 1 community based women organisation and 1 police station), totalling to 73 PAPs. The 3 PAPs were that were voluntarily locally displaced 4 were accommodated within the settlement,14 following the surrender of an equal amount of land by the rest of the community members. They will receive title deeds during implementation as outlined in the implementation schedule of this ARAP. The displacements in Kiaruhiu/Kariki are twofold:  Displacement caused by partial demolition of structures to expand or align road way leaves, which affected 44 structures;  Displacement caused by inter-boundary plot alignment which affected 71 structures. Out of these 115 structures, 71 structures were fully affected while 44 structures were partially affected. In addition, 1287 trees (166 commercially non-viable fruit trees and 1121 non fruit or timber trees), 60 tea bushes, 11 coffee plants and 99 banana stems were affected. The ARAP does not consider any loss of land since the beneficiaries in Kiaruhiu/Kariki informal settlement occupy public land and the component’s main objective is to ensure security of tenure of the beneficiaries. Since planning has been done in-situ, there was minimal reduction of individual land parcels so as to provide for access to each parcel which is a requirement for a successful titling process. Since planning was community-led, the community was consulted, sensitized and made aware of the minimal reduction in plot sizes and the benefits of tenure regularisation and titling. The community also acknowledged that the 3 PAPs settled within the environmentally fragile area are part of the community and should not be left out in the titling process. Therefore, the community voluntarily agreed to accommodate the 3 PAPs within the settlement, and all beneficiaries will therefore receive a title. 14 They received a bigger portion of land than they previously occupied. 5 CHAPTER TWO LAND TENURE REGULARISATION AND TITLING IN KIARUHIU/KARIKI INFORMAL SETTLEMENT 2.1 Introduction to Land Titling KISIP interventions in Kiaruhiu/Kariki informal settlement began in March, 2017 where the project’s Component 2 will culminate to tenure regularization in the settlement. To actualize land tenure regularization, the following activities were undertaken in Kiaruhiu/Kariki settlement: community organization and mobilization, identification and delineation of settlement boundaries, preparation and discussion of the settlement base map, preparation and approval of Local Physical Development Plans (LPDPs), Settlement survey and Beaconing as per LPDP, preparation of ARAP to mitigate impacts of planning and survey, community sensitization on title registration and benefits of title deeds, implementation of ARAP and issuance of title deed to the beneficiaries (including PAPs) in the settlement. This process of tenure regularization and land titling is illustrated in the table below: Table 2-1 Tenure Regularization and Land Titling Process Stage Activities Primary Secondary Indicators Timelines Actor Actor Mobilization  Community SEC County  Equal Undertaken Stage Mobilization KISIP Government representation in  Introduction of KISIP Consultant SEC composition activities in  Community Kiaruhiu/Kariki welcomed the Settlement project as they  Outlining the have been waiting objective of Planning on title deed for a and Survey which long time. will lead to issuance  Community of title deeds. This committed to also included embrace and scheduling of the support the planning activities. project until completion Planning Stage Base Map and  Transect walks Community KISIP  Base map of Undertaken physical guided by SEC SEC County Kiaruhiu/Kariki Preparation  82 plots identified. Consultant Government  Every Beneficiary  Existing Plot is enumerated Boundaries form  Participation of basis for Planning SEC ensured that and surveying only members of 6  100 % Kiaruhiu/Kariki Socioeconomic are the survey of Beneficiaries Beneficiaries  Beneficiary list representative of women beneficiaries. Plan  A community led Community KISIP  Active women Undertaken preparation planning process SEC County participation in  Community Consultant Government every planning prioritizes stakeholder accessibility. meeting. Community indicates  Community need to relocate endorse road beneficiaries located hierarchy for the on environmentally settlement. fragile area.  Community  Community involved aware of and in preparation of plan endorse minimum that best represents reduction in plot their interests. 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 Planning and approved Plan approval of Plan  Plan approved by step towards county and Director tenure of Physical planning regularization and issuance of titles Surveying stage Surveying and  Physical Survey of Community KISIP  Women aware of Undertaken beaconing of Plots SEC County plot boundaries. plots  Women asked to be Consultant Government  Impacts and PAPs present during documented exercise and shown boundaries of new plot where beacons have been placed.  Identification of impacts Validation of  Every beneficiary Community County Women ensure Undertaken Beneficiary List allowed to scrutinize SEC Government correct details are in the beneficiary list to Consultant the beneficiary list ensure correct details KISIP and sign against the 7 have been input. details  Women encouraged to participate. 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 process. surveyed Plots numbers ARAP Preparation ARAP Identified impacts are Community KISIP Entitlements are Undertaken Preparation as a result of planning SEC County given to mitigate and survey are Consultant Government impacts identified, documented and mitigated ARAP  Ensure client KISIP Consultant Approved ARAP to Ongoing Approval commitment to World Bank guide implementation of implementation ARAP. process and  All safeguards issuance of Titles provisions are met and addressed ARAP Implementing ARAP KISIP Consultant Facilitation of PAPs Not yet implementation activities as per Community GRM undertaken implementation County Issuance of Title schedule Deeds (undertaken after facilitation) Land Titling Sensitization on Registrar of Titles Registrar of County  More women Ongoing Title owner ship Sensitizes Beneficiaries Titles Government aware on Joint 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 Benefits (iv) Conditions to of the title being be granted on issued. leasehold Titles (  Beneficiary See Attached grievances example of Leasehold Title) adequately (v)Law requirements in addressed Regulation of land transactions Change of Beneficiary list open Community County  Increased number On Going beneficiary List for final change of SEC Government on Joint Title names to appear in the Consultant between spouses title KISIP  Beneficiaries on 8 the final beneficiary list forwarded to the Ministry of Lands for Title printing. Titles Printing The final beneficiary Ministry of Signed Titles are Not yet and Signing list is the basis of Lands- handed over to undertaken printing of Titles Chief Land National Land Registrar Commission for Approval. Gazzettement The NLC approves National The names of Not yet transfer of Public land Land Beneficiaries is undertaken to individual Commission officially published beneficiaries in in the Kenya Kiaruhiu/Kariki Gazette as individual title holders securing their tenure Issuance of Title Upon facilitation of All NLC County Beneficiaries Not yet PAPs, Titles are issued KISIP finally have undertaken to respective individual titles to beneficiaries in a public their land. Tenure event. regularization is complete 2.2 Planning Phase The assignment began with an intention to plan notice in the local dailies. This was aimed at informing the relevant stakeholders and the general public on the anticipated planning and surveying of Kiaruhiu/Kariki informal settlement. In the settlement, the assignment began with a reconnaissance survey of the informal settlement, with an aim of familiarising with the stakeholders and the settlement. In addition, key institutions relevant to the study were visited. These included the County Government of Nyeri, National Land Commission-Nyeri County, KISIP Nairobi and KISIP Nyeri County. At the local level, local communities are represented by Settlement Executive Committee (SEC) with a membership of about 15. Figure 2-1 below shows the stakeholders’ engagement framework in the settlement. 9 Ministry of Transport, Infrastructure, Housing and Ministry of Lands and Urban Development Physical Planning Houses the KISIP and provides Responsible for planning, policy framework surveying and titling of the Coordination of KISIP activities informal settlements National Government KISIP (Nairobi) Coordination and implementation of KISIP activities National Land Commission Local Community Manage public Participate in all activities relating to planning and land on behalf of surveying of their settlement the national and county Settlement Executive Committee: representative of the governments; community whose role includes: 1. Conflict resolution; 2. Safeguard interest of the community Encourage application of traditional dispute 3. Conflict resolution; resolution Nyeri County Government mechanisms in Nyeri County KISIP Coordination Committee 4. Safeguard interest of the community; land conflicts; Coordination and implementation of KISIP activities in Nyeri County Monitor the registration of all COUNTY GOVERNMENT OF rights and interests NYERI in land County CEC Lands, Housing and Physical Assembly of Planning Nyeri Chief Officer Lands Housing and Physical Planning District Survey County Director for Physical Planning Office Responsible for planning and surveying of Figure 2-1 Stakeholders’ analysisin Nyeri County the informal settlements 10 2.3 Community Sensitization on Planning In Kiaruhiu/Kariki informal settlement four community meetings were conducted, i.e. (i) one at the beginning of the planning process, (ii) One for presentation of the basemap for discussion and community input (iii) Draft LPDP presentation and discussion, and (iii) one for approval of the final socio – economic reports, LPDP and other reports. Table 2-2 shows the participation and key issues discussed, as well as gender representation in these meetings. The first meeting was particularly key in sensitising the community on a number of issues: 1 . The importance of planning and surveying and its end outcome i.e. tenure regularization in form of titles. Through this process, planning was framed as a pre-requisite to titling, to ensure accessibility of homes, as well as providing a basis for future provision and improvement of infrastructure in the settlement. Community was sensitized that titles indicate individual ownership of land which would open avenues for them to develop the land, among other benefits. Despite occupying the parcels for many years, the community had no recognized ownership rights as witnessed by lack of legally recognized documents to back up claims of occupation. The titles would however change this. 2 . Gender concerns in land ownership as defined by the Constitution 2010. The community was also sensitized that the Constitution allows for ownership of land by women – thus plots where the woman is the household head would be registered in the woman’s name. Joint ownership of titles between spouses was also encouraged, with both spouses to be registered where there were such agreements. Table 2-2 Community participation meetings during Planning and Survey Meeting Date Participants Male Fema Key issues discussed Session le Community 29th County Government of Nyeri 3 1 consultation March, Importance of planning, The meeting 2017 KISIP Nyeri 1 1 Planning process and scheduling National Government 1 1 of activities Community Members 33 34 Total 38 37 1st Planning rd 3 March, Community Members 50 41  Review of base map and session/Base 2017 community input into planning map process. presentation  Community members bring to attention of consultant that 11 some settled in environmentally sensitive area. Draft LPDP 12th May, Community members 58 29  Presentation and discussion of presentation 2017 County Government of Nyeri 4 1 draft LPDP National Government 0 1  Environmentally sensitive area Ministry of Lands and 1 1 zoned out as green area. Physical Planning KISIP Nyeri 2 0  Need to resettle the PAPs in National Land Commission 1 1 the environmentally sensitive area and some proposal floated Total 66 33 including land redistribution, settling them on school land etc. Validation of 17th May, County Government of Nyeri 3 1  Draft Plan presentation, the plan and 2017 discussion and validation by National Land Commission 0 1 list of Community. beneficiaries Ministry of Lands and 1  Draft Plan incorporates the Physical Planning 0 PAPs previously located in National Government 1 1 environmentally sensitive area. Community Members 61 29 Total 65 33 National Land Commission 1 0 Community Members 38 13 Total 42 13 County Government of Nyeri 1 1 National Government 1 1 Community 46 21 Total 48 25 2.3.1 Preparation of informal settlement base maps The preparation of the base map entailed several sequential processes: 1. Sourcing any available data on the Settlement: Registry Index Map (RIM), aerial photograph map of the settlement were acquired in the form of hard copies (RIMs) and soft copy aerial images for the site. The hard copy 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 RIMs and settlement boundary sketch provided by 12 client to extract the settlement site boundary corner coordinate data for later ground verification of settlement site boundaries. This boundary (after verification) would later be used to demarcate the settlement boundaries on the ground using key features. 3. Establishment of settlement site survey controls: Using the RIM information, survey plans were sourced in the neighbourhood of the settlement to identify previously used cadastral survey control points or existing property corner 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. All the perimeter so identified were mapped to cadastral standard and tied to the national grid. 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 Kiaruhiu/Kariki informal settlement base map 2.3.2 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: 14 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. 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. 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. 2.3.3 Participatory Planning meeting The base map prepared by the consultant was presented to the community on 3rd May, 2017. The workshop brought together the local community and other relevant stakeholders. The aim of this workshop was to have a participatory planning session with the community to identify their planning issues and prepare a physical development plan that responds to the issues. During this session, the base map was presented to the community and discussed, some community members requested if their plots could be sub divided amongst family members, issues of plot accessibility were also discussed, etc. 15 2.3.4 Preparation and Discussion of development proposals Considering the discussions during the planning session, the following planning options were considered. Table 2-3 Planning options Option One Option two: the preferred option Options Prepare LPDP based on ground survey Prepare LPDP based on a combination of picking of the settlement the updated base map and the vision of the settlement Strengths It shows the plot boundaries, road sizes The LPDP will be aligned to planning and current land uses in the settlement minimum standards, road sizes, and re- It can inform effective planning configuration of the settlement thus It shows actual plots and occupiers, which reducing redundancies is important in determining the actual Optimize on the land use, enhance number of plots and eventual beneficiary functionality, i.e. road and plots of planning and surveying PAPs residing on flood prone area will face localised displacement and will be accommodated in other safer parts of the settlement. Limitations The desired form and function of key land Plots and roads will change leading to uses will not be achieved given that some some displacement roads are too narrow, some plots are not It is time consuming as it requires more properly aligned, there are also consultations, redesign and confirmation encroachment which needs to be of several issues. addressed, the redundancies especially on access roads will impair the functionality of the settlement The shapes of some plots are irregular Some plots lack access roads Some plots are on steep slope that is prone to flooding The community preferred option two because the plan would address their challenge of poor connectivity in the settlement e.g. improving accessibility to plots that were previously not accessible. The project design (option 2) has been conceptualised to ensure minimal loss of land to provide for accessibility within the settlement but at the same time, ensuring the locally displaced PAPs could be resettled within the same settlement. 16 Figure 2-3 Kiaruhiu/Kariki Local physical development Plan 17 Figure 2-3 shows the LPDP for Kiaruriu/Kariki informal settlement. The plan will generate 82 plots comprising of: 3 churches, 1 polytechnic, 1 community-owned organisation, 1 police station and 76 individually owned plots. The breakdown on the individually owned plots is as follows: 15 Table 2-4 Breakdown of individually owned plots in Kiaruhiu/Kariki informal settlement Plot Numbers Male beneficiaries on Female beneficiaries on Male Female each plot each plot 2 0 2 0 4 2 1 2 2 4 1 2 0 2 0 2 1 1 2 2 2 4 1 8 2 1 3 0 3 0 1 3 0 3 1 1 3 1 3 1 3 1 3 1 1 2 1 2 1 48 1 0 48 0 14 0 1 0 14 Total number Total beneficiaries 71 34 of plots: 76 Therefore, the total number of direct beneficiaries is 111, with 71 being male beneficiaries and 34 female beneficiaries. The plan adopted a road hierarchy of 10m, 9m and 6m. 15 All cases of joint/co- ownership are amongst family members, some spousal and others 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. 18 Figure 2-4 Kiaruhiu/Kariki informal settlement land use budget 2.3.5 Validation of Plan and List of Beneficiaries On 17th May 2017, the draft plan was presented in a meeting to the community, Nyeri County Government and KISIP Nyeri and Nairobi staff. The plan was validated and endorsed by the community and submitted for approval to the County Government and The Director of Physical Planning. In the same session, the beneficiary list was validated. The beneficiaries were allowed to scrutinise the list and make any changes to it, e.g. adding beneficiaries or correcting misspelt names etc. 2.3.6 Plan approval Kiaruhiu/Kariki Informal Settlement LPDP has since been approved by the relevant authorities i.e. County Government of Nyeri and the Department of Physical Planning. 2.4 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 Survey. The preparation of the RIM is currently underway. The RIM will be used by the Ministry of Lands in Registration of Titles against the final beneficiary List. 19 2.5 Safeguarding of Kiaruhiu/Kariki Informal Settlement from Land Grabbing Land grabbing is a common phenomenon in informal settlements. In Kiaruhiu/Kariki 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 been allocated land. 2.6 Issuance of Titles The issuance of titles will be the next process in this tenure regularisation process and will be done during implementation of this ARAP as per the schedule. This will be concurrent to the payment of facilitation/compensation to PAPs so as to enable them to move affected structures into their surveyed plots and clear from road reserves. 2.7 Continuous Community Sensitization on Title Registration Sensitisation is considered 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:  Benefits of Title Deed  Types of Registrations (table below)  Encourage Spouses on Joint Registration of Titles Table 2-5 Types of Title registration. Type Of Title Details Emerging issues under KISIP Registration Single Ownership  Singe person completely  In case of death, transfer of the land owns the Land. becomes lengthy and costly.  If Married, Consent of wife is  Discouraged under KISIP if husband and required before any wife are involved. Husband and wife transaction on the land is encouraged to go for joint ownership. undertaken  Consent has to be reached between husband and wife on who will be the single owner of the title. 20 Joint Ownership Absolute Proprietorship.  In case of Death, Land is automatically Both Husband  Both Husband and wife are transferred to the spouse. and wife are absolute proprietors of land  This type of ownership is encouraged under registered in the KISIP; Sensitization is ongoing title.  If consent is not reached between husband and wife on absolute ownership, Tenancy in common shares joint ownership is to be explored as the alternative Tenancy in common shares  Each party decides what to do with his/her  Husband and wife own the shares since they own only a stipulated land in shares. share of land.  Common in cases where there  The title can only accommodate 5 entries of is more than one wife and/or names children are involved.  In case of more than 5 owners, additional parties to the land are required to nominate one to hold their shares in trust of the others  This is explored especially if children are involved Sectional Title  This applies to ownership of  In case a beneficiary builds an asset and Assets like high-rise decides to share among children/Wives, buildings/apartments Each floor is entitled to a sectional title. This sectional title can be further subjected to Joint co-ownership among children  Conditions to be granted on Leasehold Titles: Majority of KISIP related informal settlements are located in towns/municipalities where lease hold titles as opposed to free hold titles are issued in line with the law.  Law requirements in Regulation of land: o Regulation of Land transactions: The Land Control Board and functions and roles it plays in safeguarding women land rights e.g. requirement for spousal consent in land sales. o Regulation of transfers/succession when a beneficiary dies, children transfer etc.  Change of beneficiary where applicable to include joint ownership by spouses. Gender inclusivity is one of the guiding principles of this ARAP and the tenure regularization exercise. Given that land ownership ratio in Kiaruhiu/Kariki informal settlement is in favour of men, KISIP will undertake more gender empowerment sensitization exercises to build the capacity of women in the settlement to safeguard their Land rights. In implementing these exercises, key stakeholders include: Registrar of Titles, KISIP and Nyeri County Government Gender Department. In particular, the Land Control Board will be a key avenue to safeguard women rights to owning land where every land transaction will be regulated by the board and spousal consent will be mandatory. 21 The Proposed gender sensitization exercises will include but not limited to the following: i. Enhancing women’s legal rights to own and inherit land, which to an extent is ongoing as women heads are already recognized through the titling process, while joint spousal registration was discussed with all settlement beneficiaries during the planning process ii. Enhancing women’s decision-making capabilities on land they use, regardless of whether they are a named owner of the land or if their names appear on title deed. For example, women will be sensitised to know that a spouse cannot sell land without their consent and the role that the Land Control Board plays in enforcing the requirement of spousal consent thus acting as an avenue of safeguarding the rights of women on land ownership. iii. Addressing norms and customs for how women acquire land (e.g., purchase, inheritance), the quality of land they receive, and how land is transferred at marriage or a spouse’s death through the sensitization process. Particularly, succession processes when a male spouse dies will be highlighted to ensure women are not dispossessed of their right to ownership of the land previously held by their husbands. iv. Educating both women and men on the benefits of recognizing women’s land rights. 22 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 align road reserves, provide drainage canals etc.; iv. Displacement of settlements to reclaim public utility land; v. Land reservation for receptacles and waste collection centres, posts for security lighting; and, vi. Removal of structures to create room for trunk infrastructure such as water mains and hydrant points towards mitigating severity of fire disasters. According to KISIP Resettlement Policy Framework (RPF) 2014, there is insignificant potential for displacements within the KISIP project towns since the projects are being undertaken within the public/designated way leaves and reserves, and public land reserved for such purposes. However, given the land is public; there is potential risk for evictions especially where it concerns road way leaves. Even with minimal displacements, such may result to loss of means of livelihood, disruption of economic activities, persistent land- related conflicts, and displacements to poorly developed areas, inadequate and late compensation and environmental degradation. In order to mitigate the negative impacts of displacements of affected persons, Government of Kenya as well as international institutions have prepared guidelines and safeguard policies to cushion people from the potential negative impacts of forced displacements. Therefore, this chapter describes the relevant local and international policies and legislations that will apply to the displacement of Project Affected Persons in Kiaruhiu/Kariki informal settlement, Nyeri County. 3.2 The Constitution of Kenya of 2010 The constitution acts as the overarching law in matters of property including land, and displacement. Section 60 of Chapter 5 lays down the principles of land ownership and use as follows: i. Equitable access to land; ii. Security of land rights; iii. Sustainable and productive management of land resources; 23 iv. Transparent and cost-effective administration of land; v. Sound conservation and protection of environmentally 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 Kiaruhiu/Kariki informal settlement, planning and surveying is on public land therefore land acquisition is not applicable. The recognition of alternative dispute resolution mechanisms is aimed at expediting issues of land rights, transfer and supporting economic development. 3.3 The National Land Policy (2007) The National Land Policy (NLP) presents policy recommendations on issues of land rights and provides for strategies on dealing with land rights of vulnerable groups, minority groups, refugees and internally displaced persons, informal settlements, children and people living with HIV/ AIDS. Section 3.6 of the Policy is exclusive on Informal Settlements, the policy provides that to deal with the challenges presented by squatters and informal settlements, the Government shall: a. Take an inventory of genuine squatters and people who live in informal settlements; b. Determine whether land occupied by squatters is suitable for human settlement; c. Establish appropriate mechanisms for the removal of squatters from unsuitable land and their resettlement; d. Facilitate planning of land found to be suitable for human settlement; e. Ensure that land subject to informal settlement is developed in an ordered and sustainable manner; f. Facilitate negotiation between private owners and squatters in cases of squatter settlements found on private land; g. Facilitate the regularization of existing squatter settlements found on public and community land for purposes of upgrading or development; h. Establish a legal framework and procedures for transferring unutilised land and land belonging to absentee land owners to squatters and people living in informal settlements; i. Develop, in consultation with affected communities, a slum upgrading and 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 24 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 Kiaruhiu/Kariki informal settlement in Nyeri. The same section provides guidelines on gender and equity principles relating to land rights on matters to do with land and resettlement. It particularly makes provisions for joint spousal registration and documentation of land rights, and for joint spousal consent to land disposals, applicable for all forms of tenure. 3.4 Relevant Local Laws for Resettlement 3.4.1 The Environment and Land Court Act, 2012 The Act enacts Article 162(2) (b) of the Constitution; to establish a superior court to hear and determine disputes relating to the environment and the use and occupation of, and title to land, and to make provisions for its jurisdiction, functions and powers, and for connected purposes. The established Court has power to hear and determine disputes relating to; a. Environmental planning and protection, climate issues, land use planning, title, tenure, boundaries, rates, rents, valuations, mining, minerals and other natural resources; b. Compulsory acquisition of land; c. Land administration and management; d. Public, private and community land and contracts, choices in action or other instruments granting any enforceable interests in land; and e. Land administration and management; f. Any other dispute relating to environment and land. This shall be an important institution in case of grievances with regard to displacement that cannot be solved through the proposed ARAP grievance redress system. 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. 25 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 Kiaruhiu/Kariki informal settlement falls is classified as Public land hence invoking some sections of this Act. 3.4.3 The Valuers Act Cap 532 The Valuers Act is an Act of Parliament to provide for the registration of Valuers and the regulation of the valuation profession and practice in Kenya. Clause 21 of Cap 532 prohibits any person who is not a Registered Valuer and whose name does not appear in the register to prepare and submit a valuation report. The importance of these provisions is that a valuation report prepared by a person or firm not registered under the provisions of Clause 21 is invalid and cannot be used for the basis of compensation. The provisions of this Act are relevant to the proposed project as a Registered Valuer is required for the purposes of determining types and amount of compensation, whether the acquisition is going to be under Cap 295 or Cap 288 or World Bank OP 4.12. 3.4.4 The Prevention, Protection and Assistance to Internally Displaced Persons and Affected Communities Act, 2012 The provisions of this Act apply to all internally displaced persons that arise either through calamities, social conflict or development projects and are guided by the Bills of Right under the Constitution of Kenya. Section 5 of the Act lists development projects among the displacement factors and outlines involvement of the affected persons through awareness, sensitization, training and education on causes, impacts, consequences and prevention measures. Section 6 of the Act provides that displacements as a result of development project sites will only be justified by compelling and overriding public interest. The procedures to follow are listed under section 22 and include: - i. Justification as to why the displacement is unavoidable and that there is no other feasible alternative. ii. Seeking free and informed consent from the affected person iii. Holding public hearing on project planning iv. Provision of reasonable notice time to allow the affected persons review and react to the displacement conditions; and 26 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 Kiaruhiu/Kariki informal settlement. 3.5 KISIP’s Resettlement Policy Framework The main purpose of the RPF is to guide resolution of any displacement anticipated from project activities. The RPF conforms to OP 4.12 of the World Bank and anchored in the policy and legal provisions of the Government of Kenya pertinent to Involuntary Resettlement namely; - The National Constitution, Sessional Paper No. 3 of 2009 on National Land Policy, Chapter 288 of the laws of Kenya among others. OP 4.12 of the World Bank requires that an RPF be prepared for all projects that anticipate displacement of both settlements and livelihoods. Though minimal, if any displacement is anticipated from KISIP activities, this RPF: i. Provides for a policy, legal and institutional framework for responding to all displacement impacts occasioned by activities undertaken under KISIP. This policy covers direct economic and social impacts that both result from Bank- assisted investment projects, and are caused by:  the involuntary taking of land resulting in relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or  The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the project affected persons. ii. Offers choices among, and identify technically and economically feasible resettlement alternatives; and, iii. Puts in place modalities for providing prompt and effective compensation at full replacement cost for loss of assets attributable directly to the project and provide support during the transitional period to enable the affected people to improve or at least restore their pre-impact living standards. 27 3.6 World Bank’s OP 4.12 on Involuntary Settlement The World Bank‘s IRP outlines the conditions under which the World Bank will fund a project if it displaces persons or affects their social and economic wellbeing. The objective of the Bank‘s Resettlement Policy OP 4.12 is to ensure that population affected by a project receives benefits from it. The policy has the following key objectives: a. To outline measures to ensure that the affected persons are: - i Informed about their options and rights pertaining to resettlement; ii Consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and iii Provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project b. If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the affected persons are: - i Provided assistance (such as moving allowances) during relocation; and ii Provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. c. Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also includes measures to ensure that affected are: - i. Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and Kenya ii. Provided with development assistance in addition to compensation measures demanded by the policy; iii. Such as land preparation, credit facilities, training, or job opportunities. 3.7 Comparison between the Government of Kenya (GoK), and World Bank Guidelines GoK, and World Bank requirements are found to converge on some points such as the need for participation of all stakeholders, and consultation with project affected persons at every stage, need for mechanisms for addressing s mechanisms for project affected persons. The table 3-1 below provides a summative comparative analysis of the World Bank guidelines and the Kenyan Law context: 28 Table 3-1 A summative comparative analysis of the World Bank guidelines and the Kenyan Law context World Bank OP4.12 Kenyan Context Gap filling measures General ARAP Requirements Involuntary resettlement should be avoided wherever Involuntary resettlement possible in contexts of projects of Ensure that resettlement issues are possible, or minimized, exploring all alternatives. public interest e.g. the Land Act does not stipulate that considered at the design stage of the resettlement should be avoided wherever possible; on the project in order to avoid/minimize contrary, as long as a project is for public interest, resettlement and associated issues. involuntary resettlement is considered to be unavoidable. PAPs should be assisted in improving livelihoods etc. or at The Land Act 2012 guarantees the right to fair and just Implement World Bank OP 4.12 policy least restoring them to previous levels. compensation in case of relocation. Just and fair compensation as outlined in the Land Act is vague and can only be determined by NLC. In most cases, construed as market prices thus restoring to pre-project status. ARAP Process Requirements Grievance Redress Mechanism: For physical resettlement, Land Act 2012 clearly outlines the steps and process for Adopt both Kenyan legislation and appropriate and accessible grievance mechanism will be grievance redress that includes alternative dispute World Bank. established. resolution, renegotiation with NLC and is backed by the judicial system through Environmental and Land Court Act Eligibility Criteria The Land Act 2012 provides that written and unwritten Ensure ALL users (including illegal Determined by: agreements are recognized as valid land right. squatters, labourers, rights of access) of (a) those who have formal legal rights to land The Land Act 2012 provides that people eligible for affected lands are included in the census (b) those who do not have formal legal rights to land at the compensation are those holding land tenure rights survey and all compensation for loss of time the census begins but have a claim to such land or The Land Act 2012 also recognizes those who have assets will be at replacement value assets—provided that such claims are recognized under interest or some claim in the land such pastoralist or who and measures to restore livelihood the laws of the country or become recognized through a use the land for their livelihood. undertaken. process identified in the resettlement plan. The constitution recognizes occupants of land even if they Therefore, although O.P 4.12‘s recognizes eligibility as do not have titles and payment made in good faith to those both formal (legal) and informal owners of expropriated occupants. However, this is not mandatory and does not 29 land, it does not specifically recognize all users of the land apply to those who illegally acquire land and conflicts. to be compensated. The Traffic Act 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 the cut-off date as the date of The Land Act, 2012 is not specific on the cut-off date but completion of the socio-economic survey/census and asset proposes a final survey of land to be acquired before inventory of PAPs. Persons entering and/or occupying compensation is paid. Implement World Bank OP 4.12 policy land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation or resettlement assistance. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated. Measures: Cash based compensation should only be made where (a) Land Act 2012 appears to prefer mode of cash Ensure that all alternative options are land taken for the project is a small fraction of the affected compensation by the Government to the affected considered before providing cash asset and the residual is economically viable; (b) active population. compensation. markets for lost assets exist and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. World Bank OP4.12 Article 6(a) requires that affected persons are provided with prompt and effective Land Act talks of prompt, just compensation before the Use World Bank OP 4.12 procedures in compensation at full replacement cost for losses of assets acquisition of land. However, interpretation of just determining form of compensation attributable directly to the project. If physical relocation is compensation is yet to be clearly outlined through a Implement prompt and effective an impact, affected persons must be provided with specific schedule defining just compensation has not been resettlement assistance. assistance during relocation and residential housing, put in place. Therefore, Costs such as attorney‘s fees, cost housing sites and/or agricultural sites to at least equivalent of obtaining advice or cost incurred in preparing and standards as the previous site. making written claim not in the Land Act. Similarly, the Replacement cost does not take depreciation into account. Act does not out rightly stipulate assistance for relocation 30 In terms of valuing assets, if the residual of the asset being but can only be implied. 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 relocation The Land Act, 2012 is not specific on any other assistance Ensure that ALL resettlement options are should be determined prior to displacement, and to affected persons. Assistance ends at compensation. agreed on with PAPs and put in place preparation and provision of resettlement sites with prior to displacement of affected PAPs adequate facilities, where required. Displacement must not occur before all necessary measures for resettlement are in place, i.e., measures over and above simple compensation. O.P 4.12 proposes that measures for livelihood restoration The Land Act, 2012 is not specific on livelihood Implement World Bank OP 4.12 policy are considered during resettlement of PAPs. restoration. Valuation: Land Act 2012 talks of just compensation for the lost Apply the World Bank OP4.12 valuation With regard to land and structures, ―replacement cost is assets but it is not specific of the exact amount or measures, as outlined in part 6, in order defined as follows: procedures on the same. Interpretation of just to fully value all affected assets in a For houses and other structures, it is the market cost of the compensation has not been defined. consistent manner. materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labour 31 3.7.1 Supporting Principles In approaching rehabilitation assistance within the KISIP, provisions of both GoK and OP 4.12 of the World Bank will apply and where gaps are encountered, additional provisions in mitigation have been identified. Additionally, project development has been firmly anchored on principles aimed at mitigating displacement impact as follows: - a) Avoidance, minimization, mitigation and compensation of displacement: This project subscribes to the policy of minimization of displacement as follows: -  Investments proposed under KISIP within Kiaruhiu/Kariki are by design quite small and targeted at enhancing quality of life among the settlers. This has and will greatly minimise the need for displacement.  Revision of Physical Development Plans utilized existing way leaves. Thus, wherever permanent dwellings were potentially affected by a proposed PDP, the latter was redesigned to avoid major impact;  To the extent possible, projects will utilize public easements- sewer lines, other linear infrastructures etc. will be routed inside existing right-of-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-displacement levels. c) Assistance to vulnerable groups: The Project recognises the need for providing additional support to vulnerable groups so as to cushion them from impacts associated with the project and to facilitate faster adjustment in the new environment. Vulnerable households may have different land needs from most households, or needs unrelated to the amount of land available to them. d) Gender Empowerment and Inclusivity: The Constitution of Kenya Advocates for gender inclusivity at every level of decision making. In this regard, the preparation of Kiaruhiu/Kariki 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. 32 CHAPTER FOUR APPROACH AND METHODOLOGY 4.1 Introduction The preparation of this Resettlement Action Plan was guided by the project’s Resettlement Policy Framework (RFP). The RPF sets out the process to be undertaken in the preparation of ARAPs, and key components to be included in the ARAPs e.g. provision of socio-economic baseline information, policy, legal and institutional framework, grievance redress mechanism, public consultation, census of Project Affected Persons (PAPs) and assets, entitlement matrix, implementation schedule, budget, and monitoring and evaluation. At the conceptual stage, during project development, social and environmental analysis was undertaken to determine the nature and magnitude of the potential impacts on the environment, people and livelihoods; and to determine the level of environmental and social assessment required. The social analysis revealed that the project will lead to delineation of public utilities; alignment of the plot boundaries; and alignment of road wayleaves. This therefore triggers the World Bank’s safeguards policy OP 4.12 which requires the preparation of ARAP to ensure that all the Project Affected Persons (PAPs) are adequately compensated for the loss they are likely to incur. The methodology adopted in the preparation of this ARAP involved various steps. These steps are discussed in the following sections: 4.2 Review of Relevant Documents As a first step, and throughout the ARAP process, a number of key documents relating to KISIP project were consulted to provide guidance:  Project Appraisal Document (PAD) for KISIP which 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 displacement impacts.  Socio Economic Report for Kiaruhiu/Kariki 2017 covering the settlement to provide baseline information for design and monitoring project interventions.  Community Consultation Report Kiaruhiu/Kariki 2017 which documents community involvement in the identification and prioritization of project interventions.  Environmental and social screening report that informed the need for a ARAP  Survey Plans, Registry Index Maps (RIMs) and Physical Development Plans (PDPs). The maps provide for the main settlement access road (R1) minimum width of 12m and internal settlement roads (R2) require a minimum width of 9m or 29.7ft. 33 Therefore, any structure or livelihood within the above referred dimension was considered to be an encroachment. 4.3 Community and stakeholder consultation Public consultations were realized through community meetings; transect walks, and participatory planning and mapping. The aim of public consultation process was to identify the interests of the different stakeholders and draw consensus. Public participation is also constitutional requirement. Four community planning meetings were therefore held in the settlement. During these meetings, ARAP issues were discussed. 16 These meetings were: (i) one at the beginning of the planning process, (ii) One for presentation of the basemap for discussion and community input (iii) Draft LPDP presentation and discussion, and (iii) one for approval of the final socio – economic reports, LPDP and other reports. One ARAP sensitization meeting was held in the settlement. In addition, one GRM sensitisation meeting was also held. The details of the meetings are in table 4-1 below: Table 4-1 Community participation meetings Meeting Date Participants Male Fema Key issues discussed Session le Community 29th County Government of Nyeri 3 1 consultation March, Importance of planning, The meeting 2017 KISIP Nyeri 1 1 Planning process and scheduling National Government 1 1 of activities Community Members 33 34 Total 38 37 1st Planning rd 3 March, Community Members 50 41  Review of base map and session/Base 2017 community input into planning map process. presentation  Community members bring to attention of consultant that some settled in environmentally sensitive area. Draft LPDP 12th May, Community members 58 29  Presentation and discussion of presentation 2017 County Government of Nyeri 4 1 draft LPDP National Government 0 1  Environmentally sensitive area Ministry of Lands and 1 1 zoned out as green area. Physical Planning KISIP Nyeri 2 0  Need to resettle the PAPs in National Land Commission 1 1 the environmentally sensitive area and some proposal floated Total 66 33 including land redistribution, settling them on school land etc. 16 Some community members noted e.g. that some would be required to surrender some land or move and requested sufficient notice and time to do so, relocation of the beneficiaries in hazardous area among other issues. 34 Validation of 17th May, County Government of Nyeri 3 1  Draft Plan presentation, the plan and 2017 discussion and validation by National Land Commission 0 1 list of Community. beneficiaries Ministry of Lands and 1  Draft Plan incorporates the Physical Planning 0 PAPs previously located in National Government 1 1 environmentally sensitive area. Community Members 61 29  Cut-off date declared as 17th May 201717 Total 65 33 PAP 8th March, County Government of Nyeri 3 0  This recapped the ARAP verification 2018 process and discussed the draft National Land Commission 1 0 ARAP report before approval. Community Members 38 13 ARAP implementation process and proposed Grievances Total 42 13 redress mechanism discussed.  Verification of the PAP register  Cut-off date recapped GRC 19th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening Strengthening, 2018 County Government of Nyeri 1 1  Cut-off date recapped RAP, Planning  Recap of resolutions on and Survey National Government 1 1 community re-allocation/sub Issues division of land. resolution Community 46 21  Recap of voluntary movement by some PAPs before ARAP Total 48 25 completion 4.4 Census of the Project Affected Persons A household survey which included 100% census of the affected persons was undertaken in March, 2017. The local community represented by the SEC was vital in identifying and authenticating the PAPs i.e. the PAPs must have their structures within the settlement boundary and listed in the list of beneficiaries agreed during the validation of the LPDP and the list of beneficiaries. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons, ii. Identify affected assets and livelihoods for each PAP, i. Establish an accurate PAP register. ii. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates, and iii. Provide a baseline for monitoring and evaluation of the resettlement interventions. 17 Refer to Annex 2 for minutes during the RAP and GRC sensitization meetings. 35 A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation and economic activities, housing and health conditions. This information was used: i. To establish a list of PAPs; ii. To establish a socio-economic profile of PAPs based on existing conditions; and, iii. To provide a baseline for resettlement monitoring and evaluation The standard questionnaire was also used to collect an inventory of losses information from PAPs about assets that would be affected: i. Structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; ii. Business losses, by types. The information was provided by the PAP as required and validated by the team on the ground. The ARAP team ensured PAPs or their representatives were present during asset enumeration, thus the questionnaire was signed by the PAP or representative. In the event that the head of the household was not available at the time of asset inventory, a member of the household would sign and confirmed by the SEC member available. The PAPs were required to sign the asset inventory collecting tool (annex 4) to show a confirmation that it’s the true copy of the information collected. In the event that the head of the household was not available at the time of asset inventory, a member of the household would sign and confirmed by the SEC member available. 4.5 Inventory of Vulnerable Groups As part of the Socio-economic baseline survey (tool in annex 3), people considered to be disadvantaged as compared to rest of society were inventoried to ensure cushioning in the compensation process. According to KISIP’s RPF, such groups should include; i. Indigenous people: These are people who are closely tied to their traditional or customary lands and natural resources on these lands, but these lands may not be under legal ownership. Going by tradition, indigenous peoples are rarely encountered in urban centres and it is unlikely that any will be displaced under the KISIP. ii. Persons with Severe Disability: Such are usually disadvantaged in that their labour is challenged which makes them often unable to secure employment and locks them out of certain businesses. iii. Elderly persons: Elderly people without assets or investments and people to depend on suffer numerous vulnerabilities. Any impacts will affect their economic viability while displacement would damage their economic viability even more than losing land since it will separate them from the person or household on whom they depend for their support. 36 iv. HIV/AIDS afflicted persons: Relatively high percentages of the poor and total population are living with HIV or are terminally ill with AIDS. Many are beneficiaries of numerous health programmes from the government, international organizations and the NGO community. v. Orphans and street children: Due to the impacts of the AIDS pandemic, there are a considerable number of orphaned children, whose parents have died from AIDS related diseases. These children today fall into three categories of care namely (i) those being looked after by close relatives, (ii) those being looked after by the government, local authorities or NGOs and (iii) those living alone and providing for themselves and other siblings. These children are more vulnerable since they are often "voiceless" because they have no parents to defend or stand up for them. vi. Child workers: Numerous orphaned children will be encountered in Kenyan urban areas where they engage in any form of economic activity to provide for themselves and their siblings. Core occupation include activities such as manual work at open air markets, transporting loads for short distances, scavenging for waste paper and metals and other exploitative employment. vii. Widows and women household heads: women household heads rarely own the land that they farm (rendering them vulnerable to landlessness on divorce or widowhood). They are also more likely to experience difficulties in accessing credit, organising labour, or securing insurance. Kiaruhiu/Kariki informal settlement has 7 male and 16 female vulnerable PAPs. Female related vulnerabilities include widowed, elderly and being the household head. These vulnerable PAPs were identified for extra cushioning which includes additional cash support for the first three months for all vulnerable PAPs which has been included in the ARAP budget. In addition, relocation assistance (rental expenses) for vulnerable PAPs whose main dwelling structure is fully affected will be offered for the first three months during self-demolition, relocation and reconstruction of affected structure. Depending on the type of vulnerability, these groups will also through the County government of Nyeri Ministry of Gender, Social Services and Sports will 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 Kiaruhiu/Kariki informal settlement, an inventory of all the affected structures was taken to determine the number, their descriptions and size. This was to facilitate the valuation process. The information collected (using tool in annex 3) included the nature of the structure, materials used for construction, its size (measurements) and the PAP. The SEC and the PAP then signed the GPS tagged ARAP questionnaire (annex 4), to 37 verify the description given and a GIS based asset register was developed. This process was undertaken by the project ARAP specialist while valuation was done by a registered valuer. 4.6.1 Valuation of structures Valuation of structures was based on full replacement cost because the amount compensated is intended to facilitate construction of a new structure of similar materials. The rate adopted was inclusive of the cost of site preparation, building materials, labour, transportation and any other associated costs. These rates adopted were obtained from mixed sources including the Institution of Quantity Surveyors of Kenya and Ministry of Transport, Infrastructure, Housing and Urban Development. 4.6.2 Valuation of Trees The rates applied in valuation of trees were based on the market rate of similar trees. For non- fruit or timber trees, valuation of trees was based on total prices of timber products which could be harvested from the tree - less the necessary costs of harvesting, timber preparation, transportation and selling costs. For fruit trees, the productivity, age and market price of output was applied.18 Payment of PAPs for loss of trees is calculated on a net loss basis i.e. the difference between the number of trees lost less the number of trees gained. This is largely because some PAPs lost trees but also gained others during the planning and survey process e.g. through boundary realignment. KISIP will also through the relevant department of environment, Nyeri County Government avail seedlings to ensure that trees on road reserves are replanted on time. The community will also be sensitized to not cut the trees that come into their possession due to interboundary alignment as well sensitised on the elaborate processes involved in cutting trees i.e. notification to the Chief and obtaining a permit from relevant authorities etc. Those found in the newly created wayleaves will not be cut down during implementation but they will be reserved as community assets. 4.6.3 Valuation for Livelihood (Banana stems, coffee and tea bushes/plants) Valuation of all banana/coffee and tea bushes/plants was based on the value of the standing fruit/crop at harvest, determined by the average gross market value of fruits/crop for the three previous years, adjusted to take care of time to maturity and inflation. Market surveys were conducted to ascertain these prices. Given the majority of these banana/coffee/tea stems (90%) were affected due to boundary alignment, compensation will be for inter-boundary (Net loss i.e. stems lost to neighbours minus those gained from neighbours) and road wayleaves. 18 Given PAPs rely on the fruit only for home consumption. 38 Figure 4-1 shows the asset and livelihood valuation report preparation. 39 Asset and Livelihood inventory was established ARAP ensured data from various stakeholders including Surveys of Kenya, Ministry of Lands and other relevant parties was gathered Asset inventory was prepared Asset and Livelihood Valuation Roll was established Valuation was done by Registered Valuer Figure 4-1 Asset and Livelihood Valuation Report Preparation 4.7 Cut-off date In line with OP 4.12, the cut-off date normally, is the date the census begins. It could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. Here the latter applies. Persons entering and/or occupying land in the project area after this date and not included in the inventory of PAPs will not be considered eligible for facilitation. Similarly, fixed assets such as structures, established after the cut-off date will not be compensated. Establishing this cut-off date is essential in the process, as new inhabitants coming to the project affected areas after the cut-off date will not be considered for compensation. The Project Cut-off Date for Kiaruhiu/Kariki informal settlement was declared as 17th May 2017 after the final validation of the list of beneficiaries. 19 The PAPs were reminded on 8th March 2018 and 19th December 2018. 19 Refer to Annex 2 for minutes during the RAP and GRC sensitization meetings. 40 CHAPTER FIVE PUBLIC CONSULTATION AND PARTICIPATION Public consultation in relation to the ARAP occurs at all stages, starting with inception and planning when the potential land and alternative sites are being considered. A participatory approach was adopted as an on-going strategy throughout the entire project cycle. Public participation and consultations was done through individual, group, and community meetings. Selection of ways to consult, and expand participation by PAPs and other stakeholders, took into consideration gender, literacy levels prevalent in affected communities; ethnicity and cultural aspects; and practical conditions (like distance). Public consultations were realized through individual meetings e.g. during the socio-economic baseline survey, community meetings; and transect walks. Community consultations were held during socio-economic surveys to identify and prioritize project interventions based on the needs identified the resources available and the likely impacts of the proposed interventions. Before the ARAP process, 4 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. In addition, one PAP meeting was held to discuss the draft report. Details of these meetings are discussed in section 5.4 below. 5.1 Objectives of public participation The aim of public consultations was to identify the interests of the different stakeholders and draw consensus. Public participation is also a constitutional requirement. The objectives of the stakeholder consultations were:  To sensitize the community about the project and potential impacts on people and livelihoods;  Provide a platform for the community to air views and concerns which are relevant to the ARAP and which must be resolved,  Involve them in key processes of census and the undertaking of the affected asset inventory,  Provide an opportunity for the community to themselves propose the most appropriate mitigation measures for asset and livelihood losses,  To seek support from the community and other all relevant stakeholders in the preparation and implementation of the ARAP.  To discuss the draft ARAP report and its recommendations 5.2 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: 41 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 and/or livelihood due to the planning and surveying activities in Kiaruhiu/Kariki informal settlement. Most of the directly affected people were informed and consulted on major issues concerning displacement, livelihood rehabilitation and income restoration. They participated in the socio-economic survey. ii. Government Agencies  KISIP  National Land Commission  Area chief’s office  County government of Nyeri  Ministry of Lands and Physical Planning The two groups of stakeholders attended the ARAP meetings as shown in annex 2. 5.3 Community Meetings and issues raised Some ARAP issues were discussed during the planning meetings (shown in table 5-1). For instance, one of the recurring themes was the relocation of the PAPs settled in the area prone to landslides. The minutes and attendance lists have been annexed (annex 2). Table 5-1 Community Participation Meetings Meeting Date Participants Male Fema Key issues discussed Session le Community 29th County Government of Nyeri 3 1 consultation March, Importance of planning, The meeting 2017 KISIP Nyeri 1 1 Planning process and scheduling National Government 1 1 of activities Community Members 33 34 Total 38 37 1st Planning rd 3 March, Community Members 50 41  Review of base map and session/Base 2017 community input into planning map process. presentation  Community members bring to attention of consultant that some settled in environmentally sensitive area. Draft LPDP 12th May, Community members 58 29  Presentation and discussion of presentation 2017 County Government of Nyeri 4 1 draft LPDP National Government 0 1  Environmentally sensitive area Ministry of Lands and 1 1 zoned out as green area. Physical Planning KISIP Nyeri 2 0 42 National Land Commission 1 1  Need to resettle the PAPs in the environmentally sensitive Total 66 33 area and some proposal floated including land redistribution, settling them on school land etc. Validation of 17th May, County Government of Nyeri 3 1  Draft Plan presentation, the plan and 2017 discussion and validation by National Land Commission 0 1 list of Community. beneficiaries Ministry of Lands and 1  Draft Plan incorporates the Physical Planning 0 PAPs previously located in National Government 1 1 environmentally sensitive area. Community Members 61 29  Cut-off date declared as 17th May 201720 Total 65 33 PAP th 8 March, County Government of Nyeri 3 0  This recapped the ARAP verification 2018 process and discussed the draft National Land Commission 1 0 ARAP report before approval. Community Members 38 13 ARAP implementation process and proposed Grievances Total 42 13 redress mechanism discussed.  Verification of the PAP register  Cut-off date recalled GRC 19th KISIP 0 2  GRC sensitisation and sensitisation/ December strengthening Strengthening, 2018 County Government of Nyeri 1 1  Cut-off date declared RAP, Planning  Recap of resolutions on and Survey National Government 1 1 community re-allocation/sub Issues division of land. resolution Community 46 21  Recap of voluntary movement by some PAPs before ARAP Total 48 25 completion The following were the community concerns during the ARAP sensitization meeting Table 5-2 Community Concerns in the ARAP process Issue Response Some PAPs were concerned that during the An asset verification exercise was held in the settlement and initial asset inventory process, they were not captured any PAP that had not been documented. captured PAPs were concerned about compensation PAPs were informed that there would no facilitation for loss for loss of land of land since the land in the settlement was public land. PAPs inquired on when the facilitation The PAPs were informed that necessary procedures were would be availed. being undertaken to expedite the release of the facilitation. The PAPs were requested to exercise patience while the process goes on. 20 Refer to Annex 2 for minutes during the RAP and GRC sensitization meetings. 43 PAPs asked about what would happen to The PAPs were informed that facilitation for trees would be trees that had been inventoried but had been for an uncut tree. The PAPs were encouraged not to cut any cut by Kenya Power to enable electricity tree that had been inventoried. The fruit trees would still be connection before the disclosure of the harvested. ARAP The project resulted in localised displacement (but within the settlement) of 3 PAPs and impact on an additional 52 structure owner PAPs, and 4 PAP institutions (2 churches, 1 polytechnic and 1 police station). The 3 PAPs were residing in a landslide prone area within the settlement. The issue of the localised displacement was discussed in the community meetings. The PAPs noted that they reside on a fragile area and sought to be considered for better grounds. The community acknowledged that the 3 PAPs settled within the environmentally fragile area are part of the community and should not be left out in the titling process. Therefore, the community voluntarily agreed to accommodate the them within the settlement, and all beneficiaries will therefore receive a title.21 The community were informed that loss of land will not be compensated since the land is public land. They agreed to voluntarily have segments of land utilized for road wayleaves alignment during the planning process. They were happy that the project will regularise tenure in their settlement, noting that they had been side-lined for development due to insecure tenure. It was difficult for them to have long term investments on the land due to the tenure regime. With secure tenure, the community will be motivated to invest in the land they live on. The beneficiaries were concerned about the road sizes in their settlement. 21 Initially, 5 PAPs were marked for localized displacement. The community agreement covered all 5. However, during surveying, the surveyor confirmed that 2 were on safe ground and these were beaconed in their current position. 44 CHAPTER SIX PROJECT IMPACTS 6.1 Introduction According to the Resettlement Policy Framework Project Affected Person(s) (PAPs) are persons affected by 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. In Kiaruhiu/Kariki, the project resulted in local displacement of 3 PAPs (but accommodated within the same settlement), impact on additional 64 structure owner PAPs and 6 PAP institutions (i.e. 3 churches 1 polytechnic, 1 community owned women group, and 1 police station). There was no loss of private land in Kiaruhiu/Kariki 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 or infrastructure was affected. An asset register (annex 1) has been compiled to show the losses experience by each PAP in the settlement. 6.2 Positive Impacts of the Project Given the trends in urbanization and slum populations, slum upgrading interventions may be an important component of the development process. However, investing resources in slum upgrading projects should ideally be based on clear evidence of which specific interventions should be given priority because they are more effective. The following are some of the gains the beneficiaries in Kiaruhiu/Kariki informal settlement are going to experience from planning and surveying and issuance of title deeds (tenure regularization) of their settlement: 6.2.1 Secure land tenure The main objective of this assignment is to provide land tenure security in Kiaruhiu/Kariki informal settlement. Secure land tenure is seen as an important means of improving the standard of living of those living in the informal settlement. With secure land tenure, those living in the informal settlement can make long – term investment commitment in the land, which would not be possible in the present circumstance characterized with persistent fear of dispossession or land been grabbed. Kiaruhiu/Kariki informal settlement has a long history having been established in the 1950s 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. This fed into feelings of discrimination and marginalization as expressed 45 by some of the community members who are elderly and have lived in the settlement since the 1960s. 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. As expressed in community meetings, this will be a big relief to the inhabitants who have waited for decades for title deeds. With secure land tenure, it is possible to expect increased interest in the development of the land by the land owners as well as County and National Governments. 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 34 of the 111 direct beneficiaries are women.22 6.2.3 Improved housing Housing in Kiaruhiu/Kariki settlements is of poor quality made up of rusted roofing, timber walling and flooring. These conditions may be attributed to insecurity of tenure in the settlement. With the tenure of the land secured, it is expected that the beneficiaries in Kiaruhiu/Kariki informal settlement will invest in better housing for their families. 6.2.4 Improved infrastructure Although the informal settlement is connected to good road network (tarmac) (apart from a 300m murram stretch adjacent to it), lack of basic infrastructure within the settlement is a major issue. Accessibility in the informal settlement is a major challenge as roads are poorly designed and developed. While it is recognized that this is an informal settlement, roads that guarantee accessibility must be provided for. In addition, although currently a rural settlement within a municipality, it is expected that urban land uses will take root in the settlement in future. So, planning for road network must take into consideration possibility of land use transformation from rural to urban land uses. Thus, the LPDP proposes 10m, 9m and 6m roads within the settlement to promote accessibility and circulation (see figure 2.3). 6.2.5 Conservation of Environment and Environmentally fragile areas An important river, i.e. River Kururu serving the village with water runs through the settlement. The river is an important source of water for domestic, livestock and irrigation. The river drains from Mt Kenya just a few kilometers away, so it has high quality water beneficial to the community. Also, sections of the village are steep requiring prudent management. Some sections of the settlement are at risk of landslides, especially the southern part of the village fronting the upper side of the river. The riparian reserve is under threat from cultivation within and around it 22 Continuous sensitization by KISIP and Land Registrar will lead to increased number of female beneficiaries. 46 as well as intensive grazing. Therefore, the riparian reserve lacks the much-needed vegetation cover. The river is also exposed to pollution risks from households and farms. Furthermore, the riparian reserve is exposed to erosion due to lack of vegetation cover. The PAPs that were settled in the area were accommodated to other areas within the settlement – following the contribution of an equal amount of land amongst the community members. In addition, following impact on 1287 trees, KISIP and Area Chief will undertake sensitization aimed at ensuring the community does not cut the trees. Trees on road wayleaves will be conserved as community assets. Tree seedlings will also be provided to ensure these are re- established on time.23 6.3 Negative impacts of the project Majority of the affected structures belong to 67 structure owner PAPs whose gender distribution is shown in table 6-1 below. Table 6-1 Project impacts according to gender Category Number Distribution Male PAPs 49 73% Female PAPs 18 27% Total 67 100% 6.3.1 Reduction of Plot/parcel size Kiaruhiu/Kariki informal settlement sits on public land; therefore, the beneficiaries did not experience loss of private land. However, the beneficiaries in Kiaruhiu/Kariki informal settlement experienced reduction/minimal loss of initial plot sizes due to alignment of road wayleaves and the need to resettle the 3 PAPs who were displaced. To minimise significant loss of plot sizes during the planning exercise, the following measures were adopted: a. The lowest possible road hierarchy was adopted. In Kiaruhiu/Kariki road hierarchy of 10m, 9m and 6m roads was adopted in the plan instead of 15m and 12m roads. This ensured that the reduction of plot sizes in the affected plots is minimized. b. To accommodate the 3 PAPs that experienced localized displacement, each beneficiary contributed equal share of their ‘plots’. This ensured the beneficiaries shared the loss of the plot sizes, and no beneficiary fully lost his/her piece of land. 6.3.2 Loss of Structures Loss of structures is the main type of loss identified, where the structures that lie on the proposed road way leaves are majorly of temporal nature (wooden walls and earthen floors). The structures are used mainly as for dwelling units by the owners and include main houses, pit latrines and kitchens as shown in table 6-2. The impact on the structures will be two-fold: 23 Assumption is that these trees will be cut one day to pave way for infrastructure. 47 i. Total loss: where the whole structure will need to be removed or where the residual will not be viable and functional. 71 structures were affected by this type of loss. ii. Partial loss: where part of the structure will be affected, and the residual will still be viable and functional with reconstruction/repairs. 44 structures were affected by this loss. Table 6-2 Affected structures in Kiaruhiu/Kariki Informal settlement Type of Affected by road Affected by boundary Total Distribution of the structure alignment alignment structures affected Residential 13 34 47 40.8% houses Pit latrines 12 10 22 19.1% Gates 3 0 3 2.6% Fences 5 1 6 5.2% Kitchens 2 7 9 7.8% Bathrooms 1 0 1 0.9% Animal sheds 5 18 23 20.1% Water pipe24 3 1 4 3.5% Total 44 71 115 100% Construction materials for residential houses was analysed and results show that all but one are constructed using galvanised iron roof, timber off cut walls and earth floor. This is an indicative of poor living conditions. Table 6-3 shows that typical kitchens in Kiaruhiu/ Kariki have been 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 Kiaruhiu and Kariki informal settlements Construction materials Number Distribution of the construction materials GCI roof timber off cut walls earth floor 5 55.6% GCI roof GCI wall earth floor 1 11.1% GCI roof timber wall earth floor 2 22.2% GCI roof, Polythene wall, Earth floor 1 11.1% Total 9 100% 6.3.3 Loss of trees Kiaruhiu informal settlement is endowed with trees. These trees include indigenous trees such as Meru oak and planted trees such as eucalyptus. Following boundary alignment and road alignment, a total of 1287 trees (166 commercially non-viable fruit trees and 1121 non fruit or 24 Owned by PAPs and a church as indicated in Table 6.5. Sufficient compensation is provided for to allow the PAPs buy new pipes and pay for the labour to allow reconnection. 48 timber trees) are affected. However, following inter-boundary readjustments, PAPs who lost trees, also gained trees from the neighbours. Compensation will be provided based on the valuation of affected trees on a net loss basis. In addition, additional seedlings will be provided to the community for re-establishing trees on road reserves25 as well as sensitization of the community not to cut down the affected trees that come into their possession. 6.3.4 Loss of livelihood 14 PAPs will lose their livelihood due to impact on banana stems, tea and coffee plants. Bananas are particularly a high value crop in parts of the central highlands. 12 PAPs will lose 99 banana plants, 1 PAPs will lose 11 coffee plants while 1 PAP will lose 60 tea bushes. The impact of the project to these PAPs will be loss of fruits (i.e. bananas) that they sell and/or loss of income from sale of coffee berries and tea leaves. The livelihood activities for these PAPs will need time to re-establish to their current position. Compensation for this loss will consider complete restoration of PAPs livelihood26 6.3.5 Increased vulnerability among the PAPs As part of the Socio-economic baseline survey, people considered to be vulnerable as defined earlier in Section 4.5 were enumerated to ensure provision for vulnerability support and additional assistance in the compensation process. In total, 23 PAPs were identified as vulnerable; 7 male and 16 female PAPs. The table 6-4 below shows the breakdown of the PAPs vulnerability in the settlement. Compensation and relocation assistance for the vulnerable PAPs has been provided for in this ARAP. Table 6-4 Types of vulnerability, Kiaruhiu informal settlement Type of vulnerability Men Women Elderly 7 0 Elderly and household head 0 1 Household head27 0 14 Widowed household head 0 1 Total 7 16 6.3.6 Summary of losses In summary, the following are the number of assets affected in Kiaruhiu informal settlement: 25 Assumption is that these trees will be cut one day to pave way for infrastructure. 26 Compensation will include total number of plants lost minus the total number gained from the neighbour as well as those lost to Road Wayleaves. 27 Due to a number of factors including never married, divorced, separated etc. 49 Table 6-5 Classification of losses experienced in Kiaruhiu informal settlement Type of structure Assets Assets Assets Assets Number of owned by owned by owned by owned by Assets individual churches polytechnic police affected PAPs station Residential houses 46 0 0 1 47 Pit latrines 20 1 1 0 22 Gates 2 0 1 0 3 Fences 4 0 1 1 6 Kitchens 9 0 0 0 9 Bathrooms 1 0 0 0 1 Animal sheds 23 0 0 0 23 Water pipe 3 1 0 0 4 Non-fruit trees 1,080 36 0 5 1,121 Fruit trees 166 0 0 0 166 Banana trees 99 0 0 0 99 Tea Bushes 60 0 0 0 60 Coffee plants/stems 11 0 0 0 11 Table 6-7 below shows the type of losses experienced in the settlement and the number of PAPs in each type of loss. Table 6-6 Types of losses with number of affected PAPs Type of PAP Structure owner Livelihood Vulnerability Structure owner PAPs 67 14 23 Tenants 0 0 0 Institutional PAPs 6 0 0 It is important to note that some PAPs experience multiple losses e.g. both loss of structure and/or livelihood and vulnerability The breakdown of the losses experienced by the PAPs is as follows: Table 6-7 Breakdown of losses experienced by PAPs Type of loss Male Female Institution Loss of structures only 9 2 1 Loss of non-fruit trees only 4 1 2 Loss of tea bushes 1 0 0 Loss of coffee trees 1 0 0 Loss of structures, fruit trees and non-fruit trees 7 4 0 Loss of structures and fruit trees 2 1 0 Loss of fruit trees and non-fruit trees 6 1 0 Loss of structures, bananas and non-fruit trees 2 1 0 Loss of structures, non-fruit trees, bananas and fruit trees 3 3 0 Loss of structures and non-fruit trees 12 3 3 Loss of fruit trees only 1 0 0 Loss of structures, fruit trees and bananas 0 1 0 Loss of bananas and non-fruit trees 1 1 0 Total 49 18 6 50 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 March, 2017. The purpose of the census was to: i. Enumerate and collect basic information on the affected persons ii. Identify affected assets and livelihoods for each PAP iii. Register the affected population iv. Establish a list of legitimate beneficiaries before the project’s onset that counters spurious claims from those moving into the project area solely in anticipation of benefits v. Establish socioeconomic baseline information for the purpose of establishing fair compensation rates vi. Provide a baseline for monitoring and evaluation of the resettlement interventions A standard questionnaire was used to collect basic PAP census information including household members by age, sex, relationship to head of household, education and occupation 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 (i) structures by construction type, use, area, ownership/use rights and location, as well as the extent of loss; (ii) business losses, by types. The information was provided by the household head as required and validated by the team on the ground. The questionnaire was accompanied with photographs of the household head and key affected assets. The questionnaire was signed by the household head or representative. During the census, requisite procedures were followed. This included notifying people; collecting data, validating the collected data, approval and disclosing information on eligible PAPs and affected assets. The ARAP team ensured household head or their representatives were present during asset enumeration. The household heads were required to sign the asset inventory collecting tool to show a confirmation that it’s the true copy of the information collected. 7.2 Socio-economic characteristics of PAPs Planning and surveying of Kiaruhiu/Kariki informal settlement resulted in 67 structure owner PAPs and 6 PAP institutions (i.e. 1 polytechnic, 3 churches, one community based women organization and 1 police station). This section contains baseline data on the 67 structure owners. The mean household size is 3 people. The highest household size was 4 and the lowest is 2. The total population affected is 224 people. 51 7.2.1. Gender More male PAPs (73%) were affected by the project than female ones (27%) Figure 7-1 PAP gender 7.2.2. Marital status The marital status for the PAPs is illustrated in figure 7-2 below Figure 7-2 PAPs marital status 7.2.3. Education status 57% of the PAPs have the highest education level at primary school while only 5% have attained a college education. 4% have no formal education at all. Figure 7-3 Education level for PAPs 52 7.2.4. Occupation 5% of the PAPs are unemployed while 60% are gainfully employed as casual labourers (figure 7-4). Figure 7-4 Occupation of PAPs 7.2.5. Income Income poverty seems to be rampant in Kiaruhiu settlement scheme, given that many PAPs (52%) earn less than 5,000 shillings per month. This explains the rampant poverty in Kiaruhiu settlement. Figure 7-5 Monthly Income 7.2.6. Characteristics for other Household members The average age for other household members is 19. 12% of the household members had attained a college/university education and 27% had primary education (figure 7-6). 53 Figure 7-6 Education profile The occupation profile showed in figure 7-7 shows that majority of the household members are casual labourers. Figure 7-7 Occupation profile 7.2.7. Housing typology As shown in plate 7-1 below, dwelling units are typically temporary. Most structures are old and poorly maintained. This is closely linked to the insecure land tenure, which discourages dwellers from investing in better housing. Most structures are made of rusty iron – sheet roofs and timber walls. Plate 7-1 A section of typical dwelling units in the village 54 7.2.8. Disease prevalence The epidemiological profile of Kiaruhiu settlement village indicates that the burden of disease is dominated by waterborne diseases. About 93 percent of the PAPs sought healthcare in the public hospital, with only 5 percent seeking healthcare from a private facility. 7.2.9. Sanitation The causes of morbidity and mortality in the country are largely driven by the underlying determinants of health that relate to factors in the household/individual, environment, and the health system. Factors of environmental deficiencies include poor access to clean water and adequate sanitation, environmental degradation and its resultant stresses, presence of vectors, and other disease carrying variables (WHO, 2016). The survey data revealed that 76 percent of PAPs in Kiaruhiu had access to pit latrine toilet services, with only 23% with no access to toilet or bathroom facilities (figure 7-8). Figure 7-8 Access to Toilet This meant that toilet facilities were inadequate and that most of the PAPs use pit latrines. This is an indication of poor sanitation. Figure 7-9 reveals that there is a shortage of own bathrooms in Kiaruhiu settlement. This is attributed to the lack of a sewerage system and the type of structures constructed for residential use. Figure 7-9 Access to Bathroom 55 7.2.10. Waste disposal A majority of the PAPs had access to waste bin (59%) that was located inside their structure, with 41 percent disposing their waste outside their structure. 7.2.11. Source of water A majority of the PAPs in Kiaruhiu sourced their water from the river (78%). Only 2 percent reported obtaining their water from another source other than rain water, shallow well and the river. The details are provided in Figure 7-10 below. Figure 7-10 Source of Water This reveals that there is need to provide water infrastructure that will ensure that they are not susceptible to water borne diseases, prevalent in communities where their main source of water is the river. 7.2.12. Vulnerable groups As part of the Socio-economic baseline survey, people considered to be vulnerable as defined earlier in Section 4.5 were enumerated to ensure provision for vulnerability support and additional assistance in the compensation process. 7 male PAPs were identified as vulnerable since they had 65 years and above. 16 women were further identified as having other vulnerabilities as shown previously in Table 6.4. 56 CHAPTER EIGHT MITIGATION OF IMPACTS 8.1 Introduction World Bank’s Safeguard Operational Policy O.P. 4.12 on ‘Involuntary Resettlement’ requires that displaced persons should be compensated at full replacement cost. Under this policy, displaced persons should be:  Compensated at full replacement cost prior to the actual move;  Supported during the transition period, and/or income restoration measures and support to vulnerable groups offered. 8.2 Eligibility Criteria The entitlement matrix defines the type of compensation and assistance to be provided to the different categories of project affected persons. The following principles will guide payment of compensation for lost assets  Compensation shall be paid prior to displacement;  Compensation shall be extended to all PAPs irrespective of tenure status;  Compensation will be at replacement cost meaning that replacement of assets with an amount sufficient to cover full cost of lost assets and related transaction costs.  Compensation for structures shall include the full cost of materials and labour required for reconstructing a building of similar surface and standing. In other words, the affected person must be able to have their structure rebuilt in a different location using the compensation paid for the old building. Depreciation will not be taken into account while calculating the cost of affected structures. The Compensation package will also include cost of moving, such as transport costs.  In case of physical displacement, PAPs will also be offered support after displacement during transition period and based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living. All efforts will be made to resettle the physically displaced families within the same settlement to enable them to retain their identity and continue their inter-personal and inter dependency relations.  PAPs will be offered livelihood restoration support, where the income sources are impacted. The affected persons, irrespective of their status, are eligible for some form of assistance if they occupied the land or engaged in any livelihood income-generating activity at the affected sites before the entitlement ‘cut-off date’ which has been taken as 17th May, 2017 after the completion of the socio-economic survey and validation of the list of beneficiaries and PAPs. All persons affected by the project and meeting the cut-off date requirements will be entitled to a combination of facilitation packages and resettlement assistance depending on the nature of ownership rights on lost assets and scope of the impacts. 57 As part of the Socio-economic baseline survey, people considered to be disadvantaged as compared to rest of society were inventoried to ensure provision of soft landings in the compensation process. In this case, Kiaruhiu/Kariki informal settlement recorded 23 vulnerable PAPs. This group of vulnerable persons were identified for extra cushioning in the compensation process including additional cash transfers. Depending on the type of vulnerability, these groups will also through the County government of Nyeri Ministry of Gender, Social Services and Sports be recommended for additional assistance through other government of Kenya programmes. Such programmes may 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 receive specific assistance or services in the ARAP implementation process e.g. assistance in reconstruction of structures. This will be on a case by case basis where the SEC will be requested to identify these cases, with the consent of the PAP. This will require the SEC in consultation with the PAP, to identify artisans to be involved in the reconstruction, and in collaboration with the County KISIP team, and County government, provide oversight, supervision and quality control of the structures been constructed. 8.3 Notification After the issuance of title deeds (which will be issued concurrently with compensation), the PAPs will be served with adequate notice of minimum 30 days to self-demolish salvage and rebuild affected structures within their new boundaries. All the stakeholders in the project will also be notified of the self-demolition notice through a community meeting. The County Government will be allowed to demolish any structures on the roads after expiry of the notice period. 8.4 Compensation Payment Protocols The RAP Implementation Committee will verify the correctness of each PAP as stated in the register. KISIP RIC will carry out a sensitization (meeting to be held in the settlement) on opening of joint accounts and appropriate use of compensation funds for PAPs. Part of this sensitization will include discussions on the importance and need for disclosure of full facilitation payment to both spouses and the need for both to sign for the payments so as to ensure funds are utilized well. In addition, it is recognised that the cutting down of the affected trees will not happen as the PAPs will be advised and sensitised by KISIP (through the Nyeri County Government relevant department) that trees will not be cut. The trees that remain on road reserves will be community assets. KISIP will then allow PAPs to open individual and joint accounts with financial institutions of their choice. KISIP will confirm and verify the PAP and Asset registers and acquire more details on the PAPs, which will include their telephone numbers and their bank account numbers. 58 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 N TYPE OF PAP ENTITLEMENTS O LOSS CATE GORY A. Loss of structures 1 Partial loss Squatter  Cash compensation at replacement cost without depreciation but residual  Repair costs equivalent to 25% of the compensation viable  Right to salvage material 2 Fully Squatter  Alternative accommodation where possible, or affected/part  Cash compensation at replacement cost without depreciation affected and  One-time shifting allowance of Ksh. 2500 where main dwelling unit is remaining fully affected. structure is  Housing allowance of 2500 for 2 months where main dwelling unit is non-viable fully affected. Where localised displacement is involved (i.e. movement from one parcel to a different parcels, an additional 1 month housing allowance for PAPs).  Right to salvage materials.  Additional cash support of Ksh. 2500/month for the first three months as rental expenses for vulnerable PAPs who experienced localised displacement. B. Support to vulnerable groups (Elderly, Widows and Female Headed Households)  Additional cash support of Ksh 2000/month for the first three months  On a case by case basis, assistance in reconstruction of structures.  The names of the elderly PAPs will (through the County government of Nyeri Ministry of Gender, Social Services and Sports) be forwarded for additional assistance in programmes that include the unconditional cash transfer programmes such as the Inua Jamii 70 years and above cash transfer programme and the Older Persons Cash transfers (OPCT) programme. C. Loss of crops (bananas, tea and coffee)  Right to harvest seasonal fruits  Value of the standing fruit/crop at harvest, determined by the average gross market value of fruits for the three previous years,  1 year (market value) for output fruit to allow for reestablishment of livelihood. Cost of buying replacement banana stump, tea and coffee bushes/plants. D. Loss of Trees  Right to harvest fruits prior to facilitation/Compensation of the 59 affected trees during implementation of the ARAP.  Cash Compensation equivalent to the market value of similar fruit and non-fruit trees.  For trees affected and preserved as community asset on roads, KISIP to provide seedlings to ensure re-establishment28. 28 Assumption is that these trees will be cut one day to pave way for infrastructure. 60 CHAPTER NINE GRIEVANCE REDRESS MECHANISM 9.1 Overview Regardless of its scale, involuntary resettlement inevitably gives rise to grievances among the affected population over issues ranging from rates of compensation to eligibility criteria. It is important to address these grievances in a timely manner to facilitate the resettlement process and the implementation of the project. Grievance procedures may be invoked at any time, depending on the complaint and on the people involved. The Nature of grievance to be solved by this GRM include. a) Grievance related to issuance of Title Deeds to beneficiaries b) Misidentification of assets or mistakes in valuing them; c) Dispute over the ownership of a given asset (two individuals claim to be the owners of this asset); d) Disagreement over the valuation of the asset; e) Successions, divorces, and other family issues, resulting in disputes between heirs and other family members, over ownership or ownership shares for a given asset Therefore, this ARAP has identified procedures to allow affected people to lodge a complaint or a claim without cost and with the assurance of a timely and satisfactory resolution of that complaint or claim in which case, dialogue is a vital element. The grievance redress mechanism is designed with the objective of solving disputes at the earliest possible time which will be in the interest of all parties concerned and therefore implicitly discourages referring such matters to the Courts which would otherwise take a considerably longer time. The grievance procedure will be simple, administered as far as possible at the local levels to facilitate access, flexible and open to various proofs. In addition, and in following the principles of simplicity and avoidance of parallel GRMs, the project has a singular grievance redress mechanism for tenure regularization as well as ARAP related grievances such as compensations. The grievance mechanism presented in the following sections of this ARAP will therefore include those related to issuance of titles, thus the representation by a surveyor and land administrator in the RAP Implementation Committee level. Grievance redress is anticipated at 3 levels namely: - (i) The first tier will allow for amicable review and settlement of the grievance at the settlement level (ii) The second tier will involve the RIC in case the grievance cannot be solved at the first level 61 (iii)The third tier will be the option of allowing the agrieved 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 19th 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 5 members of the SEC who already act as the GRC continue to serve so. The indication was an effort to change the members would create confusion as the community already knew whom to approach in case of grievances. 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, 5 members of the SEC were designated as the SGRC. The 5 are enjoined by the Location Chief who chairs the committee. 9.2.2 RAP Implementation Committee In case the grievance is not resolved at first tier, the SGRC handling resettlement-related grievances will be enjoined by the proposed RAP Implementation Committee (RIC) of KISIP and one representative of County Administration (e.g. Assistant County Commissioner). The RIC is a proposed committee in KISIP according to the RPF. In addition, while the document proposes an elaborate composition for RIC, for the relevance of this ARAP related to planning and survey, the following are the recommended members the committee is comprised of: From KISIP National PCT: a) Head of Component 1 b) Environmental and social safeguard specialist c) Community Development specialist d) 3 members from Component 2 – Surveyor, land administrator and valuer e) KISIP Finance Officer From the County 62 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. 63 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. 64 9.3.2 Step 2: Determination of Corrective Action If in their judgment, the grievance can be solved at this stage and the GO and SGRC will determine a corrective action in consultation with the aggrieved person. A description of the action, the time frame within which the action is to take place, and the party charged with implementing the action will be recorded in the grievance register. Grievances will be resolved and the status reported back to complainants within 14 days. If more time is required, this will be clearly communicated in writing and in advance to the aggrieved person. In cases that are resolvable within the stipulated time, site investigations will be undertaken and results discussed with the affected persons. In some instances, it may be appropriate to appoint independent third parties to undertake the investigations. 9.3.3 Step 3: Meeting with the complainant The proposed corrective action and the time frame in which it is to be implemented will be discussed with the complainant within 14 days of receipt of the grievance. Acceptance of the agreement and corrective action will be documented, with the complainant appending the signature. If no agreement is reached Step 2 will be revisited. 9.3.4 Step 4: Implementation of Corrective Action Agreed corrective actions will be undertaken by the party agreed by SGRC within the agreed time frame. The date of the completed action will be recorded in the grievance register. 9.3.5 Step 5: Verification of corrective action To verify satisfaction, the aggrieved person will be approached by the GO and SGRC to verify that the corrective action has been implemented. A signature of the complainant will be obtained and recorded in the grievance register (see Step 3). If the complainant is not sati sfied 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 65 to the GO, who will communicate this to the complainant. If satisfied, the complainant signs to acknowledge that the issue has been resolved satisfactorily. The RIC has 14 days to resolve the grievance. If the complainant is not satisfied, however, the complainant notes the outstanding issues, which may be re-lodged with the Grievance Committee or the complainant may proceed with judicial proceedings. 9.3.7 Step 7: Alternative Action/Judicial Recourse and National Land Commission In case this mechanism will not lead to resolution of the grievance, the complaint is free to seek redress at the courts of law at any given time. 9.4 Terms of Reference for the Grievance Redress Mechanism Committee The Terms of Reference for the Grievance Redress Mechanism Committees will be as follows:  Address all forms of grievances relating to the implementation of this ARAP expeditiously and impartially.  To consult with all the relevant parties involved in the disputes in the process of seeking solutions, and further to seek technical advice where necessary to reach a verdict  Document the grievance handling process from the time a complaint is received to the final determination. To this end, the committee shall maintain a grievance register, minutes of all meetings held to address grievances, and correspondences  To notify the concerned parties promptly once a verdict has been reached, and the next steps. The grievance redress form (annex 5) includes components like name of the recorder; definition of the grievance, information about the complainant and the details of grievance. 9.5 Effectiveness of the Grievance Redress Mechanism The following measures are proposed to ensure the effectiveness of the Grievance Redress Mechanism:  The SGRC and the RIC will be trained on their roles and the process flow before the start of ARAP implementation.29 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,30  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. 29 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. 30 Refer to the implementation schedule/table 10.3 for timelines. 66  The community will be sensitised by the RIC about the proposed GRM through community level meetings.31 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. 31 Part of this sensitisation was carried out in December 2018. Refer to the implementation schedule/table 10.3 for timelines for more sensitization. 67 Level 1 Levelwith Registration of the grievance 2 GO and resolution by SGRC (14 days) Registration of the grievancewith GO and resolution by SGRC (14 days) Level 3 2 Forward findings Forward findings Complainant and and YES YES satisfied with NO recommendations recommendation outcome s to to RIC Mediation Committee Grievance Final closure Final closure YES YES Complainant processing satisfied with by outcome RIC Mediation committee (14days) (14days) NO NO Level 3 Complainant seeks legal redress Figure 9-1 Grievance redress procedure 68 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 KISIP RAP Implementation Committee (RIC) for Nyeri County whose composition is outlined in this ARAP. Government Institutions and their responsibilities in implementation of this ARAP are outlined in the table 10-1 below: Table 10-1 National and County Government (ARAP) Implementing Institutions No. Institution Role Capacity 1. Ministry of  It houses the KISIP project and provides for The Ministry has the Transport, policy direction. capacity for implementation Infrastructure, of this ARAP Housing and Urban The Ministry has the Development capacity for infrastructure improvement in the planned settlements 2. Ministry of Lands  It handles land tenure matters and issues The Ministry has experts in and Physical titles the necessary key areas: land Planning 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 of The commission has the Commission the county governments. capacity to this mandate  It is responsible for allocation public land 5. Nyeri County  Clearance of structures if people don’t The County has experts in Government self-demolish after notice period and both social and compensation environmental safeguards.  Part of grievance redress mechanism  Recommendation of vulnerable PAPs for additional assistance to relevant actors.  Delivery of other assistance to PAPs will be the responsibility of county governments under the coordination of respective RICs e.g. allocation of trading space as this is a devolved function. 69  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 10.2.1 KISIP Project Coordination Team The overall coordination of the whole process, from development to implementation and monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit has the following roles: i. Overall supervision and coordination of the entire process from conception to implementation ii. Ensure compliance is adhered to in as far as all legal, policy and quality control is concerned including compliance with agreed implementation procedures and guidelines iii. Ensure fair play and adherence to law and timely facilitation/compensation to PAPs. iv. Bid and procure the required consultants for different assignment in the implementation of the ARAP. v. Provide necessary support and capacity building to other engaged institutions in local level. vi. . Prepare Progress Reports on the implementation of the environmental and social safeguards. vii. Supervise ESMF/RPF implementation during and after project implementation. viii. Ensure integration of EMPs and ARAPs into Contract and Bid Documents. ix. Ensure adequate community participation. The KISIP PCT has a safeguards team that is responsible for ensuring that project meets its obligations under the ESMF and RPF. 10.2.2 KISIP RAP Implementation Committee (RIC) A RAP implementation Committee, appointed by the Project Coordinator is proposed and will have the overall responsibility of monitoring and evaluation of the resettlement process. While the RPF proposes an elaborate composition for RIC, for the relevance of 70 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) 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 PAPs. 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. (iv) 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. 71 10.2.3 County KISIP Team 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. 10.2.4 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 RAP development and is expected to continue playing an active role in monitoring its implementation. The settlement executive committee role is crucial in the RAP 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 relocate or 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. 72 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 RAP Implementing Institutions 10.3 Gender Empowerment Initiatives Gender inclusivity is one of the guiding principles of this ARAP. However, as noted earlier in this report, land ownership ration in Kiaruhiu/Kariki informal settlement is in favour of men. This ARAP therefore proposes gender empowerment programs to build the capacity of women in the settlement to safeguard their right to owning land. These will also provide platforms to discuss land matters even more broadly. In implementing these exercises, key stakeholders include: KISIP, chief Land Registrar and Nyeri County; Gender Department; local women and men based organizations; SEC; and local community will participate. In addition, the Land Control Board will play a role in safeguarding women rights to owning land by regulating any transaction on Land. The law prohibits a husband from selling family land without the consent of the wife. These programs include but not limited to: 73 i. Enhancing women’s land ownership rights, which to an extent is ongoing as women heads are already recognized through the titling process, while joint spousal registration will enhance women land ownership rights. ii. Enhancing women’s decision-making on land use and Land Laws. For example, women will be sensitised to know that a spouse cannot sell land without their consent and the role of Land Control Board in enforcing the requirement of spousal consent thus acting as an avenue of safeguarding the rights of women on land ownership. iii. Sensitization on land transfer processes e.g. in the event of a spouse’s death or transfer to children. iv. Educating community on the benefits of recognizing/promoting women’s land rights 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 Kiaruhiu/Kariki informal settlement. It should be noted that the procedure in the schedule starting from notification of the PAPs before their displacement through compensation and resettlement will be done in phases to synchronize with the various phases of the project. The RAP 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 implementing committee, during which a summary of the main findings and recommendations, entitlements, and PAP register will be presented to the community. Stakeholders will also the county government, the National Land Commission who have been part of the planning process, among other relevant stakeholders. In addition, the ARAP will be made available on the Ministry of Transport, Infrastructure, Housing and Urban Development website and the World Bank’s Info shop. Copies of the report will also be made available to the SEC, Grievance Committees, and the County offices.  Audit of PAP register and compensation package due to each PAP. This can also include negotiation on the facilitation packages.  Resolution of emerging grievances  Notification and sensitisation of PAPs prior to the commencement of the activities that will affect them.  Commencement of project operations including issuing of titles  Monitoring and evaluation, including baseline update 74 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 on land ownership) 3. Disclosure of Updated ARAP KISIP Formation and capacity building of Grievance KISIP, RIC, Beneficiaries 4. management committees Validation of asset valuation/values, Sensitization of KISIP, County Government 5. community on Conservation of trees and community assets Sensitisation of Community on Grievance Redress RIC 6. Mechanism 7. Grievance Redress County KISIP, RIC, PAPs, GRC Sensitization of PAPs on bank accounts and use of KISIP, RIC, County Government, 8. compensation funds including joint spousal Women based organizations (if management of cash need be), SEC 9. Payment of compensation32 KISIP, RIC 10. Issuance of notice for self-demolition KISIP, RIC 11. Issuance of titles33 Ministry of Lands 12. Self-Demolition PAPs, SEC 13. Demolition of any structures that have not been Nyeri County 32 Indicated as a continuous process to allow for resolution of grievances on compensation, if any arises. 33 Indicated as a continuous process to allow for resolution of grievances on titling if any arises. 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 demolished at the expiry of the notice period KISIP 14. Monitoring activities MoTIH&UD CHAPTER ELEVEN MONITORING AND EVALUATION AND IMPLEMENTATION OF THE ARAP 11.1 Monitoring and Evaluation Monitoring and Evaluation (M&E) procedures establish the effectiveness of all resettlement activities, in addition to the measures designed to mitigate adverse social impacts. The procedures include internal track-keeping efforts as well as independent external monitoring. The purpose of resettlement monitoring for the Project is to verify that: (i) Actions and commitments described in the ARAP are implemented; (ii) Eligible project-affected persons receive their full compensation prior to the displacement; (iii) All Grievances are resolved in time by the GRM. (iv)All beneficiaries (including PAPs) are issued with title deeds. Monitoring and evaluation activities will be funded through budget item No. 7 while the primary responsibility for monitoring and evaluation will be under KISIP through its National Environmental and Social Safeguards Team under the guidance of PCT. The team includes: i. 3 social safeguards experts, ii. A community development officer (who also doubles as the main person incharge of GRM), iii. 1 Environmental Safeguards expert iv. A social safeguards expert who also doubles as the coordinator for the team, v. An M&E officer, vi. A valuer, and vii. An overall component head. The team is often backed by desk officers from the planning component where 1 desk officer is attached to this settlement (and other planning and survey officers e.g. surveyor, land administrator, planner etc. as and when needed). 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. 77 11.1 Monitoring and Evaluation Framework 11.2.1 ARAP Monitoring Plan The ARAP Monitoring Plan and Framework is presented in table 11-1 below. It involves: (i) Internal monitoring by MoTIH&UD (ii) Impact monitoring commissioned to specialized firms; and (iii) ARAP Completion Audit Table 11-1 ARAP Monitoring Plan Component Type of Source of Responsibility Frequency/ Activity Information/ Information/ for Data Audience of Data Collected Data collection Collection, Reporting Methods Analysis and Reporting Performance Measurement of Monthly or MoTIH&UD Semi- Monitoring input indicators quarterly narrative Project annual/annual as against proposed status and financial Implementation required by the time-table and reports Team Proponent budget. (MoTIH&UD) 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- external auditing the ARAP time such as productivity off report based on and evaluation table gains, livelihood performance and agency restoration, and impact monitoring developmental reports, impact against independent baseline surveys and consultation with affected persons 78 11.2.2 ARAP Monitoring Framework ARAP Monitoring framework provides for the below listed provisions; (i) Internal ARAP Implementation Reports will be verified by a field check of the following: - Payment of compensation including its levels and timing - Adequacy of training and other developmental inputs - Rehabilitation of vulnerable Persons - Infrastructure repair, displacement or replacement - Enterprise displacement, compensation and its adequacy - Transition allowances - Gender concerns (ii) Random samples of affected people will be interviewed in open-ended discussions to assess their knowledge and concerns regarding the resettlement process, their entitlements and rehabilitation measures. (iii) Public Consultations with affected people at the community level will be observed. (iv)The resettlement operation at all levels will be observed to assess its effectiveness and compliance with the ARAP. (v) The type of grievance issues and the functioning of grievance redress mechanisms will be checked by reviewing the processing of appeals at all levels and interviewing aggrieved affected people. (vi)The standards of living of the affected people after implementation of resettlement will be surveyed to assess whether the standards of living of the affected people have improved or been maintained. (vii) Project management will be advised regarding necessary improvements in the implementation of the ARAP, if any. The Table 11-2 below shows a selection of Internal/External Monitoring Indicators that will be checked during Internal Performance Monitoring by MoTIH&UD or during the external evaluation. To avoid conflict of interest, the external evaluation will be undertaken by an external evaluation agency. Table 11-2 Internal Monitoring Indicators Activity/Parameters Indicators 79 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 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 public  Type of issues raised at public consultation meetings engagement  Number of participants attending public consultation meetings related to displacement 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 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 80  Average timelines for resolution of grievances disaggregated by the various levels of grievance redress mechanism/institutions  Number of grievances referred to Level 3 (Courts of Law)  Number of complaints referred to World Bank Awareness and Access  Type of information disclosed to PAPs during each meeting to Information  Accessibility of the ARAP document at the local level  Accessibility of the ARAP document on the Ministry’s website and the Bank’s Info shop  Awareness on ARAP/Entitlement information  Number of people seeking information on displacement and compensation Process Management  Formation of proposed institutions or better alternatives  Census and asset verification/quantification procedures in place  Effectiveness of compensation delivery system by KISIP  Efficiency of compensation delivery system by KISIP  Co-ordination between KISIP national, KISIP County, County Government and the community The indicators presented above will be revised and appropriate Terms of Reference (ToR) established for the external monitoring consultant. Evaluation will be done against the existing baseline information identified in the ARAP and indicators identified in table above. Therefore, monitoring (and evaluation) will be undertaken regularly during implementation and post implementation for the purposes of compiling the Project Completion Report. The report will include an evaluation that ascertains whether resettlement compensation goals and objectives were realised. 11.2 Resettlement Completion Audit The purpose of the Completion Audit is to verify that the resettlement process has complied with resettlement commitments defined by the ARAP. Reference documents for the Completion Audit are the following: (i) This ARAP Report, (ii) Kenyan policies and legal statutes as defined in section 4 of this Report The Completion Audit will have the following specific objectives: (i) General assessment of the implementation of the ARAP against the objectives and methods set forth in the ARAP, (ii) Assessment of compliance of implementation with laws, regulations and safeguard policies; 81 (iii) Assessment of the fairness, adequacy and promptness of the compensation and resettlement procedures as implemented; (iv)Evaluation of the impact of the compensation and resettlement program on livelihood restoration, measured through incomes and standards of living, with an emphasis on the “no worse -off if not better-off” requirement; and (v) Identification of potential corrective actions necessary to mitigate the negative impacts of the program, if any, and to enhance its positive impacts. The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People. The Completion Audit will be based on documents and materials generated by internal and external monitoring. In addition, auditors will make their own assessments, surveys and interviews in the field and with Project-Affected- People. 82 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 Kiaruhiu/Kariki informal settlement that will result to tenure regularisation and issuance of Title Deeds. This ARAP has been prepared consistent with the applicable policy provisions of Kenyan Government and the provisions of the World Bank's Safeguard Policy on Involuntary Resettlement (OP 4.12). It presents an inventory (register) of PAPs, an Asset register of affected assets and the proposed compensation package. The preparation of this ARAP was community led and all affected persons have been adequately consulted and informed of the content of this ARAP there the implementation of this ARAP is expected to be embraced and owned and by the community. The objective of this ARAP was to identify and quantify all losses from displacement of assets and livelihoods as a result of the implementation of the approved LPDP and provide adequate mitigation measures in conformity with the World Bank OP 4.12, the Government of Kenya policies and laws and KISIP RPF. This objective was met by the ARAP by ensuring all affected persons have been entitled to adequate compensation for their losses, Vulnerable PAPs receive additional assistance, Women land rights are safeguarded, implementation institutions are constituted and made aware of their roles, an implementation budget and schedule is provided and a monitoring and evaluation framework is in place. This will pave way for issuance of title deeds to beneficiaries ultimately achieving Component 2 Objective. 12.2 Commitments To ensure this ARAP is fully implemented, KISIP commits to the following:  KISIP will facilitate all the Project Affected Persons according to provisions of this RAP including the budget for compensation and timelines as per the implementation schedule.  KISIP will ensure all Grievances are addressed and resolved in a timely manner as indicated in section 9.2 (Grievance Redress Structure) during implementation of this ARAP.  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. 83  KISIP PCT will organize and carry out sensitization exercises aimed at promoting women land rights as documented in this ARAP, before issuance of titles commence.  KISIP and Area Chief will undertake sensitization aimed at ensuring the community does not cut the trees rather conserve them as community assets. KISIP through the relevant department of environment, Nyeri County Government will also provide seedlings to ensure the trees on road way leaves will be re-established in time.34   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 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 way leaves 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. 34 Assumption is that these trees will be cut one day to pave way for infrastructure. 84 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 85 ANNEXES ANNEX 1. PAPs AND ASSET REGISTER PLOT NO. OWNER DEVELOPMENT MAGNITUDE OF CONSTRUCTION DEVELOPMENT PHOTO TYPEOF TYPE IMPACT VULNERA (FULL/PARTIAL) BILITY 1 Polytechnic Gate Full Metal sheet gate None walls Full 2 no. concrete walls Pit latrines Full (2 no.) Roof: Gci sheets Wall: natural stone Floor: Cement screed 2 4-Mar African Trees Full Medium- aged eucalyptus None Independent trees Church- Kariki Mature eucalyptus trees 3 Alice Karanja Pit latrine Full Walls: Gci Elderly Mwangi Roof: g.c.i sheets Floor: timber offcuts 4 KRH 028B Charise Murimi Residential house Full Walls: timber offcuts None Ngonyo Roof: Gci sheets 86 Floor: earth Kitchen Full Walls: polythene on timber poles(1-side) , open 3-sides Roof: Gci sheets Floor: earth Goat shed Full Gci on timber poles with open sides Floor: earth 5 KRH 051B Charles Maina Fence Full Mature natural tree hedge None Muchoki Walls: Timber Roof: g.c.i sheets Floor: concrete blocks Bathroom Full Walls: timber( worn out) Roof: gci sheets Floor: earth Residential house Full 0.5 inch Galvanized iron pipe Water pipe Full 6 KRH 003 Charles Matheri Residential house Full Roof: Gci sheets None Mithamo Walls: Timber Floor: Earth Residential house 2 Full Roof: Gci sheets 87 Walls: Timber Floor: Earth Residential house 3 Full Roof: Gci sheets Walls: Timber Floor: Earth Trees Full Mature eucalyptus trees Mature avocado tree Mature loquat tree Mature Grevillea tree Young eucalyptus trees Pit latrine Full Walls: Polythene Roof: gci sheets Floor: Timber off cut N/B: 15 feet deep Residential house 4 Partial Roof: Gci sheets Walls: Timber Floor: Earth 7 KRH 058H Charles Muriuki Residential house Partial Walls: Timber None Mwangi (fairly new) Roof: Gci sheets Floor: earth Trees Full Mature avocado trees Small- sized avocado ash 88 8 KRH 021 Charles Ndegwa Trees Full mature avocado tree Elderly Ngari bananas stems mature Mukidimogo tree mature eucalyptus trees medium cypress trees mature loquat tree Pit latrine Full Roof: Gci sheets Wall: timber offcut Floor: timber offcut 9 KRH 051A Christopher Fence Full Mature tree hedge None Kinyua Muchoki Avocado tree Full Mature avocado tree 10 KRH 035A Daniel Migwi Trees Full Medium- sized eucalyptus None Muchiri trees Mature eucalyptus trees 11 KRH 032 David Karanja Kitchen Partial Walls: timber Elderly Roof: gci sheets Floor: earth Goat shed Full Walls: timber offcuts Roof: gci sheets Floor: earth Goat pen Full (0.5 M raised) Walls: timber offcuts Roof: Gci sheets Floor: timber offcuts Pigsty Full (0.5 M raised) 89 Walls: timber offcuts Roof: Gci sheets Floor: timber offcuts Walls: timber offcuts Roof: gci sheets Floor: earth Residential house Partial Walls: timber offcuts Roof: gci sheets Floor: earth Pit latrine Full Walls: timber offcuts Roof: gci sheets Floor: earth 12 KRH 023 David Karanja Trees Full Mature eucalyptus None Huihu Young eucalyptus Medium eucalyptus Medium-aged wattle trees Medium-aged Mikungugu young avocado Mature mukidori Young loquat 13 KRH 042 David Mukunga Trees Full Medium- sized eucalyptus None Muchiri trees Mature eucalyptus trees Bananas Full Banana stems Pit latrine Full Walls: timber offcuts Floor: timber offcuts 90 Roof: Gci sheets ( 0.5 M raised) Poultry shed Full Walls: gci on timber offcuts Roof: gci sheets Floor: timber offcuts 14 KRH 021 David Mukungu Chicken house Full Roof: Gci sheets None Ndegwa Wall: timber offcut Floor: timber offcut (suspended) Kitchen Full Roof: Gci sheets Wall: Gci Floor: earth Trees Full Banana stems mature cypress tree mature mango tree mature pine tree young eucalyptus tree medium eucalyptus tree medium mukinduri tree loquat tree (medium) 91 15 KRH 029B David Murimi Residential house Partial Walls: timber offcuts None Ngari Roof: Gci sheets Floor: earth Bananas Full Banana stems Trees Full Mature fruits bearing trees Medium- aged eucalyptus trees 16 Divine mercy Water pipe Full 0.5-inch galvanized iron None Kariki Catholic pipe (buried under the earth) Church Very young cypress trees. Trees Full Young umbrella trees. 17 KRH 019 Ephraim Murimi Residential house Partial Roof: Gci sheets Elderly Gatere Wall: Timber on 2 no. tier stone foundation Floor: Concrete slab Ceiling: Soft board 6 no. bedrooms 1 no. sitting room Doors: T&G timber Windows: glazed metal casement 1 no. wc 92 N/B: connected to electricity Open shade Full Timber all round Gate Full GCI gate on timber poles Trees Full Medium-sized Grevillea trees Residential house Partial Roof: Gci sheets Walls: Timber offcut Floor: earth Residential house Partial Roof: Gci sheets Walls: Timber offcut Floor: earth 18 KRH 030A Eunice Nyaguthii Pit latrine Full Walls: drum sheet Elderly Ngatia Roof: gci sheets Floor: timber offcuts Bananas Full Banana stems Trees Full Mature eucalyptus trees Young eucalyptus trees 93 19 KRH 051C Francis Macharia Pit latrine Full Walls: Timber None Muchoki Roof: g.c.i sheets Floor: concrete blocks Grass Full Young Napier grass Trees Full Medium - aged eucalyptus trees Mature eucalyptus trees Residential house Full Walls: Timber offcuts Roof: g.c.i sheets Floor: earth Cowshed Full Gci on wooden poles (with open sides) 20 Exchange plot Francis Sammy Tea bushes Full Mature tea bushes None Kinyua Githaiga 21 KRH 058C Geoffrey Mugo Residential house Partial Walls: Timber None Mwangi Roof: Gci sheets 94 Floor: earth Door: ledged & braced timber 22 KRH 022 George Gikandi House Partial Roof: Gci sheets None Wangari Wall: Gci Floor: earth Trees Full 2 young Muthiga Mature murera Mature methya Mature miiri Mature mwituya Mature muthegera Mature muhero Mature avocado Mature mukidori Mature mutundu Mature cypress Medium-aged Grevillea trees Mature wattle 23 KRH 017 George Miano Trees Full mature wattle tree None Ngari medium wattle trees young eucalyptus tree young avocado trees young loquat trees mature Mubiru tree mature Mutundu trees medium-aged Grevillea trees medium-aged loquat trees mature loquat trees Mature Mukungugu tree 95 Roof: Gci sheets Residential house Partial Walls: Timber offcut Floor: earth 24 KRH 059E Joseph Mundia Trees Full Medium- aged eucalyptus Elderly Kiimiki trees Mature eucalyptus trees Mature avocado tree Young eucalyptus trees Medium – aged fruits tree Walls: Gci Pit latrine Full Roof: g.c.i sheets Floor: Timber offcuts 25 KRH 055 Gibson Githinji Bathroom/ pit Full Walls: timber offcuts Elderly Ngari latrine Roof: g.c.i sheets Floor: timber offcuts Trees Full Medium- aged avocado tree Medium- aged eucalyptus trees Fence Full Chain-link fence on wooden poles 96 26 KRH 040A John Kariuki Trees Full Medium- sized eucalyptus None Kiraguri trees Mature eucalyptus trees Young eucalyptus trees 27 KRH 010 John Karocha Residential house Partial Roof: Gci sheets None Hunja Walls: Timber offcut Floor: earth Trees Full Mature avocado tree Mature fruits tree Young eucalyptus trees 28 KRH002 Jonathan Kiniaru Chicken shed Full Roof: Gci sheets None Hunja Wall: gci on timber offcut Floor: Earth Residential house Partial Roof: Gci sheets Walls: Timber Floor: Earth 97 Trees Full Medium-aged eucalyptus trees mature eucalyptus tree Medium-aged Grevillea trees young wattle trees medium-aged wattle tree coffee trees mature ‘Mwitua tree’ 29 KRH 039 Joseph Mwai Pit latrine Full Walls: Gci None Ngari Roof: gci sheets Floor: timber offcuts Trees Full Medium- sized eucalyptus trees Mature eucalyptus trees 30 Joyce Muthoni Trees Full Medium- aged eucalyptus Elderly trees 31 KRH 026 Joyce Nyambura Pit latrine Full Roof: Open Elderly Ngiri Wall: Sack Floor: timber offcut Trees Full Medium-aged Grevillea trees Medium-aged eucalyptus trees 98 Young eucalyptus Banana stems mature avocado trees mature jacaranda tree medium loquat trees mature macadamia tree medium-aged Mikungugu trees 32 Kariki Better Trees Full Medium- aged eucalyptus None Homes’ group trees 33 KRH 028A Lucy Kanini Residential house Partial Walls: timber offcuts Elderly Hunja Roof: Gci sheets Floor: earth Walls: timber offcuts Residential house 2 Partial Roof: Gci sheets Floor: earth Trees Full Medium- aged avocado trees Mature avocado tree Young fruit tree Bananas Full Banana stems 99 34 KRH 015 Lucy Ngima Bananas Full Banana stems Elderly Kihara Trees Full Mature eucalyptus Medium-aged eucalyptus tree Young eucalyptus trees Medium aged Mihethe trees Young Mihethe trees Young Grevillea tree 35 KRH 044 Luthara Muriuki Pit latrine Full Walls: Gci None Roof: gci sheets Floor: timber offcuts Trees Full Medium- sized eucalyptus trees Young eucalyptus trees Mature avocado tree 36 KRH 005 Lydia Wangui Bathroom/ pit Full Roof: Gci sheets Elderly Mwangi latrine Walls: Timber offcut Floor: timber offcut Trees Full Mature eucalyptus Young wattle trees 37 KRH006 Margaret Nyawira Pit latrine Full Roof: Gci sheets Elderly Mwai Walls: Timber offcut Floor: timber offcut 100 N/B: 20 ft deep Residential house Partial Roof: Gci sheets Walls: Timber offcut Floor: Earth Trees Full Mature avocado tree 38 KRH 040B Martin Mwai Residential house Partial Walls: timber offcuts None Kariuki Roof: gci sheets Floor: earth Kitchen Partial Walls: timber offcuts Roof: gci sheets Floor: earth Pit latrine Full ( 0.5 M raised) Walls: timber offcuts Roof: gci sheets Floor: timber offcuts Pigsties Full Walls: timber offcuts Roof: gci sheets Floor: timber offcuts Trees Full Medium- sized eucalyptus trees Young eucalyptus trees 101 39 KRH 045 Mary Wambui Residential house Partial Walls: timber offcuts Elderly Muchiri Roof: gci sheets Floor: earth Roof extension Full 0.4 M roof extension, 6 meters (floor) to be cut. Trees Full Medium- sized eucalyptus trees Young eucalyptus trees Mature eucalyptus trees 40 KRH011 Mercy Wairimu Kitchen Partial Roof: Gci sheets Elderly Thinwa Walls: Timber offcuts Floor: Earth Roof: Gci sheets Chicken house Full Walls: Timber offcuts Flor: timber off cut (suspended) Residential house Full Roof: Gci sheets Walls: Timber Floor: Earth Bananas Full Banana stems Trees Full Mature eucalyptus trees Medium-aged eucalyptus trees Mature avocado tree 102 41 KRH 045A Meshack Mugo Trees Full Medium- sized eucalyptus None Muchiri trees Mature eucalyptus trees Pit latrine Full Walls: timber offcuts Roof: gci sheets 42 KRH 031 Michael Trees Full Medium-aged eucalyptus None Mathenge Kihara trees Medium- sized eucalyptus trees Mature Gravellia 43 KRH 013 Michael Muriu Trees Full Mature wattle trees None Miano Mature Grevillea trees Medium-aged cypress trees Medium-aged avocado trees 44 KRH 058B Moses Kinyua Trees Full Medium – aged eucalyptus None Mwangi trees Residential house Partial Walls: Timber Roof: Gci sheets Floor: earth Door: metal sheet Windows: glazed metal casement with steel grills 103 45 KRH 007 Moses Miano Kitchen Partial Roof: Gci sheets None Kariithi Walls: Timber offcut Floor: Earth Residential house Partial Roof: Gci sheets Walls: Timber offcut Floor: Earth 46 KRH 035B Moses Mudia Residential house Partial Walls: timber offcuts None Muchiri Roof: gci sheets Floor: earth Windows: glazed metal casement Trees Full Medium- sized eucalyptus trees Mature eucalyptus trees 47 KRH004 Murimi Mwai Pit latrine Full Roof: Gci sheets None Njine Walls: Gci Floor: timber offcuts 2 No. Dog kennels Full Roof: Gci sheets Wall: Timber off cut Floor: suspended timber offcut 104 Residential house Fully Roof: Gci sheets Walls: Timber Floor: Earth Chicken house Partial Roof: Gci sheets Walls: Timber off cut Floor: Suspended timber off cut Residential house 2 Partial Roof: Gci sheets Walls: Timber Floor: Earth Goat pen Full Roof: Gci sheets Walls: Timber off cut Floor: Suspended timber off cut Bananas Full Banana stems Trees Full Mature avocado trees Young avocado trees Medium-sized eucalyptus trees Mature fig tree 48 KRH 048 Njogu Macharia Cattle sheds Full Walls: Timber offcuts Elderly Roof: g.c.i sheets Floor: earth Walls: Timber offcuts 105 Roof: open to the sky Floor: earth Gci on timber poles (with open sides) Floor: earth 49 KRH 018B Nyokabi Mwai Trees Full mature fig tree Elderly Kanja medium-sized eucalyptus trees medium-sized avocado trees young avocado tree Kitchen Partial Roof: Gci sheets Walls: Timber offcut Floor: earth Pit latrine Full Roof: Gci sheets Walls: Timber offcut Floor: earth 50 KRH 027 Peter Miano Ngari Trees Full Young eucalyptus trees None Medium- aged eucalyptus trees Very young trees Bananas Full Banana stems Fence Full Barbed wire fence on timber offcuts 106 Gate Full Natural hedge(scattered) plus barbed wire on timber offcuts Timber offcut gate 51 KRH 009 Rachel Wamuyu Pit latrine Full Roof: Gci sheets Elderly Hunja Walls: Timber offcut 52 KRH 009 Bancy Wairimu Floor: timber offcut Hunja Trees Full Young avocado tree Medium-aged loquat tree Medium-aged eucalyptus Young wattle trees Residential house Partial Roof: Gci sheets Walls: Timber offcut Floor: earth 53 KRH 029A Richard Kinyua Trees Full Mature eucalyptus trees None Medium- aged eucalyptus trees Young eucalyptus trees 54 KRH 033 Robert Mwai Residential house Partial Walls: timber offcuts None Karanja Roof: gci sheets Floor: earth 107 Walls: timber offcuts Residential house 2 Partial Roof: gci sheets Floor: earth 55 KRH 037 Robert Ngari Kitchen Partial Walls: timber offcuts None Ngahu Roof: gci sheets Floor: earth Medium- sized eucalyptus trees Trees Full Young eucalyptus trees 56 KRH 018A Samuel Mundia Trees Full mature fig trees None Karani mature avocado trees 57 KRH 016B Samuel Murage Trees Full Medium-aged Grevillea None Gathara trees mature avocado tree mature loquat tree medium-aged eucalyptus trees 58 KRH 032 Samuel Murimi Residential house Partial Walls: timber offcuts None Karanja Roof: gci sheets Floor: earth Trees Full Medium- aged eucalyptus trees 59 4-May SDA Church Pit latrine Full Roof: Gci sheets 108 Wall: gci Floor: Cement screed Trees Full mature Grevillea trees young Grevillea trees medium-sized cypress trees medium-sized Mukinduri tree 60 KRH 56A Simon Ngure Kitchen Partial Walls: timber offcuts None Roof: gci sheets Floor: earth Walls: timber offcuts Residential house Partial Roof: gci sheets Floor: earth Trees Partial Medium- sized eucalyptus trees 61 KRH 038 Stephen Nguthuko Pit latrine Full Walls: timber offcuts None Khuthu Roof: gci sheets Floor: timber offcuts Trees Full Medium- sized eucalyptus trees Young eucalyptus trees Mature eucalyptus trees 109 62 KRH 012A Susan Njoki Pit latrine Full Roof: Gci sheets Elderly &B Gatembu Walls: Timber offcut Floor: timber offcut Trees Full Mature eucalyptus trees Medium-aged eucalyptus trees Mature Mukinduri trees Mature avocado tree 63 KRH 012B Teresa Wambui Trees Full Mature eucalyptus trees Elderly and Mwangi widowed Medium-aged eucalyptus tree Young eucalyptus tree Mubiru fruit Mature avocado tree Young avocado tree Medium-aged mango tree Medium-aged loquat trees Mature loquat trees Mature cypress trees Young Grevillea trees Mature Meru oak tree Mature Mukoe tree 110 64 KRH 021 Teresa Wanja Trees Full mature Grevillea trees Elderly Gathukumi mature avocado tree young eucalyptus trees banana stem young pear tree Water pipe Full 0.75 inch PVC pipe 65 KRH 58A Timothy Mwangi Residential house Partial Walls: Timber None Roof: Gci sheets Floor: earth Door/ Windows: ledged & braced timber Trees Full Medium- aged eucalyptus trees Mature eucalyptus trees Kitchen Partial Walls: Timber Roof: Gci sheets Floor: earth Cattle sheds Full Gci on timber poles(with open sides) Floor: earth Walls: Timber offcuts Roof: open to the sky Floor: earth Water pipe Full 0.5-inch galvanized iron pipe Poultry shed Full Walls: wire-meshed Roof: open Floor: earth 111 66 KRH 049A Wachira Kinyua Trees Full Medium- aged eucalyptus None trees 67 38A Stephen Nguthuko House Partial GCI roof None Kahuthu; Timber off cut wall Earth floor James Kahuthu Mwai ; Ephraim Mwaniki Kahuthu; Beatrice Wanjugu House 2 Partial GCI roof Kahuthu Timber off cut wall Earth floor Anthony Njau Mwai; House 3 Partial GCI roof Timber off cut wall Earth floor KRH 038A Beatrice Wanjugu Poultry house Full GCI roof Kahuthu Timber off cut wall Suspended timber off cut 68 floor 112 69 40A John Kariuki Trees Full Young Eucalyptus None Kiraguri Mature Eucalyptus Avocado 70 37 Ngahu Ngaizi Residential house Partial GCI roof None Kingahu; Robert Ngari Timber off cut wall Ngahu; Earth floor Samuel Miano Ngahu; GCI roof Beatrice Wanjugu Kahuthu; Ephraim Kwaniki House Partial Kahuthu Timber off cut wall Earth floor GCI roof House Partial 71 Moses Mundia Timber off cut wall Muchiri Earth floor 72 41A Ngure Ngatia House Partial GCI roof Elderly Timber off cut wall Earth floor House Full GCI roof 113 Timber off cut wall Earth floor House Full GCI roof Timber off cut wall Earth floor House Full GCI roof Timber off cut wall Earth floor 73 KRH O5 Police station Fence Full Live fence of barbed wire None Residential hose Partial GCI roof GCI wall Cement screed Trees Full Mature Eucalyptus Mature Cypress 114 ANNEX 2. MINUTES OF STAKEHOLDERS’ CONSULTATION 115 116 117 118 119 120 121 Yy 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 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): 176 6 Nambari ya (ID card No): 7 kitambulisho Nambari ya Kodi (Pin No.) 8 1. Mwenye ploti (Plot Owner(s)) 2. Mwenye Nyumba (Structure owner(s)) 3. Mpangaji (Tenant/ Occupier(s)) 9. Mwingine (Other) 8 (If 9 please explain) Parcel owner’s/ owner B occupier’s/ Tenant’s general details (Structure  Shirika 1 Mtu (Person) Owner/ (Organisation) 2 (Photo occupier): 3 number): (First 4 Name/Org. (Middle 5 Name): (Last Name): 6 (Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth (Registration)): 8 (ID No (Registration No) 9 (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) (If 9 please explain) 10 (Marital 1. Hajaoa/Hajaolewa(Single) status): 2. Ameolewa (Married) 3. Wameachana (Separated) 4. Mjane (Widowed) 11 (Any 1. Ndio (Yes) 2. La (No) 9.If yes, please disablity?) specify 12 (Educational 1. Chuo/Chuo Kikuu (College/University) level) 2. Shule ya upili (Secondary) 3. Shule ya msingi (Primary) 4. Shule ya gumbaru (Adult Education) 5. Asiye na elimu (None) 9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Occupation)  1. Mwajiriwa wa Serikali (Civil Servant) 177 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 kijiji hiki (In this village)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of  1. Gari la kibinafsi (Private car) transport used  2. Matatu/ Basi (Bus/ Matatu) to work)  3. Pikipiki (Motor cycle)  4. Baiskeli (Bicycle)  5. Kwa miguu ( On foot)  6. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly household income) 17 (Which mode  1. Barua (Letters) of  2. Simu (Land line telephone) communication  3. Simu ya jamii (Pay phone) do you use?)  4. Simu ya rununu (Mobile phone) 5. Furushi (Parcels) 6. Barua Pepe (E-Mail) 7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you most often 1. Hospitali ya raia (Public hospital) seek medical treatment 2. Hospitali ya kibinafsi (Private hospital) when sick?) 3. Hospitali ya kidini/Shirika lisilo la sirikali (Mission / NGO hospital) 4. Mganga wa mitishamba (Traditional Healer) 5. Duka la Dawa(Chemist) 6. Duka la Kawaida (Shop) 7. Kuombewa / (Spiritual Healer) 19 (Name of the medical facility) 20 (Where is this medical  1. Katika kijiji hiki (In this village) facility located?)  2. Katika Mtaa huu (Inside this settlement)  3. Nje ya Mtaa huu (Outside this settlement) 21 (What would you like to be considered during the upgrading process in 178 order of priority?)  Usalama (Security)  Afya (Health)  Elimu (Education)  Maji (Water)  Umeme/Stima (Electricity)  Barabara (Roads)  Nyumba (Housing)  Ajira (Employment)  Usafi wa mazingira (Sanitation)  Takataka (Solid waste management)  Mambo mengine (Other issues) Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua ( Diseases suffered in the last 4 Months ) miezi 4 iliyopita  1. Malaria 6. Amoeba / Typhoid  2. TB 7. Hypertention  3. Diarrhoea 8. Diabetes 4. 9. Magonjwa mengine (Other ailments) Pneumonia 5. Common cold (If 9 please explain) Additional details for owners 23 (Mode of  1. Kujikatia (Self Acquired) Acquisition):  2. Kupewa na Serikali (Allocation)  3. Kumiliki (Inherited)  4. Kununua (Purchased)  9. Njia Nyingine (Other Mode) 24 (Ownership  1. Cheti cha kumiliki ardhi (Title deed) proof):  2. Cheti cha muda (Temporary Occupancy License)  3. Hakuna waraka (No document)  9. Waraka mwingine (Other document) 25 (Number of plot owners) 26 (If joint ownership indicate your share) 27 (Owner’s  1. Katika kijiji hiki (In this village) residence if not  2. Katika Mtaa huu(Inside this settlement) within this  3. Nje ya Mtaa huu (Outside this settlement) structure): 179 28 (If you don’t  1. Yes 2. No reside within  the village, are you renting?): For Information on additional Owners See Appendices B1……………… Additional details for Occupiers 29 (Your share of the 30 rent) (Where did you live 1. Katika kijiji hiki (In this settlement) before you came 2. Katika Mtaa moja jijini (In a formal residential area in the town) here?) 3. Nje ya jiji hii (Outside this town) 4. N/A 31 (Why did you move 1. Sababu za kinyumbani (Domestic reasons) here?) 2. Sababu za uchumi (Economic reasons) 3. Ukosefu wa Shamba (Landlessness) 4. Kuhamishwa (Eviction) 5. Mapigano (Skirmishes) 6. N/A 9. Sababu nyingine (Other reason) 32 (How many years have you lived in this village?) C Household unit details 1 (Structure/Room use): Makao(Residential): Viwanda (Industrial) Elimu (Educational) Kuburudika (Recreational) 301. Michezo (Sports/Gym)  302. Muziki (Music)  303. Nyumba la michezo (Theatre)  304. Nyumba la disko/Nyumba ya vinywaji (Disco/Night club)  399. burudani nyingine (Other Recreational) Ikiwa 399 (burundani nyingine), tafadhali ueleze (If 9 please explain) 180 Commercial (Biashara) Uchukuzi (Transport) Ukulima(Urban Agriculture) Lengo la uma: (Public purpose) Utoshelevu wa Uma (Public Utility 2 Vifaa vya ujenzi vinavyotumika (Building materials used) (Walls)  Mawe (Stone)  Mabati (Ironsheets)  Mbao (Wooden)  Udongo na simiti (Cemented earthwall)  Udongo (Earth)  Karatasi (Polythene/ Carton) 3 Sakafu (Floor):  1. Saruji (Cement)  2. Udongo (Earth)  9. Nyingine(Other) Ikiwa 9 tafadhali eleza (If 9 explain) 4 (Roof) Vigae (Tiles) Mabati (Iron sheets) Mbao (Wooden) Nyasi (Grass thatched) Kifaa Kingine (Other) Ikiwa 9 (Kifaa kingine), tafadhali ueleze (If 9 please explain) 5 House size Urefu Upana (Width): (Length ):  6 (Rental 1. Mapatano ya kupangisha (Written Agreement) Agreement): 2. Mapatano ya kuongea (Verbal Agreement) 7 (Monthly rent for the room): 8 (What is the main 0. Hakuna maji (No water) source of water?): 1. Maji ya mfereji (Piped water) 2. Kisima kisicho kirefu (Shallow well) 3. Maji ya mvua (Rain water) 4. Mto (River/stream) 9. Njia nyingine ya kupata maji (Other water source) Ikiwa 9 (Njia nyingine ya kupata maji), tafadhali 9 (Average cost of water per ueleze (If 9 please explain) day): 10 (Do you have access to a  0. Hakuna Bafu (No bathroom) bathroom?):  1. Bafu (Bathroom in the structure)  2. Bafu (Bathroom outside the structure) 11 (Which type of toilet facilities  0. Hakuna Choo/Bafu (No toilet/bathroom) do you have access to?):  1. Choo cha shimo (Latrine) 181  2. Choo malumu (VIP)  3. Choo cha maji (WC/Sewer)  4. Tenki ya kinyesi (Septic Tank)  5. Kinyesi kwenye plastiki (Flying Toilet)  9. Choo kingine(Other) If 9 please explain 12 (Average cost of use of toilet facilities incurred daily): 13 (How do you utilize  0. Hakuna umeme/stima (No Electricity) electricity?)  1. Mwangaza (Lighting)  2. Kupika (Cooking)  9. Matumizi mengine (Other) Ikiwa 9 (Matumizi mengine), tafadhali ueleze (If 9 please 14 (Average cost of use of explain) electricity per month: 15 (Cooking energy)  1. Umeme/stima (Electricity)  2. Gesi (Gas)  3. Gesi ya kinyesi (Biogass)  4. Mafuta ya taa (Kerosene)  5. Makaa (Charcoal)  6. Kuni (Firewood)  7. Vumbi la makaa na udongo (Chaarcoal dust)  9. Nishati nyingine(Other) If 9 please explain 16 (Where do you dispose your 1. Mtoaji wa huduma ya kibinafsi (Private service solid waste?): provider) 2. Huduma ya serikali ya Kaonti (County Government 3. Mahali maalum pa takataka (Dump site) 4. Pipa la takataka (Bin) 5. Barabarani (Road) 6. Mtoni (River) 7. Nje ya nyumba (Outside the structure) 8. Mitaru ya maji machafu (Open waste water drainage) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 17 (Number of persons living in this household unit) 18. Household Census PERSON 18.1 18.2 18.3 18.4 18.5 18.6 NO. NAME RELATIONSHIP NATIVE STATUS GENDER AGE TO PERSON 1 GROUP Person 1 is Names of 1.Spouse 1. Native 1. Owner 1. Male Age last the Head of the people (husband/wife) 2. 2. Tenant 2. Female birthday 182 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 the who 2.Partner Migrant 3. Heir household usually live 3. Father 3. Other 4. Joint at this 4. Mother Heir address 5. Sister Or 6. Brother Regards 7. Daughter this address 8. Son as their 9. Cousin “Usual 10.Not related Place of Add S for step Residence relative e.g. S8 for Step Son 1 19 Parcel Details (for Percel Owners) 19.1 Kipimo cha Ploti (Size of Parcel) 19.2 Idadi ya wenye ploti (Number of Owners): 19.3 Idadi ya vyumba kwenye ploti (Number of structures): 19.4 Huduma zilizo kwenye Ploti? (Services available): 1. Choo (Toilet) 2. Bafu (Bathroom) 3. Stima (Electricity) 4. Maji (Water) 19.5 (Access to this Parcel 1. Njia ya miguu (Foot path) 2. Barabara ya gari (Motorable road) 3. Hakuna Njia (No / Blocked Access) 19.6 Dominant use of this parcel 20 Structure Details Structure No. 20.1 Idadi ya Vyumba katika (Number of rooms in Nyumba hii the structure) 20.2 Idadi ya wenye nyumba hii (No of structure owners) 20.3 Ulijenga nyumba hii mwaka Gani? (Year of construction) 20.4 Ukuta 1. Mawe (Stone) (Walls) 2. Mabati (Ironsheets) 183 3. Mbao (Wooden) 4. Udongo (Earth) 5. Karatasi (Polythen/Carton) 20.5 1. Vigae (Tites) Paa 2. Mabati (Ironsheets) (Roof): 3. Mbao (Wooden) 4. Nyasi (Grass) 9. (Other) 20.6 (if 9 please explain) 20.7 Size Urefu (Length) Upana (Kipimo) (Width) 20.8 Matumizi ya Nyumba Structure Use D Business details 1 (Trade License 2 No): (Company 3 (Company/trading Registration No): 4 name): Type) (Business  501. Supamaketi (Supermarket)  502. Duka la jumla (Wholesale shop)  503. Duka la rejareja (Retail shop)  504. Duka la vifaa (Hardware)  505. Pumpu ya petroli/ mafuta ya taa (Petrol/Kerosene pump )  506. Viwanda vya nguo (Textiles)  507. Mitumba (Secondhand clothes)  508. Duka la nyama (Butchery)  509. Kibanda cha vyakula (Food kiosk)  510. Duka la mboga (Green grocer)  511. Mwuzaji makaa (Charcoal dealer)  512. Seremala (Carpenter)  513. Fundi wa baiskeli (Bicycle repair)  514. Fundi wa viatu (Shoe cobbler)  515. Ushonaji (Tailoring)  516. Kinyozi/Mahali pa kutengeneza nywele (Hair salon)  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): 184 6 (Source of raw material) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu (Inside this settlement) 2. Nje ya Mtaa huu (Outside this settlement) 7 (Problems encountered) 8 (How do you transport 1. Lori (Lorry) your raw 2. Gari la kibinafsi (Private car) material/products?) 3. Mkokoteni (Hand cart) 4. Pickup 5. Baiskeli (Bicycle) 6. Mchukuzi (Porters) 7. Wilibaro (Wheelbarrow) 8. Pikipiki (Motorcycle) 9. Nyingine (Other) Ikiwa 9 (Nyingine), tafadhali ueleze (If 9 please explain) 9 (Where do you sell your products?) 1. Katika kijiji hiki (In this village) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 10 (Where do your customers come 1. Katika kijiji hiki (In this village) from?) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) 11 (Number of workers including yourself): 12 (Where do you live?)  1. Katika kijiji hiki (In this village)  2. Katika Mtaa huu(Inside this settlement)  3. Nje ya Mtaa huu(Outside this settlement) E Industry details 1 (Trade License No): 2 (Company Registration No): 3 (Company): 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) 185 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) 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) 186 206. Shule ya walemavu (School for disabled) 207. Shule ya viziwi (School for deaf) 208. Shule ya vipofu (School for blind) 209. Shule ya wenye akili punguani (School for mentally disabled) 299. Elimu nyingine (Other Education) (If 299 please explain) 5 (Problems encountered) 6 (Number of students): 7 (Where do your students come 1. Katika kijiji hiki (In this village) from?) 2. Katika Mtaa huu(Inside this settlement) 3. Nje ya Mtaa huu (Outside this settlement) G Public Utility/ Purpose 1 (Facility ID No): 2 (Ownership): 1. Uma (Public) 2. Kibinafsi (Private) 3. Watu wa Mtaa (Communal) 3. Misheni (Mission) 3 (Name of facility): 4 (Type of facility?): 1. Ofisi ya Maji (water office) 2. Kituo cha Umeme (Power station) 3.Sewerage treatment plant 4.Kituo cha kidini (Religious institution) 5. Makaburi (Cemetry) 6. Ofisi ya rais (Administration office(s)) 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) 187 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?):  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) 188 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): Name): (Middle 5 (Last Name): 6 (If Gender): 1. Mume (Male) 3. Not Applicable (N/A) 2. Mke (Female) 7 (Year of birth) : 8 (ID No /Registration 9 No ) (Nationality): 1. Raia wa Kenya (Kenyan Citizen) 2. Mkimbizi (Refugee) 9. Raia wa nchi nyingine (Other Nationality) If 9 please explain 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married)  3. Wameachana (Separated) 189  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest  1. Chuo/Chuo kikuu (College/University) educational level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main occupation)  1. Mwajiriwa wa Serkali (Civil Servant) 13  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (place of work)  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 15 (Mode of transport  1. Gari la kibinafsi (Private car) mainly used to work)  2. Gari la moshi (Train)  3. Matatu/ Basi (Bus/ Matatu)  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle) 190  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 you mainly use?) 2. Simu (Land line telephone) 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 treatment when  2. Hospitali ya kibinafsi (Private hospital) 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 matibabu) medical facility) 20  1. Katika Mtaa huu (Inside this settlement)  2.. Nje ya Mtaa huu (Outside this settlement) 21 What would you like to be considered during the upgrading process (in order of priority)?(Show order with 1 being the one highly prioritized) Usalama (Security)  Barabara (Roads) 191 Afya (Health)  Nyumba (Housing) Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Kiwanda (Industry) Kitengo cha ardhi kwa matumizi ya Mambo mengine (Other issues) uma (Public Utility Space) mambo mengine, tafadhali taja (If any other please state)  22 Magojwa ambayo umeugua miezi ( Diseases suffered in the last 4 Months ) 4 iliyopita  1. Malaria5. Common cold (Homa)  (Malaria) 2. TB (Kifua6. Amoeba / Typhoid (Amoeba/Homa ya matumbo)  Kikuu) Diarrhoea7. Hypertension (Kupanda kwa mishipa ya damu) 3.  (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)  9. Njia Nyingine (Other Mode) 24 (Do you have any 1. Cheti cha kumiliki ardhi (Title deed) document for proof 2. Cheti cha muda (Temporary Occupancy License/Allotment of Ownership) 3. Hakuna waraka (No document) letter) 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) 192 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): Name): (Middle 5 (Last Name): 6 (If Gender):  1. Mume (Male) 3. Not Applicable (N/A)  2. Mke (Female) 7 (Year of birth ): 8 (ID No.): 9 (Nationality):  1. Raia wa Kenya (Kenyan Citizen)  2. Mkimbizi (Refugee)  9. Raia wa nchi nyingine (Other Nationality) Ikiwa 9 (Raia wa nchi nyingine), tafadhali ueleze (If 9 please 33. explain) Uhusiano na mpangaji (Relationship with tenant/household head ) 10 (Marital status):  1. Hajaoa/Hajaolewa(Single)  2. Ameolewa (Married)  3. Wameachana (Separated)  4. Mjane (Widowed) 11 (Any disability?) 1. Ndio (Yes) 2. La (No) 12 (Highest  1. Chuo/Chuo kikuu (College/University) educational level)  2. Shule ya upili (Secondary)  3. Shule ya msingi (Primary)  4. Shule ya gumbaru (Adult Education)  5. Asiye na elimu (None)  9. Elimu nyingine (Other) Ikiwa 9 (Elimu nyingine), tafadhali ueleze (If 9 please explain) (Main  1. Mwajiriwa wa Serkali (Civil Servant) 13 occupation)  2. Mwajiriwa wa kampuni ya kibinafsi (Employee in private sector)  3. Kibarua (Casual Labourer)  4. Mwajiriwa wa kibinafsi (Self-employed)  5. Asiyeajiriwa (Unemployed)  6. Mwanafunzi (Student)  7. (N/A)  9. Kazi nyingine(Other) 14 (Place of work)  1. Katika Mtaa huu (Inside this settlement)  2. Nje ya Mtaa huu (Outside this settlement) 193 15 (Main mode of  1. Gari la kibinafsi (Private car) transport used to  2. Motorcycle work)  3. Matatu/ Basi (Bus/ Matatu)  4. Pikipiki (Motor cycle)  5. Baiskeli (Bicycle)  6. Kwa miguu ( On foot)  7. (N/A)  9. Usafiri Mwingine (Other mode of transport) Ikiwa 9 (Usafiri mwingine), tafadhali eleza (If 9 please explain) 16 (Total Monthly income) 17 (Which mode of  1. Barua (Letters) communication do  2. Simu (Land line telephone) you mainly use?)  3. Simu ya jamii (Pay phone)  4. Simu ya rununu (Mobile phone)  5. Furushi (Parcels)  6. Barua Pepe(E-mail)  7. Mawasiliano ya uso kwa uso(Physical contact) 18 (Where do you  1. Hospitali ya raia (Public hospital) mainly seek  2. Hospitali ya kibinafsi (Private hospital) medical treatment  3. Hospitali ya kidini (Mission / NGO hospital) when sick?)  4. Mganga wa mitishamba (Traditional)  5. Duka la Dawa(Chemist)  6. Duka la Kawaida (Shop)  7. Kuombewa / (Prayer) 19 (Name of the medical facility) 20 (Where is this  1. Katika Mtaa huu (Inside this settlement) medical facility  2.. Nje ya Mtaa huu (Outside this settlement) located?) 21 What would you like to be considered during the upgrading process (in order of priority)? Usalama (Security)  Barabara (Roads) Afya (Health)  Nyumba (Housing) Elimu (Education)  Ajira (Employment) Maji (Water)  Usafi wa mazingira (Sanitation) Umeme/Stima (Electricity)  Mambo mengine (Other issues)  Ikiwa Mambo mengine, tafadhali taja (If any other please state) 22 Magonjwa ambayo umeugua ( Diseases suffered in the last 4 Months ) miezi 4 iliyopita 194  1. Malaria  5. Common cold  2. TB  6. Amoeba / Typhoid  3. Diarrhoea  7. Hypertension  4. Pneumonia  8. Diabetes 9. Magonjwa mengine (Other ailments) (If 9 please explain) 29 (Your share of the rent) 30 (Where did  1. Katika Mtaa huu (Inside this settlement) you live  2.. Nje ya Mtaa huu (Outside this settlement) before you  3. N/A came here?) 31 (Why did  1. Sababu za kinyumbani (Domestic reasons) you move  2. Sababu za uchumi (Economic reasons) here?)  3. Kuhamishwa (Eviction)  4. Mapigano (Skirmishes)  5. Landlessness  5. N/A  9. Sababu nyingine (Other reason) Ikiwa 9 (Sababu nyingine), 32 tafadhali (How many eleza (If 9 please explain) have years you lived in this settlement?) 195 ANNEX 4. RAP QUESTIONNAIRE 196 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) Expropriation Process Recruitment and Community and (Specify) (Specify) Relations Compensation a) Nuisance from 197 (Specify) dust b) Nuisance from noise c) Vibrations due to explosions d) Misconduct of the project personal/worker e) Complaint follow up f) Other 198 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 199