Session 3 Resettlement & Income Restoration

Session 3 Resettlement & Income Restoration SEMINAR Good Practice Social Considerations in Myanmar 26-27 July, 2017 ... more rigorous …...

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Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

SEMINAR Good Practice Social Considerations in Myanmar 26-27 July, 2017

Session 3 Resettlement & Income Restoration NIPPON KOEI CO., LTD. REEMAN CONSULTING

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Session 3 - Objectives 

A brief recap on key good practice land acquisition and resettlement [as most participants have seen the more detailed presentation before]



Explore livelihood restoration planning further using examples and a small group activity



Discuss monitoring and evaluation and good practice considerations including how to determine when resettlement is “complete”

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Question & Answer Session – Part 1

1. Each

person to come “post it” 1-2 questions or discussion points they would like to discuss on land acquisition & resettlement

2. Use

the “post it notes” provided

3. Can

be anonymous

4. We

will answer these questions before the end

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Key Terms – A Quick Recap Key Term

Definition

Involuntary Resettlement

Physical and/or economic displacement that affected persons or communities do not have the right to refuse – i.e. can resort to lawful expropriation

Physical Displacement:

Loss of homes/shelter resulting in relocation to other sites

Economic Displacement

Loss of land and/or other assets, restrictions of access to commonly held natural resources, that leads to loss of income or other sources of livelihood

Resettlement Action Plan

Plan describing how resettlement is planned and implemented incl. impacts, mitigation, consultation, process and procedures

Livelihood Restoration Plan

Plan describing all impacts to livelihood, restrictions to land use providing a detailed description for compensation and livelihood restoration

Government-led Resettlement

Resettlement undertaken by a Government agency on behalf of a project / Sponsor

Security of Tenure

Resettled individuals or communities resettled to a site that they can legally occupy and are protected from the risk of eviction

Host Communities

The communities that will receive those who are resettled

Cut-off Date

The date of completion of the census survey and asset inventory represents the cut-off date which determines persons eligible for resettlement & compensation



Key Terms

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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International Standards on Land Acquisition & Resettlement OP 4.12, Involuntary Resettlement Performance Standard #5, Land Acquisition and Involuntary Resettlement JICA Guidelines for Environmental and Social Considerations [refers to OP4.12] Safeguard Requirement 2, Involuntary Resettlement Equator Principles III for Financial Institutions [follows IFC PS#5]

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When and Why Do Standards Apply? 

Physical and economic displacement



Land acquisition or long-term lease; Restrictions on land and natural resource use; Economic displacement from activities other than land acquisition, e.g. loss of access to fishing areas



Standards don’t apply to ‘voluntary’ transactions, BUT, what does “willing buyer-willing seller” mean? [Beware of applying “ willing buyer-willing seller”]



Myanmar EIA Procedure 2015 requires World Bank/Asian Development Bank Safeguards to be applied (para. 7)

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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National versus International Requirements 

Resettlement planning and implementation needs to meet both national laws on land acquisition and compensation AND international standards



Use a Gap Analysis to identify differences – in policy and practice (e.g. some levels of Government may not follow own policy)



The higher standard shall be met in case of differences



Mitigation measures for gaps developed by

National laws should always prevail; international standards generally require national laws to be ‘complemented’ through supplementary measures to meet more rigorous requirements

government, companies, lenders, others 

Involve experts and advisors including legal advisors

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General Objectives

“Not Net Harm” / “No Worse Off”

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Avoid, minimize adverse impacts from land acquisition or restrictions on land use



Avoid or minimize displacement



Avoid forced eviction



Improve or restore livelihoods and standards of living



Improve living conditions among displaced persons e.g. adequate housing, security of tenure

NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Key Risks For Affected Persons

For Governments & Companies



Impoverishment - homeless, landless, jobless, marginalized



Loss of social license to operate



Business disruption and budget overruns



Breakdown of social and cultural networks



Public scrutiny -> increased transaction costs



Difficulty in transitioning to new lives



Delays in project completion



Dependency - “resettlement syndrome”

Special attention to vulnerable groups - e.g., women, elderly, refugees and internally displaced person

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Key Issues and Challenges Related to Involuntary Compensation and other benefits

Livelihood Restoration without creating dependencies

Vulnerable Groups

Community Engagement (incl. complaint management)

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Eligibility and Tenure

NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

10

Avoiding & Minimizing Displacement Project Design 

Anticipate, avoid & minimize displacement



Much can be achieved by alternative project design



Determine potential cost for compensation & livelihood restoration

ROW Re-Routing

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The Resettlement Process

Source: Reddy, Smyth and Steyn (2015) Land Access and Resettlement

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Resettlement Planning and Implementation – Key Steps Resettlement Planning 

Census, asset inventory, valuation, tenure, eligibility



Consultation & negotiations

Resettlement Implementation



Establishing cut-off date



Replace and/or compensate



Assist with livelihood restoration



Monitor and evaluate



Consultation and grievance mechanism



Completion audit

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Example: Understanding Land Legacy Issues in Myanmar Government manages land acquisition for a company. Land classification based on survey maps/data from 1917. Land Use Certificates issued in 2012 under new Land Law. Only farmland from 1917 is paid at higher compensation rate; all other land is deemed pastureland and paid at a lower rate. In reality, the land is of similar quality across the whole area.

Farmer is cultivating land that is needed to build a resettlement site. Government pays crop compensation to farmer; brothers and sisters also make claim on the land.

Land acquired by Government in 1990’s. Land was not developed then but is now being developed by a private company. Compensation is being paid to current users but they are not the ‘original owners’ who still live nearby.

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Land Tenure & Eligibility Eligibility: classified as persons i.

who have formal legal rights to the land or assets they occupy or use;

ii.

who do not have formal legal rights to land or assets, but have a claim to land that is recognized or recognizable under national law; or 19

iii.

who have no recognizable legal right or claim to the land or assets they occupy or use

The inventory & census is designed to identify ALL potentially eligible people (e.g. owners, renters, sharecroppers, ‘squatters’ etc).

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Land Tenure & Eligibility House Owner – own land Land User - renter

House Tenant Land owner - farmer

House Owner – rented land

Small Business Owner

Economically Displaced

Sharecropper

Employee – business Nonresident home owner

Seasonal agricultural labourer

Physically Displaced

Grave owner Grave tenant

Pastoralist Opportunisti c settler – “squatter”

Temporarily Displaced

Others?

Titled, Soft Titled, No Title

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

Eligibility Criteria – What is it?

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Entitlements Matrix Eligible Entity

Eligibility Criteria – WhatConditions is it? Eligibility (Individual or

Affected Right or Interest

Entitlements

Household or Other)

Land held under a Registered land registered title owner (usually a physical person – one case in the ProjectAffected Area)

Hold a registered land title Compensation – X Or Y or X and Y that was registered with Allowances – relevant Authorities prior to Livelihood restoration assistance the Cut-Off Date

INDIVIDUAL Land held under customary ownership and not registered

Asset, Right, Interest

Customary land owner whether resident or nonresident (includes “transhumant farmers”)

Hold, prior to the Cut-Off Date, Compensation – X Or Y or X and Y an unregistered, customary Allowances – land right recognized as such by local customary authorities Livelihood restoration assistance -

INDIVIDUAL

Individual, Household, Community, Others?

Compensation – at full replacement cost

Titles, Local Authority Approval, Others?

Allowances – to ensure people are not ‘worse off’ in transition phase Livelihood restoration – to restore livelihoods / income levels

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Full Replacement Cost  Full FULL

• Valuation methods – which one?

• Market price, land & transactions, Replacement Cost Allowances

REPLACEMENT COST

established unit rates, reduced floor area, construction and labour costs? • Who determines cost? Who pays? • Reaching consensus = less grievances

WHY? • Indebtedness • Loss of local culture and social disruption • Impoverishment • Food insecurity • Loss of well-being

• Transition Allowance • Moving Allowance ADEQUATE ALLOWANCES • Disturbance Allowance

More costly to fix than to get right in the first place

• Others?

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Some Key Reminders on Livelihood Restoration 

Improve or at least restore livelihoods



Challenging; particularly for agriculture- or fishing- based economies



Should include viable alternatives



Experience shows that it is usually very difficult to ‘change’ livelihoods



Is there a history of success or failure of the proposed models?



Are there adequate food security measures in each of the models?



Jobs for affected persons/locals during construction & operation of a project do not happen without considerable efforts Training Alone is Usually Not Enough

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Key Livelihood Tools / Models Training - Vocational - Other

Jobs - Construction - Operations - Elsewhere

Agricultural improvement projects

Micro / small business development

Access to credit

Others?

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

Mapping Livelihood Opportunities Groups within X Community Employed by others Skilled artisans

Business opportuni es, support

Egg Project (15) Pig Programme (10)

Transporters /drivers

Large business operators Farmers agriculture

Goat programme (20) Hor cultural project (84)

Chicken Programme (10) Agricultural Business

Agricultural Improvement Animal Trac on (2) Dip Tank Project

Stake mul plica on project

Small business operators

Farmers horticulture

Livestock Improvement

Idle

Conserva on Agriculture

Training in small business

Elderly

Livestock producers

Training

Livelihood Projects

Under 18 years

18 -35 yrs

35-59 yrs

60 + yrs

Phase 1

Phase 2

Vulnerable and At Risk

Sector, age and gender considerations are all important

Village 1

Village 2

Resettlement Site 1

Host Community

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Question & Answer Session – Part 2

1. Let’s

look at the “post it notes” and see what questions we still have not answered

2. Group

discussion

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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Now let’s discuss monitoring & evaluation 

Internal monitoring



External monitoring



Outcome evaluation



Completion audit

Corrective action plan

Consult and Plan – RAP/LRP

Evaluate



But firstly, what are you seeking to monitor and evaluate?

Implement

Monitor

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When to Monitor 

From the beginning, but for different things at different times



Internal monitoring:





Social and demographic indicators which can be compared against baseline data (education, health, etc) at a community level



Complaints and grievances



Data collected on vulnerable groups



Sampling of households to assess their specific situations using direct and proxy indicators

External monitoring: 

Generally only appropriate after communities have had a chance to settle in to their “new normal”

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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When to Evaluate 

Monitoring without evaluation is like “no salt in the curry”



Data should be evaluated, with findings fed back in to programme design (for livelihood restoration) and additional mitigation measures as needed (for physical displacement)



What is the point of evaluation if there is no funds/will/resources to make modifications?

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Outcome Evaluation 

Up to several times throughout the course of resettlement process, depending on the scale / complexity



Outcome evaluation and completion audit are not the same



Outcome evaluation will inform and may occur as part of a completion audit, but it is something that should be led by the project, not by an external auditor



Very unlikely that the first outcome evaluation will result in a 100% success assessment – expect corrective action items to be identified which need to be addressed



Do outcome evaluations have to be done by external parties?

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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How To Do An Outcome Evaluation 1. Define indicators (including proxies) to measure standard of living and livelihood restoration.

Collate existing baseline data to support comparison

Further analysis of households in declined condition to establish: Consult with affected households to better understand their situation

Finalise and develop corrective action plan

•Specific factors related to declined conditions •Probable cause of declined condition (displacement or something else?) •If decline related to displacement, make corrective actions

Data analysis to be conducted at a household level. Determine if improved, maintained or declined

Categorise households by status (improved, maintained, declined)

Monitor corrective action plan implementation

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The Timeline Outcome evaluation for physical displacement

Monitoring starts

Year 0

Year 1

Outcome evaluation for economic displacement

Year 2

Completion audit

Year 3 +

Purpose of a completion audit • •

Assessment of whether RAP commitments have been met Review of outcome evaluation data to determine whether households have improved standard of living and restored livelihoods

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

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When is Resettlement Complete? 

When everyone has a new home?



When everyone has received compensation?



When all the RAP commitments have been met (sports hall built etc)?



When every household has an improved standard of living?



When every household has restored their livelihood?



When all corrective actions have been completed?

Some Common Misconceptions 

Many resettlement projects consider building nice houses as a priority; while rewarding to show, and appreciated by PAPs in the short term, nice houses do nothing to restore livelihoods



Under-funding resettlement projects is common, particularly for livelihood restoration activities; build all costs into budgets



Corrective actions more costly than doing it right first time

The absence of physical displacement impacts does not necessarily mean that the land acquisition process will be straightforward. Economic displacement impacts are often the more difficult to address and leaving residents very close to facilities rather than resettle can cause a range of ongoing impacts 29 8/1/2017

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NIPPON KOEI CO., LTD.

Technical Assistance for Land Acquisition, Resettlement and Income Restoration Program in Myanmar (JICA)

Some Final Thoughts 

Land acquisition planning takes time….usually years and must commence early in the project cycle (e.g. pre-feasibility, feasibility)



Urban resettlement is highly variable and sensitive to land costs



Government should always be involved but companies can also play a lead role; tripartite committees are always recommended



Resettlement should be guided by resettlement specialists including local/national specialists



Seek independent review of resettlement planning and implementation to ensure relevant standards are being met



A willingness to adapt when things are not working as intended is crucial

30 8/1/2017

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