MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND …documents.worldbank.org/curated/en/781061527220283425/pdf/KISI… · Nakuru (Naivasha and Nakuru), Nyeri and Kiambu (Thika);

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MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN

DEVELOPMENT

Kenya Informal Settlement Improvement Project (KISIP)

Resettlement Action Plan for Infrastructure Upgrading Projects in Hill School,

Racecourse, and Kimumu Hawaii Informal Settlements, Eldoret Town,

Uasin Gishu County

May 2017

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FACT SHEET

Project Name Kenya Informal Settlements Improvement Project (KISIP)

Assignment Name Consultancy for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements

Lead Implementing Agency

Ministry of Transport, Infrastructure, Housing and Urban Development (MTIH&UD)

Funding Agencies Government of Kenya, World Bank, AFD, SIDA

Consultants GA Consultants, Pamoja Trust and IPE Global

Start Date May 12th 2014

Completion Date May 12th 2015

Team Leader Eng. Sam Kibunja

Deputy Team Leader Eng. Ben Omore

Target settlements • Hill School

• Racecourse

• Kimumu Hawai

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This Resettlement Action Plan (RAP) for Infrastructure Upgrading of Hill School, Racecourse and

Kimumu Hawaii informal settlements located in Eldoret Town Uasin Gishu County. The RAP has

been prepared under Consultancy Services for Socio-economic Surveys, Infrastructure Upgrading

Plans, Engineering Designs, Preparation of Bidding Documents, Environmental Impact

Assessments and Resettlement Action Plans in Informal Settlements by GA Consultants Ltd in

Association with Pamoja Trust and IPE Global on behalf of the Kenya Informal Settlements

Improvement Project (KISIP).

Report Prepared by:

Signed …………….Date…………...............…….

GODWIN LIDAHULI SAKWA

LEAD EXPERT NEMA REG NO. 2492

Checked by:

Full name of Authorized representative:

Signed ……………………………Date………………………….

ENG ELISHA AKETCH

GA CONSULTANTS LIMITED IN ASSOCIATION WITH PAMOJA TRUST & IPE GLOBAL

Client:

Signed …………………………….Date………………………….

KISIP – COORDINATOR

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MINISTRY OF TRANSPORT, INFRASTRUCTURE, HOUSING AND URBAN DEVELOPMENT

(MTIH&UD)

LIST OF ACRONYMS

AFD……………………………… Agence Française de Development

ESIA………………………........... Environmental Social and Impact Assessment

EMSF……………………….......... Environmental and Social Management Framework

CG…………………………............ County Government

CGRC…………………………... Community Grievance Redress Committee

KERRA……………………........... Kenya Rural Roads Authority

KENSUP …………………............ Kenya Slum Upgrading Program

KISIP………………………........... Kenya Informal Settlements Slum Upgrading Project

KURA…………………….............. Kenya Urban Roads Authority

LA …………………………........... Land Act

MTIH&UD ………………………. Ministry of Transport, Infrastructure, Housing and Urban

Development

NLC………………………............ National Land Commission

NEMA…………………….............. National Environment Management Authority

NGO’s………………………......... Non-Governmental Organizations

OP…………………………............ Operations Policy

PAD………………………............. Project Appraisal Document

PAPs ………………………........... Project Affected Persons

PCT……………………………….. Project Coordination Team

RAP………………………............. Resettlement Action Plan

RPF………………………….......... Resettlement Policy Framework

SEC………………………….......... Settlement Executive Committee

SIDA……….……………............. Swedish International Development Cooperation Agency

SWM………………………........... Solid Waste Management

SUP………………………............. Settlement Upgrading Plans

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WB……………………….............. World Bank

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LIST OF TABLES

Table 1-1 Sub Projects and anticipated Resettlement Impacts ..................................................................... 15

Table 2-1: Public Meeting held within the Settlements ................................................................................ 25

Table 2-2: Outcome of Institutional Consultations ........................................................................................ 27

Table 3-1: Relevant Laws Related to Resettlement ....................................................................................... 29

Table 3-2: Statutory Institutions with Roles in the RAP process ................................................................... 33

Table 4.2-2; Level of Education of the Household Members – Hill School .................................................... 37

Table 4.2-6 Monthly Household Income –Hill School .................................................................................... 38

Table 4.2-9 Main Activity of Adults (18 years and above) – Hill School ......................................................... 39

Table 4.3-1; Composition of Sample Households – Racecourse .................................................................... 40

Table 4.3-4; Level of Education of the Household Members – Racecourse .................................................. 40

Table 4.3-6; Monthly Household Income – Racecourse ................................................................................ 41

Table 4.3-7; Monthly Per Capita Expenditure of households– Racecourse ................................................... 41

1.1.1.1 Table 7.7: Monthly Per Capita Expenditure of Households – Race Course ................................... 41

Table 4.3-9; Main Activity of Adults (18 years and above) – Racecourse ...................................................... 42

Table 5-1 Type and Numbers of Structures ................................................................................................... 44

Table 5-3 Project Affected Persons losing Income ........................................................................................ 48

Table 5-4 Project Affected Persons per Settlement ...................................................................................... 49

Table 6-1: Entitlement Matrix ........................................................................................................................ 54

Table 8-1: RAP Monitoring Plan ..................................................................................................................... 61

Table 9-1: Statutory Institutions with Roles in the RAP process ................................................................... 68

Table 9-2: RAP Implementation Schedule ..................................................................................................... 71

Table 10-1 RAP Estimate Budget ................................................................................................................... 72

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LIST OF FIGURES

Figure 4.2: Map of the four Target Settlements in the Eldoret Town ........................................................... 35

Figure 5-1: Materials of structures ................................................................................................................ 45

Figure 5-2 Ownership of the structures ......................................................................................................... 45

Figure 5-3 Type of common business in the Settlements .............................................................................. 48

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EXECUTIVE SUMMARY

The Ministry of Transport, Infrastructure, Housing and Urban Development (MTIH&UD) is

implementing the Kenya Informal Settlements Improvement Project (KISIP) in 14 counties. Uasin

Gishu is one of the Counties chosen to participate in the Project. The Project is jointly financed by

the World Bank, the Swedish International Development Agency (SIDA), the French Agency for

Development (AFD), and the Government of Kenya (GoK). The Project’s development objective is

to improve the living condition of people living in the informal settlements through securing land

tenure and provision of infrastructure and services.

In Uasin Gishu (Eldoret town), KISIP has proposed to implement infrastructure improvement

projects in three informal settlements namely, Hill School, Racecourse and Kimumu Hawai. The

type of infrastructure that will be implemented in the settlements include: roads and drainage;

water and sewerage; and flood lighting. These projects will be responding to the current

challenges within the settlements as identified and prioritized through community consultation.

The socio-economic studies, feasibility studies, and detailed engineering designs have been

completed.

The Resettlement Action Plan (RAP) prepared for the Projects established that implementation of

the proposed Projects will trigger minor displacement of assets and livelihoods. However, no

private land will be expropriated as all the affected assets are encroachments on designated

public way leaves. This Resettlement Action Plan (RAP) has been prepared in conformity with the

World Bank’s Operational Policy on Involuntary Resettlement (OP 4.12), and the Project’s

Resettlement Policy Framework (RPF).

The preparation of this RAP involved review of key documents including the Project Appraisal

Document (PAD), Resettlement Policy Framework (RPF), a separate socio-economic survey report

for the settlements prepared during project conceptualization, the survey plans, and Physical

Development Plans (PDPs). Moreover, the methodology also involved field work; consultations

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with the community, project affected persons, and other stakeholders; socio-economic survey of

the PAPs, census of affected assets and persons; valuation; and preparation of PAP registers.

Consultations with the PAPs have been undertaken to discuss and agree on the mitigation

options. The PAPs recognize that they illegally occupy land reserved for infrastructure

development particularly roads and are willing to remove their structures and temporal

businesses to pave way for the project. The population affected by this project includes people

occupying land on the road reserve in violation of Kenyan laws. These groups of people; who are

often referred to as encroachers, are not entitled to compensation for loss of land under both the

OP 4.12 and the Government of Kenya laws. However, they are entitled to compensation for any

improvements made to the land as well as to resettlement assistance to an area where they can

live legally if they occupied the project area before an established cut-off date.

A census and socio-economic survey of the Project-Affected Persons (PAPs) was undertaken and

a PAP Register prepared. A total of 187 persons will be affected by the project distributed as

follows: Hill School (102), Racecourse (13) and Kimumu Hawaii (72). 1 of the PAPs was identified

as vulnerable, is elderly and mentally challenged.

The kinds of losses identified were temporary structures, house extensions erected on way

leaves, and temporary market stalls and kiosks. In addition, livelihood losses have been identified

for traders who sell their wares on the road corridors and will move to alternative sites. The

floodlights will be placed on public land that is available and drainage runs parallel to the roads

being upgraded, so there will be no additional displacement impacts.

A valuation of the affected assets and livelihoods has been undertaken and an entitlement matrix

and compensation package proposed in this RAP. The RAP proposes the settlement of

compensation and resettlement assistance before the commencement of the project.

Approximately Kshs. 5,915,090.00 has been provided as a budget to implement the RAP.

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The project will not result in large scale disruptions of livelihoods and displacement as it is

upgrading existing infrastructure (roads and drainage), and the design follows the designated way

leaves. It will not result in loss of land and the need to compulsorily acquire private land. The

positive impact is that the construction of the proposed infrastructure (roads, drainage, security

lighting and water and sewerage) will greatly improve the living conditions of the inhabitants in

all the four settlements. With the implementation of mitigation measures, including those

proposed in this RAP, the overall social impacts of the project will be minimal. The project will

also offer significant socioeconomic opportunities for communities and the population of the

area.

In line with the World Bank safeguard requirements, this RAP will also be publicly disclosed in

community meetings in the settlements, the Ministry’s website, and the Bank’s info shop. Copies

will be made available to the settlement Executive Committees, and KISIP County offices, as well

as to the Resident Engineer.

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TABLE OF CONTENTS

FACT SHEET .....................................................................................................................................2

LIST OF ACRONYMS ........................................................................................................................4

LIST OF TABLES ................................................................................................................................6

EXECUTIVE SUMMARY ....................................................................................................................8

1.0 INTRODUCTION .......................................................................................................................13

1.1 Background ................................................................................................................................ 13

1.2 Project Description ..................................................................................................................... 14

1.3 Project Impacts .......................................................................................................................... 16

1.4 Statement of the Problem and Need for RAP ............................................................................ 16

1.7 Minimizing Impacts of Resettlement ............................................................................................... 18

2.0 THE RAP PROCESS ..............................................................................................................20

2.1 Introduction ............................................................................................................................... 20

2.2 Approach and Methodology ...................................................................................................... 21

2.3 Valuation of Assets and Livelihoods................................................................................................. 27

3.0 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK ..............................................................29

3.1 Applicable GoK Policy and Legal Framework ................................................................................... 29

3.2 World Bank Safeguard Policies ........................................................................................................ 30

3.3 Gaps between OP 4.12 and GoK Policies ......................................................................................... 32

3.4 Institutional Responsibilities for RAP Implementation .................................................................... 33

4.0 SOCIO - ECONOMIC BASELINE ................................................................................................35

4.2 Hill school and Kimumu Hawai ................................................................................................... 36

4.3 Racecourse ................................................................................................................................. 39

5.0 RESETTLEMENT IMPACTS AND MITIGATION .........................................................................43

5.1 Type of Losses .................................................................................................................................. 43

5.2 Number of Project Affected Persons (PAPs) and Assets Affected ............................................. 48

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6.0 COMPENSATION AND RESETTLEMENT ASSISTANCE ........................................................50

6.1 Eligibility Criteria ........................................................................................................................ 50

6.1.4 Notification ............................................................................................................................ 52

6..1.5 Payment of Compensation..................................................................................................... 53

7.0 GRIEVANCE MANAGEMENT & REDRESS ................................................................................56

7.1 Grievances and Disputes .................................................................................................................. 56

7.2 Management Mechanism ................................................................................................................ 56

8.0 MONITORING AND COMPLETION AUDIT ..............................................................................60

8.1 Introduction ..................................................................................................................................... 60

8.2 Monitoring of Evaluation framework .............................................................................................. 61

8.3 RAP Monitoring Framework ............................................................................................................ 62

8.4 Resettlement Completion Audit ...................................................................................................... 63

9.0 IMPLEMENTATION OF THE RAP AND INSTITUTIONAL ORGANIZATION ..............................65

9.1 Project Management at Ministry level ............................................................................................ 65

9.2 The Project Coordinator (PC) ........................................................................................................... 65

9.3 KISIP Project Coordination Team ..................................................................................................... 65

9.4 RAP Implementing Committee ........................................................................................................ 66

9.5 County Project KISIP Teams ............................................................................................................. 67

9.6 Other Institutional Responsibilities for RAP Implementation ......................................................... 68

9.7 Disclosures of RAP ............................................................................................................................ 69

9.8 RAP Implementation Schedule ........................................................................................................ 70

10 BUDGET ....................................................................................................................................72

10.1 Budget ............................................................................................................................................ 72

APPENDICES: ............................................................................................................................73

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1.0 INTRODUCTION

1.1 Background

The Kenya Informal Settlements Project (KISIP) is a five year-project of the Government of Kenya

(GoK), with support from the World Bank, through The International Development Association

(IDA), the Swedish International Development Cooperation Agency (SIDA) and the Agence

Française de Development (AFD). The overall project development objective is to improve living

conditions of people living in informal settlements by improving security of land tenure and

investing in infrastructure based on plans developed in consultation with communities.

KISIP is housed by Ministry of Infrastructure, Transport, Housing and Urban Development and

implemented in close partnership with the 14 participating Counties of Uasin Gishu (Eldoret),

Embu, Garissa, Kakamega, Kericho, Kisumu, Kitui, Machakos, Kilifi (Malindi), Mombasa, Nairobi,

Nakuru (Naivasha and Nakuru), Nyeri and Kiambu (Thika); selected on the basis of agreed criteria.

The KISIP is desirous to ensure that environmental and social issues are adequately identified and

addressed in all its components and, in particular, for infrastructure investments. To achieve this,

an Environment and Social Management Framework (ESMF) and Resettlement Policy Framework

(RPF) were prepared and approved prior to financing. The key objective of the ESMF and RPF is to

provide a framework for the systematic and effective identification and management of

environmental and social issues for KISIP. The ESMF provides guidance on the integrating of

environmental issues into project design and implementation, while the RPF provides guidance

on mitigating the likely impacts associated with land acquisition and displacement. The ESMF and

RPF form part of the financing agreement between the World Bank and the Government of

Kenya.

Component three of KISIP supports investment in settlement infrastructure, such as roads,

bicycle paths, pedestrian walkways, street and security lighting, vending platforms, solid waste

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management, storm water drainage, water and sanitation systems, public parks and green

spaces.

A joint venture between GA Consultants, Pamoja Trust, and IPE Global Ltd, have been contracted

under the Consultancy services for socio-economic surveys, infrastructure upgrading plans,

detailed engineering designs, preparation of bidding documents, Environmental Impact

Assessment, and preparation of Resettlement Action Plans, in selected informal settlements, in

Uasin Gishu County (Eldoret Town).

Prior to the undertaking of this RAP, the proposed projects were screened for both

environmental and social impacts. The purpose of the screening was to determine the nature and

magnitude of the potential impacts on the environment, people and livelihoods; and determine

the level of environmental and social assessment required.

The screening identified limited displacement of structures built on the way leaves and likely

temporal livelihood disturbance as potential impacts. This RAP has been prepared in conformity

with the World Bank’s Operational Policy on Involuntary Resettlement (OP 4.12), the

Resettlement Policy Framework (RPF), the 1999 Environmental Management and Coordination

Act, and other Government of Kenya policies and laws dealing with resettlement issues, to ensure

that project affected persons are identified and assisted to mitigate against any potential loss.

1.2 Project Description

According to the Project Appraisal Document (PAD), the menu of eligible projects that can be

financed under KISIP are: roads, bicycle paths, pedestrian walkways, street and security lighting,

vending platforms, solid waste management, storm water drainage, water and sanitation

systems, public parks and green spaces.

The communities in the three (3) settlements were involved in the identification and

prioritization projects from the menu of the projects provided in the PAD. Moreover,

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communities were consulted and participated during the socio-economic surveys, conceptual

designs, and the development of settlement upgrading plans. During these consultations, the

likely impacts of the proposed projects were discussed and informed the prioritization process.

Such impacts included both positive and negative environmental and social impacts.

The following Table (Table 1-1) shows the prioritized and proposed projects and potential

resettlement impacts.

Table 1-1 Sub Projects and anticipated Resettlement Impacts

No Project Description Resettlement Impacts

1 Roads and Drainage

The project will involve is upgrading existing roads to bitumen standards The roads have been designed to follow designated way leaves on physical development plans (PDPs). Hill School: 1709m of RI and 1054m of R2 roads, the roads are; Teleview to Elgon View, Starehe to Elgon View and Kisumu road through to Elgon View. R2 roads are Biashara, Mathare and Bondeni roads Racecourse: Total of 2705m R1 and 2752m of R2 roads including Chinese to Cardoctor and Jumbo to Naftalis and for R2 roads included Church to Oletebes Kimumu Hawai: 3124mR1 and 3313m of R2 roads, the roads are Ngenyilel, Canaan, Peris and Sinai roads for R1 while R2 roads are Bellways, Living Faith, Mama lala, Cheruyot and Nderitu

There will be no cases of acquisition of private land since the roads already exist. Relocation impacts limited to mostly temporal structures encroaching onto road reserve. No populations will be displaced from the settlements Some informal businesses along the road corridors may be temporarily affected.

2 Water and Sewerage

Designed to follow road reserve land and in some cases existing similar infrastructure. Hence no cases of acquisition of private land Hill School; 1709m of sewer line of 300mm and 5800m of 200mm

There will be no acquisition of private land and therefore nobody will lose land. Relocation issues limited to encroached structures which will have to be removed.

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within the settlement

Kimumu Hawai: 1709m of sewer line of 300mm within the settlement Racecourse 8657m of sewer line of 300mm within the settlement

Some informal businesses may be temporarily affected.

3 Flood lights

All proposed to be constructed on public land within the settlements Hill school: 30m height 3number Kimumu Hawai: 30m height 8number Racecourse: 30m height 4number

No cases of displacement.

1.3 Project Impacts

These proposed projects will have the following positive impacts:

• Improve accessibility within the four (4) settlements by upgrading the poor road and

footpath network in the settlements.

• Improve drainage and solve flooding related impacts within the settlements.

• Improve sanitation and solve sanitation related health risks.

• Improve security through security lighting

However, the projects may have limited environment and social negative impacts, which should

be mitigated, these impacts will include removal of structures and businesses located on the way

leaves.

1.4 Statement of the Problem and Need for RAP

Resettlement impacts are anticipated to be quite small in scale occasioned by:

i. Partial demolition of structures to expand / realign road reserves

ii. Reclamation of encroached way-leaves

iii. Displacement of open and mobile shops (kiosks) to expand / realign road reserves,

provide drainage canals, etc.

iv. Removal of structures to create room for trunk infrastructure, such as drainage

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Both the World Bank’s Policy on Involuntary Resettlement (OP 4.12) and the Resettlement Policy

Framework (RPF) require the development and implementation of a Resettlement Action Plan

(RAP) to address any anticipated displacement impacts of a Bank-financed project. Moreover, the

Environmental Management and Coordination Act, 1999, provides for a RAP whenever

displacement is identified as an impact during Environmental Impact Assessment (EIA).

1.5 Objectives of RAP

The objective of this RAP is to clarify the principles and procedures that will govern the mitigation

of adverse social impacts induced by the proposed projects. Specifically, the RAP is designed to

ensure that:

i. All types of losses are identified, clearly defined and properly categorized to reflect the

nature and scope of the loss.

ii. A standard or measure for defining eligibility and entitlement in order to have a fair basis

for assessing compensation for the loss or impact suffered.

iii. Compliance with provisions of Kenyan Laws and World Bank Operational Policies (OP 4.12,

paragraph 2(b)): that resettlement activity shall be conceived and executed as

development programs, providing sufficient investment resources to enable the PAPs to

share in project benefits.

iv. Affected persons will be compensated for their losses at full replacement cost and

provided assistance for disturbance prior to the beginning of civil works.

v. A comprehensive database, based on which values will be assessed, validated in the event

of disputes and, more importantly, serve as the database for monitoring and evaluation of

the resettlement instrument.

vi. The PAPs will be consulted and given the opportunity of participating in the design,

implementation and monitoring of the resettlement.

vii. A Grievance & Redress mechanism will be established, to acknowledge and resolve

conflicts arising from Resettlement and Compensation.

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1.6 Scope of the RAP

This RAP contains:

i. A summary description of the Project, including measures to avoid and/or minimize

resettlement

ii. A summary description of the baseline socio-economic conditions in the Project area,

iii. An assessment of the World Bank Policies and Kenyan legal instruments applicable to

displacement and resettlement in the Project,

iv. An assessment of likely displacement impacts,

v. A description of the proposed strategy to deal with displacement impacts,.

vi. Description of Entitlement Eligibility of PAPs and their assets

vii. Estimated Budget for compensation of Affected Assets

viii. Implementation details, which presents the organizational and other arrangements to

implement the mitigations related with physical and economic displacement

ix. Grievance management mechanism

x. Monitoring and Evaluation of RAP during Implementation

1.7 Minimizing Impacts of Resettlement

Efforts have been made to minimize involuntary displacement and relocation of residents. Given

the population density in most of the informal settlements, the proposed infrastructure

investments may impact on people’s assets and sources of livelihoods, therefore the need for

preparation of a Resettlement Action Plan to mitigate the impacts and propose suitable

implementation arrangements. A Resettlement Policy Framework prepared for the project has

been used to guide the preparation of this RAP.

The project design team made deliberate measure to avoid and minimize impacts of the project

activities to people’s assets and sources of livelihoods; this was done at the conceptual stage

during the project development. In order to minimize impacts of the project on people’s assets

and livelihoods, the design team ensured that:

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• All the civil works have been designed within the existing road reserve, this was achieved

by using the Physical Development Plans (PDPs) developed by the by the county

government office of County Physical Planner.

• All Sites for setting up the proposed flood lights are on government land within the

settlements where no one claims ownership, this also was achieved through the use of

Physical Development Plans (PDPs) developed by the by the county government.

• Realignment of the Project Routes in areas where the impact of resettlement is likely to

be more.

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2.0 THE RAP PROCESS

2.1 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 RAPs, and

key components to be included in the RAPs 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 the project development, social and environmental screening was

undertaken to determine the nature and magnitude of the potential impacts on the environment,

people and livelihoods; and determine the level of environmental and social assessment

required. The social screening revealed that the project will be constructed within the

government gazetted road reserves which currently has been encroached at isolated sections by

traders and temporal structures either as house extension or business sheds. This therefore

triggers World Banks safeguards policy OP 4.12 which now requires that RAP to be prepared

which will ensure that the PAPs are adequately compensated for the loss they are likely to incur.

In order to minimize impacts on the project to peoples assets and livelihood, the design team

ensured that all the civil works have been designed within the existing road reserve, this was

achieved by using the Physical Development Plans (PDPs) developed by the by the county

government

The RAP was prepared based on the survey plans undertaken for the project which identified the

project routes within the settlement. The main objective of the RAP was to minimize the adverse

impacts to project affected persons (PAPs) and enhance or at least restore their livelihood to that

of the pre-project level. This was achieved through restricting the infrastructure within the

designated road reserves and therefore minimizing the need for acquisition of private land which

could lead to displacements. Moreover, an assistance package has been proposed in the

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entitlement matrix for the minimum disruptions particularly from encroached structures and loss

of income from small businesses along the road corridors.

A socio-economic survey of the settlements was conducted, and 100% census carried out for all

the Project Affected Persons. Moreover, the communities were involved in the whole process

from project identification, identification of potential impacts on their livelihoods, and proposed

mitigation measures. Community meetings were organized, and the Settlement Executive

Committees (SECs) involved in enumeration of the PAPs. This RAP report will also be publicly

disclosed to the communities before implementation.

2.2 Approach and Methodology

The methodology adopted in the preparation of this RAP involved various steps:

i. Review of relevant documents

ii. Field work

iii. Community and stakeholder consultation

iv. Socio-economic survey and census of the PAPs and assets

v. Valuation of assets and livelihood losses

vi. Preparation of PAPs registers

2.2.1 Review of Relevant Documents

As a first step, a number of key documents relating to KISIP project were consulted to provide

guidance. These documents were consulted throughout the process. These documents included:

i. Project Appraisal Document (PAD) for KISIP which is the official project document

ii. 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

iii. Resettlement Policy Framework (RPF) which provides a framework consistent with the

World Bank’s OP 4.12 for mitigating physical and livelihood displacement impacts.

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iv. Conceptual Design Report KISIP Eldoret 2014 prepared after community consultation and

project identification that converts community needs into engineering solutions.

v. Socio Economic Report for Eldoret 2014 prepared as part of this consultancy covering all

the four settlements to provide baseline information for design and monitoring project

interventions.

vi. Community Consultation Report Eldoret 2014 which documents community involvement

in the identification and prioritization of project interventions.

vii. Environmental and Social Impact Assessment Report that is being prepared

simultaneously with the RAP, as part of the consultancy.

viii. Survey Plans, Registry Index Maps (RIMs) and Physical Development Plans (PDPs) that

shows the official way leaves and any public utility land. The maps provides for the main

settlement access road (R1) minimum width of 12m or 39.6ft and internal settlement

roads (R2) require a minimum width of 9m or 29.7ft and sewer way-leave of 6m.

Therefore, any structure or livelihood within the above referred dimension was

considered to be an encroachment. Project Map is attached as appendix to this report.

ix. Engineering Designs and Layout plans prepared for the proposed interventions.

2.2.2 Census of the Project Affected Persons

The RAP Team conducted a household survey which included 100% census of the affected

persons from 15th to 17st December 2014 in all the three settlements. The purpose of the census

was to: enumerate and collect basic information on the affected persons, identify affected assets

and livelihoods for each PAP, register the affected population and establish a list of legitimate

beneficiaries before the project’s onset that counters spurious claims from those moving into the

project area solely in anticipation of benefits, establish socioeconomic baseline information for

the purpose of establishing fair compensation rates, and 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 (resident and non-resident) by age, sex, ethnic group, and relationship to head of

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household, education and occupation and housing conditions. The census also documented

housing conditions, health conditions economic activities, sources of income and household

expenditures. This information was be 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, amounts and duration of

losses. The information was provided by the PAP as required and validated by the team on the

ground. The questionnaire was accompanied with photographs of the PAP, key affected assets;

and, full GPS data to locate the PAP and all key assets. The questionnaire was signed by the PAP

or representative.

In conducting the census, the team followed the required procedures for notifying people and

collecting, validating, approval and disclosing information on eligible PAPs and affected assets,

stemming from national laws and regulations. The team also ensured that the question of the

establishment of a “cut-off date” as per the World Bank policies was discussed and agreed in the

initial consultations.

The RAP team ensured PAPs or their representatives were present during asset enumeration. The

PAPs were required to sign the asset inventory collecting tool to show a confirmation that it’s the

true copy of the information collected. Photos of PAPs were taken by the RAP team standing in

front of their assets, and are presented as an appendix to this report.

2.2.3 Stakeholder Consultations

The community and other stakeholders have been involved in all project processes. 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

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proposed interventions. Screening of the proposed interventions for environmental and social

impacts was done with community involvement. The potential for large-scale relocation of

people and livelihoods was one of the considerations in prioritizing the selected project

interventions.

The RAP team involved the community and the Project Affected Persons in developing this RAP.

Before commencement of the census and enumeration of PAPs’ and affected assets and

livelihoods, a number of meetings were held within the settlement with the local Settlement

Executive Committees SECs committee members, general public, and Project Affected Persons

(PAPs). The objectives of the stakeholder consultations was:

a. To sensitize the community about the project and potential impacts on people and

livelihoods;

b. Provide a platform for the community to air views and concerns which are relevant to the

RAP and which must be resolved,

c. Involve them in key processes of census and the undertaking of the affected asset

inventory,

d. Provide an opportunity for the community to themselves propose the most appropriate

mitigation measures for asset and livelihood losses,

e. To seek support from the community and other all relevant stakeholders in the

preparation and implementation of the RAP.

Table2.1 gives a schedule of the community meetings held and the issues discussed respectively.

25

Table 2-1: Public Meeting held within the Settlements

No Issues Response and Discussions

1 Residents acknowledged the need for the project complaining that they have suffered for long time with bad roads and poor sanitation services within the settlements, they wanted to know how soon the project will commence.

RAP team responded that the project will commence immediately once all the required studies have been concluded and approved, these studies include, ESIA, RAP, Designs and Tendering.

2 Hill School Stakeholders wanted to know what will happen for the areas where their structures are likely to the affected by the project, they complained that in some cases the road reserves are narrow to as low as 6m while the area needed for the road is at a minimum of 9m.

RAP team responded that areas like those ones will be given specific attention and possibility of consulting with them with an aim of properly acquiring the extra needed metres will be considered, such process will be spearheaded by respective county governments. Should any private land be acquired, full compensation will be paid.

3 Residents wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate.

Yes adequate time will be given to them just before the contractor mobilizes to the ground an also this RAP report has proposed for the them to be allowed ample time to salvage materials from their structures in addition to reconstruction assistance offered.

4 Members wanted to know if the labour will be sourced from the community during construction of the project

RAP team respondent clarified that all casual labourers will be sourced from the local settlement through the Settlement Executive Committee and also qualified skilled labourer for vacant positions within the contract. However, the RAP team cautioned the community that the contractor will come with his skilled work force and that they should not confuse and claim that the he has hired them from other settlement.

5 Members wanted to know the extent of road and assets to be affected if the proposed roads will follow surveyor’s beacons

RAP team respondent remarked that the extend of structures to be affected will be those falling within the 12m corridor for the main settlement access roads and 9m for those falling within the internal settlement roads, yes the project will be constructed

26

within existing road reserve an no private land will be acquired. Encroached structures and extent will be marked for easy of identification.

6 Members wanted to know the fate of persons doing business along the reserves that are to be upgraded under the project

RAP team confirmed that all persons deriving livelihoods along the road reserves and their structures are deemed to be affected by the project will adequately compensated as required OP 4.12.

7 Members wanted to know the value of each property and livelihoods affected

RAP team respondent informed the gathering that at the stage of census and enumeration it’s not possible to tell the value of the assets, the value of the assets will be revealed once the valuation is concluded and the PAPs will be appropriately notified.

8 Members were concerned with the amount of compensation to be given and if it will be of the recommended standards

RAP team informed the gathering valuation will be undertaken by a registered government valuer who have their methodology of valuation as guided by the Valuers Act cap 532 and OP 4.12.

The RAP team also held meetings with other relevant institutions critical to the preparation and

implementation of this RAP. The purpose of the consultations was obtaining institutional inputs

on critical issues relating to resettlement. Table 2.2 illustrates outcome of the meetings.

27

Table 2-2: Outcome of Institutional Consultations

S/no Institution Meeting

Month

Outcomes of the Meeting

1 Kenya Urban Roads

Authority (KURA)

September to

December

2014

Office of the KURA Uasin Gishu region

Supports the project

The projects have been designed

accordance to the requirements of KURA

2 Eldoret Water and

Sanitation Company

September to

December

2014

The company Supports KISIP

intervention in Water and Sanitation in

the county as the town is experiencing

sewage problems

3 Lake Victoria North Water

Services Board

September to

December

2014

The company Supports KISIP

intervention in Water and Sanitation in

the county

The sewer line proposals are according

to the sewer plan of the town.

4 Uasin Gishu County

Government

September to

December

2014

Office of the Governor Uasin Gishu

Supports the project and is willing to

assist the RAP team on case by case

basis especially on the issues of way

leaves.

2.3 Valuation of Assets and Livelihoods

Valuation for structures was based on full replacement cost, consideration was made on

replacement of the structure regardless of its state. Elements of depreciation were not included

in the valuation, other elements that were considered and included in the valuation were market

rate for construction material, labor and transportation costs of the material that will be involved

in re-establishment of such structures.

Valuation of crops and trees was based on government of Kenya Ministry of Agriculture rates and

Kenya Forest Service rates respectively.

28

Livelihood valuation was based on average daily income from the respective livelihood activity,

for rental income, monthly average income from rent was computed for 2months.

29

3.0 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK

Resettlement of Project-Affected Persons (PAPs) in the project will therefore be carried out in

accordance with laws, regulations and guidelines for Resettlement/Land Acquisition Policy

Framework of the Government of Kenya and World Bank’s Operational Policy (O.P 4.12), which

has resulted in the preparation of this RAP.

3.1 Applicable GoK Policy and Legal Framework

This RAP has been prepared in accordance with laws, regulations and guidelines for

Resettlement/Land Acquisition Policy Framework of the Government of Kenya (GoK). The

relevant national and local laws, regulations and guidelines are presented in Table 3.1. Since no

land acquisition will be undertaken by the project, laws, policies and regulations relating to land

acquisition will not be analyzed in detail.

Table 3-1: Relevant Laws Related to Resettlement

Name of Act Application Remarks

The Land Act No.6 of 2012

An act of Parliament to make provision on land regulation and for the compulsory acquisition of land for public purpose. An inquiry held, objections heard, compensation payable. Applies to allocation of and dealings with Public land and private land. All encroachment on the public right of way under the section 143 of the Act will not be compensated or permitted

The project will not compulsorily acquire private land. Will apply if the project elects to ask the government to allocate public land for any relocation PAPs within the way leaves will be required to remove their structures.

The Constitution of Kenya 2010, Section 40 (3)(ii)

Anyone dissatisfied with the award of compensation for compulsory acquisition of private land by the Commissioner has the right to seek judicial recourse. A further appeal to the High Court can be made. Further, multiple structure owners dissatisfied with the RAP

The procedure of compulsorily acquiring private land for the purpose of the project can be considered where any extra space is needed for setting up the infrastructures proposed in this project.

30

implementation can bring a constitutional reference against deprivation of property without compensation.

The Physical Planning Act, Cap 286 (Act No 6 of 1996)

Requires preparation of development plans for every intended development and invitation to the public to comment /object to the development

The project design follows what is provided for on the Physical Development Plans (PDPs). To be considered when planning residential sites and other relocation sites but this is not likely under the project.

Land Registration Act No. 3 of 2012

A maximum of 5 persons can be registered as owners of one piece of land.

Would be applicable if land identified for relocation of the PAPs is registered under this Act.

The Public Procurement and Disposal Act No 3 of 2005 and the Public Procurement and Disposal (Public Private Partnerships) Regulations, 2009

Applies to all procurements by government and public entities

Would apply to the acquisition of any land that will be required for relocation. It would also apply to contracts for the construction work to be undertaken.

Kenya Roads Act Cap.2

Applies specifically to the function of Kenya Urban Roads Authority in implementation of the KISIP road upgrading project.

KURA shall have the responsibility for supervising construction, rehabilitation and maintenance of all public roads in the municipalities in Kenya under KISIP project.

Environmental Management and Coordination Act, 1999 and subsidiary legislation on EIA/EA (Legal Notice 101).

Provision for resettlement action plans to address displacement/relocation impacts

Regulations require RAP whenever relocation is identified as a project impact.

3.2 World Bank Safeguard Policies

According to OP 4.12, any World Bank assisted project/program must comply with the provisions

of OP 4.12 for impacts associated with land acquisition and displacement. OP 4.12 applies to all

components of the project that result in involuntary resettlement, regardless of the source of

31

financing. This policy covers direct economic and social impacts that both result from World Bank

assisted projects, and are caused by:

a) The involuntary taking of land resulting in (i) relocation or loss of shelter; (ii) loss of assets or

access to assets and services; or (iii) loss of income sources or means of livelihood, whether or

not the affected persons must move to another location.

b) The involuntary restriction of access to legally designated parks and protected areas resulting

in adverse impacts on the livelihoods of the displaced persons.

Towards addressing said impacts, OP 4.12 requires that a Resettlement Action Plan (RAP) or

Resettlement Policy Framework (RPF) be prepared, with the following objectives:

a) To outline measures to ensure that the displaced persons are: (i) informed about their options

and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with

technically and economically feasible resettlement alternatives; and (iii) provided prompt and

effective compensation at full replacement cost for losses of assets attributable directly to the

project.

b) If the impacts include physical relocation, the resettlement plan or resettlement policy

framework includes measures to ensure that the displaced persons are: (i) provided assistance

(such as moving allowances) during relocation; and (ii) provided with residential housing, or

housing sites, or, as required, agricultural sites for which a combination of productive potential,

locational advantages, and other factors is at least equivalent to the advantages of the old site.

Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement

policy framework also include measures to ensure that displaced persons are: (i) offered support

after displacement for a transition period based on a reasonable estimate of the time likely to be

needed to restore their livelihood and standards of living; and (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.

32

The KISIP complies with the requirements of OP 4.12 in the following ways:

a. Project alternatives to avoid, where feasible, or minimize involuntary resettlement were

assessed.

b. The potential economic and social impacts of the project have been assessed in the ESIA

study and summarized in this report as well.

c. Project-affected persons and local nongovernmental organizations, as appropriate, have

been consulted.

d. PAPs have been informed of their rights, including prompt compensation at full

replacement cost for loss of assets attributable to the project, assistance during

relocation, and transitional support and development assistance.

3.3 Gaps between OP 4.12 and GoK Policies

The RPF was prepared in conformity with the policy and legal provisions of the GoK and the

World Bank. However, in preparing the RPF, operational gaps between the policy/legal

frameworks of both emerged as follows:

a) While the GoK, through diverse legal tools including the new Constitution, allows for

acquisition and thus displacement, OP 4.12 favors a policy of avoidance or minimization of

involuntary resettlement and design of appropriate mitigation measures in cases where

avoidance or minimization is not possible.

b) While Cap 288 provides for compensation with respect to acquired land at market rates, OP

4.12 emphasizes the need for compensation at replacement cost coupled with provision of

support during the transitional period to improve or at least restore living standards of affected

people to pre-displacement levels.

c) The Kenyan law has no provision for compensation with respect to economic displacement,

unlike OP 4.12, which recognizes both physical and economic displacement.

d) The Kenyan system originally recognized only title holders as bonafide property owners but

currently, the new Constitution has opened an ‘in-good-faith’ window through which

compensation can be extended to non-title holders, which is more in harmony with the OP 4.12

33

premise that ‘lack of legal title should be no bar in extending assistance and support to those

displaced by projects’.

3.4 Institutional Responsibilities for RAP Implementation

During the RAP preparation process, a number of key institutions were identified as critical to

both preparation and implementation of the RAP. This is summarized in Table 3.2 below.

Consultations with and involvement of the Project-Affected Persons has been sought during the

process.

Table 3-2: Statutory Institutions with Roles in the RAP process

No Institution Role Capacity

1 Ministry of Infrastructure, Transport, Housing and Urban Development

Houses the KISIP project Provides policy direction Handles land tenure issues

The Ministry has experts in key areas: land management and administration, physical planning, resettlement

2 County Government of Uasin Gishu

Has the responsibility of implementing the RAP as spelled out in the RPF

Financial capacity is lacking. In the transition, KISIP providing assistance

3 Kenya Urban Roads Authority

In charge of the management of urban roads. It approves road designs and maintains roads.

Capacity exists

4 Kenya Power Responsible for relocating electricity transmission lines from the road reserves

Capacity exists. Costs provided in the BQ.

5 Eldoret Water and Sewerage Company

Responsible relocating affected water infrastructure e.g. pipes, water kiosks to maintain service levels

Capacity exists. Costs provided in the BQ.

6 National Environment Management Authority (NEMA)

Approving and issuing EIA licenses for projects which have addressed environmental and social impacts

Capacity exists. Costs of license provided for in the budget.

7 Ministry of Finance Financial management on Capacity exists and funds will

34

behalf of the Borrower ( GoK) Provision of counterpart funding – part of which is used to settle compensation claims by PAPs

be made available.

In addition to the above governmental institutions, several structures were established at the

community level in each of the settlements:

a) A Community Settlement Executive Committee (SEC) which 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.

b) The Community Grievance Redress Committee formed to address all grievances related to the

development and implementation of this RAP.

c) The County Resettlement Advisory Committee which will provide leadership at the county level

in the implementation of the RAP and addressing grievances from the community grievance

committee.

The overall coordination of the whole process, from development to implementation and

monitoring, is provided by the KISIP PCT. The National KISIP Coordinating Unit will supervise and

coordinate the implementation of this RAP, and report on implementation. It shall ensure active

participation of the community at all times.

35

4.0 SOCIO - ECONOMIC BASELINE

The project interventions are targeting three informal settlements in Uasin Gishu County

namely: Hill school, Racecourse, Kimumu Hawai and Kambi Nairobi. The figure below shows the

location of the settlements relative to each other and the central business district.

Figure 4.2: Map of the four Target Settlements in the Eldoret Town

36

4.2 Hill school and Kimumu Hawai

Hill School is named so after a large private school, although it was originally known as Wareng-

land. The settlement started as a large acre of land owned by white settlers who later sold their

land to someone named Paul Kemboi who later subdivided the land which now belongs to

numerous people who were given sale agreements. Since then most residents have managed to

get title deeds since 1999, but many still hold allotment letters.

Kimumu Hawai was initially owned by a white settler around 1958 who later sold the land to an

Indian man, who they called Fed Wadua, who subdivided and sold the same land around the

year 1963 to a settlement scheme, which was later subdivided and sold to local squatters who

were workers on the land. Hawai specifically started as the settlement scheme which was then

subdivided and sold off to the residents. The name was adopted from the United States Hawaii

which was brought to the settlement by a rich man who went abroad and returned to establish

a large hotel which later became a school. The settlement was affected by post-election

violence in 2007 with several properties getting burned down and many residents being ejected

from their homes and land

Hill School and Kimumu Hawai indicated corresponding socio economic characterises, either

due to the same economic characteristic of the people living in both the settlements, therefore

the summary of analysis presented in the next sub chapters is only for Hill School settlement

4.2.1 Household size, age and gender profile

Household size: The households covered in Hill School consisted of 29 (11%) single member

households and 234 (89%) multiple member households which had an average household size

of 4.4 members. The average household size for the entire sample was found to be 4. The

distribution of households by number of family members revealed that about 36.5% of the

households had five members or more. About 15.6% of the households had 4 members

whereas 47.9% of the households reported to have three members or less.

37

Table 4.2-1; Composition of Sample Households – Hill School

Total Single member

household Other

household

Number of households (%) 263 29 234

(100.0) (11.0) (89.0)

Number of household members 1,058 29 1,029

Average household size (no.) 4.0 1.0 4.4

Minimum household size (no.) 1.0 1.0 2.0

Maximum household size (no.) 15.0 1.0 15.0

Age profile: The children in the age group of 0-4 years constituted 15.8% of the total number of

household members School-aged (5-17 years) children and adults (18+years) represented

29.9% and 54.3% of the household members respectively

Gender profile: In terms of gender, 50.7% of the household members were male and 49.3%

female, reflecting a marginal gap in the distribution of population. However, among the single

household heads, the male-female ratio was 50:49 representing an almost equal distribution

Education profile: The condition of school attendance among children aged 5-17 in Hill School

was very encouraging. It was found that 292 children (92.4%) were attending school. This was a

positive trend. It was also found that, enrolment of female children (5-17 years) in school was

greater than male children. Among the adults (18+ years), 17.2% were reportedly attending

school.

Table 4.2-2; Level of Education of the Household Members – Hill School

Category Number %

1 Male children (5-17 year) attending school 146 90.1

2 Female children (5-17 year) attending school 146 94.8

3 Children (5-17 year) attending school 292 92.4

4 Male adult (18 year and more) attending school 61 21.5

5 Female adult (18 year and more) attending school 38 13.1

6 Adult (18 year and more) attending school 99 17.2

4.2.2 Household Income and Expenditure

38

Income: Close to one-third (32.3%) of the households stated a monthly earning level of less

than Ksh 9,000. The income data further revealed that the majority (41.8%) of households had a

monthly income ranging between Ksh 9,000 and Ksh 18,000. Around 25.9% of the households

reported a monthly income of over Ksh 18,000.

Table 4.2-6 Monthly Household Income –Hill School

The Analysis above indicate that majority of people at 40.1 % in the settlement earn an average

earning of between Kshs. 9000-18000 per month, therefore majority of the PAPs are at a high

risk of impoverishment if the RAP process is not properly handled. The earning is not sufficient

considering the expenditure analysis below.

Expenditure: Analysis of household expenditure data reveals that the average Monthly Per

Capita Expenditure (MPCE) was little over Ksh 4,962 per household. Of this amount, 35.3% was

spent on food items (Ksh 1,546), 23.1% accounted for non-food household supplies like soap,

toothpaste, mobile phone, school fees (Ksh 1,036).

4.2.3 Employment status

About 31.3% of the adults (18+ years) household members were self- employed, 19.3% were

working as casual workers and another 11.3% were regular employees. The unemployed work

force represented 20.7% of the household members in Hill School.

Amount in Ksh Number* %

less than 9,000 107 28.2

9,000 - 18000 152 40.1

Above 18,000 120 31.7

Total 379 100.0

Note: *Missing values are excluded from the analysis.

39

Table 4.2-9 Main Activity of Adults (18 years and above) – Hill School

Activity of adults Number %

Regular Employee 64 11.3

Casual worker 109 19.3

Self employed 177 31.3

Unemployed 117 20.7

Student 95 16.8

Others (apprenticeship, retired etc.) 4 0.7

Total* 566 100.0

Note: Missing values are excluded from the analysis.

4.3 Racecourse

The settlement began as a colonial settlement which was used majorly by white settlers for

horse racing and horse training. This was in the early 1960’s to 1970’s. Plots began to be sold in

the 80’s. The current Race Course show ground is still used presently.

A major occurrence the settlement has suffered is post-election violence where people from

surrounding communities and even the surrounding Rift Valley moved in large numbers into

Race Course settlement as well as setting up camp in the show ground. This weighed heavily on

the resources of the settlement as well as drove up prices of land, rent among others.

Additionally, the settlement has frequent flooding which is a major occurrence every four year.

During these times people are forced to move out

4.3.1 Household size, age and gender profile

Household size: The households covered in the survey in Race Course consisted of 23 (6.3%) single

member households and 345 (93.7%) other households which had an average household size of 5.6

members. The average household size for the entire sample was found to be 5.3. The distribution of

households by number of family members revealed that about 60.6% of the households had five

members or more. About 17.1% of the households had 4 members whereas 22.3% of the households

reported to have three members or less.

40

Table 4.3-1; Composition of Sample Households – Racecourse

Total Single member

household Other

household

Number of households (%) 368 23 345

(100.) (6.3) (93.7)

Number of household member 1,940 23 1,917

Average household size (no.) 5.3 1.0 5.6

Minimum household size (no.) 1.0 1.0 2.0

Maximum household size (no.) 22.0 1.0 22.0

Age profile: The children in the age group of 0-4 years constituted 10.1% of the total number of

household members. School-aged (5-17 years) children and adults (18+years) represented 32.6% and

57.4% of the household members respectively.

Gender profile: In terms of gender, 48.8% of the household members were males and 51.2%

were females, reflecting distribution almost at par distribution. However, among the single

household heads, male-female ratio was 35:47 representing strong female dominance.

Education profile: The condition of school attendance among children aged (5-17 years) in Race

Course was very encouraging. It was found that 93.5% of children were attending school

without any gender disparity. This was a positive trend. Among the adults (18+ years), 22.4%

were reportedly attending school.

Table 4.3-4; Level of Education of the Household Members – Racecourse

Category Number %

Male children (5-17 year) attending school 282 94.6

Female children (5-17 year) attending school 309 92.5

Children (5-17 year) attending school 591 93.5

Male adult (18 year and more) attending school

128 23.4

Female adult (18 year and more) attending school

121 21.3

Adult (18 year and more) attending school 249 22.4

41

4.3.2 Household Income and Expenditure

Income: More than half (51.8%) of the households stated monthly earning over Ksh 18,000. The

income data further revealed that the close to one-fourth (24.4%) of households had a monthly

income ranging between Ksh 9,000 and Ksh 18,000. Around 23.8% of households reported a

monthly income level less than Ksh 9,000.

Table 4.3-6; Monthly Household Income – Racecourse

Amount in Ksh Number* %

less than 9,000 87 23.8

9,000 - 18000 89 24.4

Above 18,000 189 51.8

Total 365 100.0

Note: *Missing values are excluded from the analysis.

Expenditure: Analysis of household expenditure data reveals that the average Monthly Per

Capita Expenditure (MPCE) was little over Ksh 4,750 per household. Of this amount, 27.7%

represented spending on food items (Ksh 1,091), 19.4% accounted for non-food household

supplies like soap, toothpaste, mobile phone, school fees (Ksh 793).

Table 4.3-7; Monthly Per Capita Expenditure of households– Racecourse

1.1.1.1 Table 7.7: Monthly Per Capita Expenditure of Households – Race Course

Heads Average Median Coeff.

of Variation*

Food 1,091

(27.7%) 833 90%

Non-food household supplies 793

(19.4%) 600 95%

Total 4,750 3,724 83%

Note: (i) * Coefficient of variation (CV) = Standard deviation/Mean; (ii) Total includes food, non-food household supplies and other items like education fees, transport, rent etc.; (iii) Above table is derived using data for: food (366 HHs), non-food (366 HHs) and total (364 HHs)

42

The analysis indicate that majority of the population use an estimate of 27.7% of their earnings

on food item, therefore KISIP interventions will improve the infrastructure of the settlement in

terms of accessibility, security and sanitation therefore translating to economic empowerment

of the population.

4.3.3 Employment status

Employment: About 26.8% of the adult (18+years) household members were working as

regular employees, 19.5% were self-employed and another 11.7% were casual workers. The

unemployed work force represented 17.3% of the household members in Race Course.

Table 4.3-9; Main Activity of Adults (18 years and above) – Racecourse

.

Activity of adults Number %

Regular Employee 298 26.8

Casual worker 130 11.7

Self employed 217 19.5

Unemployed 193 17.3

Student 254 22.8

Others (apprenticeship, retired etc.) 21 1.9

Total 1113 100.0

43

5.0 RESETTLEMENT IMPACTS AND MITIGATION

Project activities will give rise to either total or partial resettlement impact to PAPs assets and

sources of livelihood, majority of assets affected are temporal fixed business stands, house

extensions, verandas, gates perimeter walls either in masonry stone or wood as well as

structures for business either temporal or mobile kiosks.

None of the residential structures enumerated will be totally affected, the impact to the

structures is partial to the areas encroaching to the road reserve. The entitlement matrix has

proposed various entitlements depending of the type of loss and the category of PAPs, the

structures mentioned in the review comment above have been enlisted.

5.1 Type of Losses

5.1.1 Loss of Land

The project interventions in all the three settlements will not involve loss of private land

through any form of acquisition. All the interventions have been designed to use the designated

way leaves. As such no person will lose land to which they have a title. All the PAPs are

encroachers and landless. They have just extended their buildings and businesses beyond their

boundaries. It is important to note that even after the project reclaims the way leaves, no one

is going to be left landless. They will push back the structures into their plots.

The kind of impact that is anticipated will be as a result of reclaiming the encroached road

reserves. Consequently, there will be no compensation for land, only developed assets on the

road reserve. It is also not expected that the structure owners who will lose their structures will

move elsewhere outside the settlement.

5.1.2 Loss of Structures

This is the most important type of loss identified. The structures have encroached on the road

reserves and will need to be removed before the commencement of works. Most of the

structures are of temporal nature with a few permanent ones. The structures are used for

44

dwelling either by owners or are rented out; while others are used for commercial purposes.

The impact on the structures will be two-fold:

a. Total loss: where the whole structure will need to be removed or where the residual will

not be viable and functional.

b. Partial loss: where part of the structure will be affected, and the residual will still be

viable and functional with reconstruction/repairs.

The Table below shows the type and number of structures affected in three settlements. The

extent to which individual structures will be affected is described in The PAP and Asset Register.

Table 5-1 Type and Numbers of Structures

No Affected structure Settlements Total

Hill School Kimumu Hawai

Racecourse

1 Part of Residential Structures

20 0 3 23

2 Part of Rental Structures 10 0 0 20

3 Building Verandas and Canopies

4 5 0 09

4 Shops / kiosks (stone, iron sheets)

3 0 0 3

5 Temporally fixed business stands

71 46 10 127

6 Mobile Business stand 0 10 0 10

7 Individual Latrines and shower rooms

29 2 0 31

8 Fences 75 8 7 90

9 well 2 2 4

10 Sand Gravel pile 0 5 0 5

11 Watchman Gate Shed 0 1 0 1

12 Gate 0 0 1 1

13 store 0 0 1 1

14 Kitchen 0 0 0 0

326

45

Materials of structures: The materials used in to build the structures in the settlements were

mostly categorized as others in the questionnaire and this represented the use of iron sheets

and wooden poles (45.7%) and iron sheets (28.6%).

Figure 5-1: Materials of structures

Ownership of structures: majority owner of the structures is the household head who own

85.7% of the total while the remaining percentage is owned by tenants (14.29%).

Figure 5-2 Ownership of the structures

46

5.1.3 Loss of Shelter

From the census, loss of shelter will be experienced in two ways:

a. Some structure owners who themselves reside in the affected structures (owner

occupiers) (partially or wholly) will be affected during demolition and reconstruction. If

the structure will be wholly affected and need to be constructed within the lot

boundaries, alternative accommodation will have to be temporarily provided or

adequate notice and facilitation given to complete the reconstruction before

demolition. In case of partial loss, the structure owner may not necessarily move, but

steps will be taken to ensure the minimal disruption to their occupancy is mitigated.

b. Tenants occupying the affected structures and who may be required to either

temporarily or permanently seek alternative accommodation. Measures will be put in

place to mitigate the likely disruption, including payments to facilitate the relocation.

47

Table 5-2; PAPs occupying non-business structures

No PAP Category Settlement

Hill School Racecourse Kimumu Hawai

1 Structure owner occupying the structure for residential purposes

20 3 0

2 Tenants 10 0 0

Total 30 3 0

5.1.4 Loss of Livelihoods

The following categories of livelihood loss were identified:

a. Structure owners/landlords who will lose rental income as a result of tenants relocating

from the affected structures

b. Loss of income from businesses that will be affected as a result of removal of either

permanent or temporal business premises. Most of these businesses are located on the

road reserves.

Type of common business the figure 5-3 below illustrates the common business which the PAPs

engage in within the settlements the area has mixed businesses but the major ones are grocery

shops (23.53%), food kiosk/hotels (26.47%) and category other which includes movie sheds,

charcoal vending and few rentals (23.53%)

48

Figure 5-3 Type of common business in the Settlements

Average daily income: Majority of the respondents whose structures are likely to be affected

recorded making daily incomes from a minimum of Kshs 250 to Kshs 3000 and the average

monthly income from rentals ranges from Kshs 300 to Kshs 6000 as seen in the table above.

Table 5-3 Project Affected Persons losing Income

No Type of loss Settlement

Hill School Racecourse Kimumu Hawai

1 Loss of rental income from the business structures

20 0 0

2 Loss of income from business

71 10 56

Total 91 10 56

5.2 Number of Project Affected Persons (PAPs) and Assets Affected

The number of Project Affected Person (PAPs) has been summarized in the table below, the

Project Affected Household (PAH) is a family unit which is represented by the Household head

enumerated therefore the number of PAP remain the same for PAH the number of PAPs

49

Table 5-4 Project Affected Persons per Settlement

Settlement PAPs

Hill School 102

Racecourse 13

Kimumu Hawai 72

Total 187

50

6.0 COMPENSATION AND RESETTLEMENT ASSISTANCE

6.1 Eligibility Criteria

The World Bank Resettlement Policy/Guidelines require compensation for lost assets at

replacement cost to both titled and non-titled landholders and resettlement assistance

for lost income and livelihoods. In this project, the absence of formal titles will not

constitute a barrier to resettlement assistance and rehabilitation.

Further, the principles adopted herein contain special measures and assistance for

vulnerable affected persons, such as female-headed households, disabled persons, and

the poor. PAPs are entitled to a combination of compensation measures and resettlement

assistance, depending on the nature and scope of impact.

From the census carried out, the following categories of PAPs will be entitled to

compensation:

i. Structure owners who will lose part or whole of their structures. It should be

noted that all the structures have encroached on the road reserves.

ii. Tenants who have rented the affected structures and may be required to seek

alternative accommodation temporarily or permanently.

iii. Structure owners who derive an income from renting their structures and will lose

the income as a result of removal of the structures.

iv. People who conduct businesses in the affected structures and will lose income as a

result. However, mobile traders will not be eligible for assistance.

v. People conducting business on the road reserves permanently even if they don’t

own a structure but will be required to move to give way for the project.

6.1.1 Cut-off Date

The entitlement cut-off date was 31st July 2014; this date was the date when the project

information was communicated to the people in the settlements and SECs formed. No

51

structure established in the Project-Affected Area after (31st July 2014) shall be eligible for

compensation.

6.1.2 Entitlements

The Entitlement Matrix describes compensation and related assistance for each category

of affected PAP. Eligibility reference has been made to Resettlement Policy Framework

(RPF) developed for the KISIP Project which proposes full replacement cost to assets and

livelihoods anticipated to be lost.

The matrix in table 6-1 below elaborates the entitlement which is relevant to the PAPs of

proposed KISIP projects.

6.1.3 Livelihood Restoration

Livelihood restoration an important aspect in ensuring that the PAPs livelihood is totally

restored even after compensation is done. All categories of PAPs described in table 6-1

below are eligible to the livelihood restoration packages Livelihood restoration packages

that are application for such kind of resettlement are as illustrated below:

i. Employment priority during construction both skilled and non skilled

ii. Transitional assistance – this could include adequate time allowed for the PAPS to

relocate and salvage construction materials

iii. Additional assistance to vulnerable groups

Trainings on:-

-compensation funds management

- Other related business support.

6.1.3 Vulnerable People

Vulnerable people are people who by virtue of gender, ethnicity, age, physical or mental

disability, economic disadvantage, or social status may be more adversely affected by

resettlement than others and who may be limited in their ability to claim or take

advantage of resettlement assistance and related development benefits. Vulnerable

52

people are potentially eligible for specific assistance under this Resettlement Action Plan

are those who are affected by the Project land acquisition, compensation and

resettlement activities.

Vulnerable people include, but are not limited to:

i. Disabled persons, whether mentally or physically;

ii. Seriously ill people, particularly people living with HIV/AIDS and other illnesses;

iii. The elderly, particularly when they live alone;

iv. Households whose heads are children;

v. Households whose heads are female and who live with limited resources;

vi. Households whose heads have no or very limited resources; and

vii. Widows and orphans.

The study identified only (1) case of vulnerable person in Race Course who was of old age

and mentally challenged. The following measures have been included in the RAP for extra

assistance to the vulnerable identified PAP identified vulnerable persons.

▪ Assistance in the compensation payment procedure;

▪ Assistance in the post payment period to secure the compensation money;

▪ Assistance in moving: providing vehicle, driver and facilitation at the moving

stage;

▪ Health care if required at critical periods; and

▪ Moving and transition support or allowance during the relocation period.

6.1.4 Notification

The PAPs will be served with adequate notice of 30 days to relocate upon compensation

and before the commencement of works. All the stakeholders in the project (e.g. KURA,

NEMA, and KPLC) will also be notified of the relocation exercise.

53

6..1.5 Payment of Compensation

In line with the World Bank operational policy on involuntary resettlement (OP 4.12),

KISIP will ensure that the conditions of PAPs are restored to the status that is at the

minimum commensurate to their pre-project status. A list of all PAPs has been

documented in the PAP register. In addition, every person affected by the project

registered with their national identification card for easy identification for possible

compensation.

RAP implementation will verify the correctness of each PAP as stated in the register and

ascertain that every identity card holder is correctly documented in the register. On

completion of the PAP Audit list, the Project Coordinator will set up a team that will carry

out payment and compensation. This team will consist of KISIP’s accountant, legal and a

social safeguards expert, including representatives of the County Government and SEC.

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:

1. Dates and locations of payment

2. List of eligible people and amount

3. Mode of payment, etc.

An appropriate framework for delivering the compensation payments to the PAPs will be

decided by KISIP in line with government financial management regulations and as much

as possible keeping in mind that most PAPs have no bank accounts. In the event that an

individual is absent during payment, the Compensation Committee will immediately

communicate a new date of payment to such individual(s).

54

Table 6-1: Entitlement Matrix

Type of loss Type of PAP Entitlement

1 Loss of Land Land owner ▪ Not applicable under the project because no private land is to be acquired for implementation of the projects. All the PAPs are encroachers.

2 Loss structure Structure Owner ▪ Cash compensation at replacement cost calculated without depreciation. Replacement cost includes cost of materials, transport, and labor to construct a similar structure

▪ Owners will retain the right to salvage materials from the structure ▪ A lump sum of kshs. 5,000.00 as disturbance allowance ▪ Loss of income equivalent to 2 month’s rent incase the affected

structure is rented.

3 Loss shelter Tenant ▪ A one month notice to look for alternative accommodation. ▪ 2month’s rent to look for alternative accommodation during repairs of

the affected parts of the structure with an option to resume tenancy at the completion of reconstruction/repairs.

▪ A onetime shifting allowance of ksh 5000 to cover for transport costs and labour costs during moving

▪ If the rented premises are used for business, a loss of livelihood equivalent to five days of loss of profit will be provided.

Structure owner

who occupies

the structure

(owner

occupier)

▪ 2month’s rent to look for alternative accommodation during repairs or reconstruction of the affected structure.

▪ Prior compensation to allow construction of structure prior to demolitions.

4 Loss of Livelihood /

Income

Structure owner ▪ Subsistence allowance equivalent 2month rent to compensate for loss of

income.

Business owner ▪ Cash grant equivalent 5days daily income to compensate for the loss of

55

/ trader business ▪ A lump sum allowance of Kshs. 5,000.00 to cover for transport and labor

during movement ▪ .

Vulnerable

groups

▪ Assistance in the compensation payment procedure; ▪ Assistance in the post payment period to secure the compensation

money; ▪ Assistance in moving: providing vehicle, driver and facilitation at the

moving stage, providing ambulance services for disabled or inform persons during moving, and;

▪ Health care if required at critical periods; ▪ Moving and transition support or allowance during the relocation

period.

56

7.0 GRIEVANCE MANAGEMENT & REDRESS

7.1 Grievances and Disputes

In practice, grievances and disputes that are most likely during the implementation of a

resettlement program are the following:

i. Misidentification of assets or mistakes in valuing them;

ii. Disputes over parcel limits, either between the affected person and the Project, or

between two neighbors;

iii. Dispute over the ownership of a given asset (two individuals claim to be the owner

of this asset);

iv. Disagreement over the valuation of a parcel or other asset;

v. Successions, divorces, and other family issues, resulting in disputes between heirs

and other family members, over ownership or ownership shares for a given asset;

vi. Disagreement over resettlement measures, on the type or standing of the

proposed housing, or over the characteristics of the resettlement parcel;

7.2 Management Mechanism

This RAP recommends a three-tier grievance mechanism- at the community, RICs, and

resolution through courts of law. It is desirable to resolve all the grievances at the

community level to the greatest extent possible. To achieve the community or settlement

level grievance mechanism must be credible and generally acceptable. The grievance

redress mechanisms will aim to solve disputes at the earliest possible time in the interest

of all parties concerned.

The first level in addressing grievances will be at the settlement. The settlement will form

a Community Grievance Redress Committee (CGRC) comprising of two members from

SEC, and three other respected community members who are not PAPs. The committee

should be elected by the community in a transparent manner.

57

The second level of grievance mechanism will involve the RICs. The RICs will consider

grievance reports forwarded to it from the community grievance committee and make a

determination.

If complainants are not satisfied by the decision of the RICs, they can seek redress from

the High court.

Grievance procedures may be invoked at any time, depending on the complaint. No

person or community from whom land or other productive assets are to be taken will be

required to surrender those assets until any complaints he/she has about the method or

value of the assets or proposed measures are satisfactorily resolved.

The RAP study recommended the composition of the grievance committee to be

composed of 5 persons, 2 from the SEC not being office holders and 3 elected by the

community while respecting women, youth and vulnerability representation the

committee will elect their chairman and secretary and SEC members are not eligible

7.2.1 Terms of Reference for the Grievance Redress Mechanism Committee

The roles and functions of the Grievance Redress Mechanism Committee is normally

based on the mandate and expectations of stakeholders from the committee, more

specific the committee will endeavor to resolve issues resulting from:

i. Misidentification of assets or mistakes in valuing them;

ii. Disputes over parcel limits, either between the affected person and the Project, or

between two neighbors;

iii. Dispute over the ownership of a given asset (two individuals claim to be the owner

of this asset);

iv. Disagreement over the valuation of a parcel or other asset;

v. Successions, divorces, and other family issues, resulting in disputes between heirs

and other family members, over ownership or ownership shares for a given asset;

58

vi. Disagreement over resettlement measures, for instance on the location of the

resettlement site, on the type or standing of the proposed housing, or over the

characteristics of the resettlement parcel;

vii. The committee will handle other issues as they emerge.

Figure 7-1 overleaf summarizes the most preferred way of handling grievances. This RAP

proposes a maximum of 8days as the time a grievance should take under the resolution

mechanism, however for issues that can be handled by the CGRC; the study recommends

3days maximum time for resolution.

7.2.2 Effectiveness of the Grievance Redress Mechanism

To ensure effectiveness of the Grievance redress mechanism the committee will report on

a monthly basis to the Project implementation team the cases received and how they

were resolved during RAP implementation and Project implementation.

The committee is supposed to endeavor resolve grievances as soon as they are reported,

the maximum duration for resolving this grievances at level one has been given as within

7days.

To ensure Effectiveness of the Grievance Redress Mechanism the KISIP county office will

Provide for reporting mechanism for the committee, Technical support to the committee,

Material assistance and logistics as well as provide for 1day’s training on their roles.

59

Figure 7-1: Grievance Redress Mechanism

Grievance

resolved and

Outcome

satisfactory

NO

Grievance

resolved

satisfactorily

Refer the grievance, findings

and recommendations to RIC

Grievance processing by

RIC (7days)

Registration of the grievance or

dispute upon being lodged to the

CGRC

Aggrieved Party have the

right to seek redress from

the Court of law

Final closure

Resolution of the grievance

by CGRC (7days)

YES

NO

YES

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8.0 MONITORING AND COMPLETION AUDIT

8.1 Introduction

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 KISIP project is to verify that actions and

commitments described in the RAP are implemented and eligible project-affected persons

receive their full compensation prior to the start of the rehabilitation activities on the

project area;

RAP actions and compensation measures have helped the people who sought cash

compensation in restoring their lost incomes and in sustaining/improving pre-project

living standards; Complaints and grievances lodged by project-affected persons are

followed up and, where necessary, appropriate corrective actions taken. Changes in RAP

procedure are made, if necessary, to improve delivery of entitlements to project-affected

persons.

The World Bank operational policy (OP 4.12) states that the project sponsor (i.e., KISIP) is

responsible for adequate M&E of the activities set forth in the resettlement instrument.

Monitoring will provide both a warning system for the project sponsor (KISIP) and a

channel for the affected persons to make known their needs and their reactions to

resettlement execution.

KISIP monitoring and evaluation activities and programs will be adequately funded and

staffed. In-house monitoring may need to be supplemented by independent monitors to

ensure complete and objective information. Accordingly, the primary responsibility for

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monitoring rests with KISIP’s Head of Environment and Social Safeguards working in

collaboration with the M&E unit.

8.2 Monitoring of Evaluation framework

The RAP Monitoring Plan and Framework is adopted from IFC (Handbook for Preparing a

Resettlement Action Plan). It involves:

a. Internal monitoring by KISIP;

b. Impact monitoring commissioned to specialized firms; and

c. A RAP Completion Audit

Table 8-1: RAP Monitoring Plan

Component Activity

Type of Information/ Data Collected

Source of Information/ Data collection Methods

Responsibility for Data Collection, Analysis and Reporting

Frequency/ Audience of Reporting

Performance monitoring

Measurement of input indicators against proposed time-table and budget including procurement and physical delivery of goods, structures and services.

Monthly or quarterly narrative status and financial reports

KISIP PCT KISIP County Team, SEC

Semi-annual/annual as required by KISIP and World Bank

Impact monitoring

Tracking effectiveness of inputs against baseline indicators Assessment of PAP satisfaction with inputs

Quarterly or semi-annual quantitative and qualitative surveys Regular public meetings and other consultation with people affected by the project; review of grievance mechanism outputs

Project resettlement unit or contracted external monitoring agency

Annual or more frequently as required by KISIP and WB

Completion audit

Measurement of output indicators

External assessment/sign-

Contracted external auditing

On completion of the RAP time table

62

such as productivity gains, livelihood restoration, and developmental impact against baseline

off report based on performance and impact monitoring reports, independent surveys and consultation with affected persons

and evaluation agency

as agreed between KISIP and WB

8.3 RAP Monitoring Framework

The RAP allows for verification of internal RAP implementation reports by a field check of

the following:

• Payment of compensation including its levels and timing

• Settlement of emerging grievances

• • Adequacy of training and other developmental inputs

• Rehabilitation of vulnerable groups

• Infrastructure repair, relocation or replacement

• Enterprise relocation, compensation and its adequacy

• Transition allowances

These will be achieved through;

a. Interview a random sample of affected people in open-ended discussion to assess

their knowledge and concerns regarding the resettlement process, their

entitlements and rehabilitation measures.

b. Observe public consultations with affected people at the village level

c. Observe the function of the resettlement operation at all levels to assess its

effectiveness and compliance with the RAP.

d. Check the type of grievance issues and the functioning of grievance redress

mechanisms by reviewing the processing of appeals at all levels and interviewing

aggrieved affected people.

63

e. Survey the standards of living of the affected people (and of an unaffected control

group where feasible) before and after implementation of resettlement to assess

whether the standards of living of the affected people have improved or been

maintained.

f. Advise project management regarding necessary improvements in the

implementation of the RAP, if any.

8.4 Resettlement Completion Audit

The purpose of the Completion Audit is to verify that the resettlement process has

complied with resettlement commitments defined by the RAP. Reference documents for

the Completion Audit are the following:

• Resettlement Action Plan prepared.

• Kenyan policies and legal statutes as defined in section 2 of this report

The Completion Audit has the following specific objectives:

• General assessment of the implementation of the RAP against the objectives and

methods set forth in the RAP,

• Assessment of compliance of implementation with laws, regulations and safeguard

policies;

• Assessment of the fairness, adequacy and promptness of the compensation and

resettlement procedures as implemented;

• 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

• Identification of potential corrective actions necessary to mitigate the negative

impacts of the program, if any, and to enhance its positive impacts.

64

• 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

65

9.0 IMPLEMENTATION OF THE RAP AND INSTITUTIONAL ORGANIZATION

9.1 Project Management at Ministry level

MITH&UD will interface with other sector ministries, agencies and Counties on matters

and policies relating to the project and more specifically RAP issues. The MITH&UD will

interface with the National Treasury on issues pertaining to RAP budget financing,

The ministry will also communicate directly with the Bank on technical issues RAP

preparation, approvals, disclosure and even implementation being among them

9.2 The Project Coordinator (PC)

PC is the overall technical coordinator in the implementation of KISIP and assisted by a

Social Development Officer in case of land acquisition and resettlement and other social

issues related to this program. The Project coordinator will supervise the project team and

ensure that project implementation activities and reports are on schedule and in

compliance with the financing agreement. The coordinator will report to the PS and will

from time to time draw the attention of the PS to all emerging policies issues for decision

at that level or a higher level.

9.3 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:

▪ Coordinate the effective implementation of the ESMF/RPF and ensure compliance

with agreed implementation procedures and guidelines.

▪ Prepare Progress Reports on the implementation of the environmental and social

safeguards.

▪ Procure and supervise consultants for Social and Environment Assessments.

▪ Build the capacity at all levels to implement the ESMF/RPF.

▪ Supervise ESMF/RPF implementation during and after project implementation.

66

▪ Ensure integration of EMPs and RAPs into Contract and Bid Documents.

▪ Ensure adequate community participation.

The project team will be responsible for routine implementation and technical austerity of

the KISIP project. The team has put together a Safeguards team which has an

environmental and social safeguard specialist responsible of ensuring that the

environmental and social safeguards are implemented to and compliant to under the

project. The officer will be responsible under this RAP to do quality checks and review the

RAP reports before forwarding to the World Bank safeguards specialist. The officer is in

charge of actual implementation of the RAP with the help of Resettlement

Implementation Committee constituted for the project

9.4 RAP Implementing Committee

The RAP Implementing Committee shall be appointed by the Project Coordinator and will

have overall responsibility of monitoring and evaluation of the resettlement process. The

committee shall involve a specialist representation of expertise which includes Social

Expert, Environmentalist, Accountant, Legal and Monitoring and Evaluation Expert from

KISIP unit at the MoLHUD.

The committee shall also include a representative of KISIP Local County office and the

Project Affected Persons for each settlement.

9.4.1 Notifications

The RAP implementation committee will ensure the PAPs are served with adequate notice

of not less than 30 days to relocate upon compensation and before the commencement

of works. All the stakeholders in the project (e.g. KURA, NEMA, and KPLC) shall also be

notified of the relocation exercise.

67

9.4.2 Payment of Compensation

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 of the PAP.

The RAP implementation committee will verify the correctness of each PAP as stated in

the register and ascertain that every identity card holder is correctly documented in the

register.

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.

An appropriate framework for delivering the compensation payments to the PAPs will be

decided by KISIP in line with government financial management regulations and as much

as possible keeping in mind that most PAPs have no bank accounts. In the event that an

individual is absent during payment, the Compensation Committee will immediately

communicate a new date of payment to such individual(s).

9.4.3 Resolution of second tier of grievances forwarded by the Community Grievance

Redress Committee (CGRC).

9.5 County Project KISIP Teams

For effective implementation of the Project, Counties have established County KISIP

Teams whose composition is a replica of the national team. The county team were crucial

in development of this study and they will also be important during implementation the

RAP prior to commencement of civil works.

68

9.6 Other Institutional Responsibilities for RAP Implementation

During the RAP preparation process, a number of key institutions were identified as

critical to both preparation and implementation of the RAP. This is summarized in Table

9.1 below. Consultations with and involvement of the Project-Affected Persons has been

sought during the process.

Table 9-1: Statutory Institutions with Roles in the RAP process

No Institution Role Capacity

1 Ministry of Transport, Infrastructure, Housing and Urban Development

Houses the KISIP project Provides policy direction Handles land tenure issues

The Ministry has experts in key areas: land management and administration, physical planning, resettlement

2 County Government of Uasin Gishu

Has the responsibility of implementing the RAP as spelled out in the RPF?

Financial capacity is lacking. In the transition, KISIP providing assistance

3 Kenya Urban Roads Authority

In charge of the management of urban roads. It approves road designs and maintains roads.

Capacity exists

4 KPLC Responsible for relocating electricity transmission lines from the road reserves

Capacity exists. Costs provided in the BQ.

5 Eldoret Water and Sewerage Company

Responsible relocating affected water infrastructure e.g. pipes, water kiosks to maintain service levels

Capacity exists. Costs provided in the BQ.

6 National Environment Management Authority (NEMA)

Approving and issuing EIA licenses for projects which have addressed environmental and social impacts

Capacity exists. Costs of license provided for in the budget.

7 Ministry of Finance Financial management on behalf of the Borrower (GoK) Provision of counterpart funding – part of which is used to settle compensation claims

Capacity exists and funds will be made available.

69

In addition to the above government institutions, the community through the settlement

executive committee (SEC) are central to preparation and implementation of this RAP

The SECs were formed during the project inception to mobilize the community and

provide a link between the community, the consultant, the County Government, and

KISIP. The Committee has been involved in all stages of RAP development and is expected

to continue playing an active role in monitoring its implementation.

9.7 Disclosures of RAP

The RAP report once approved by the World Bank Safeguards team will be disclosed on

the World Bank’s website, locally the report will be disclosed at the county KISIP

coordination offices in the County, Copies of the report will be made available to the SEC

committees of respective settlements

KISIP PCT is obligated to disclose documentation locally, and will make the following

available:

▪ RAP in English (one copy available at all times in Project information offices, one

copy given to the resettlement committees),

▪ Update notes when needed, given to each of the resettlement committees and

publicly available at Project information offices.

In addition, this RAP will be publicly disclosed in English on the MoLHUD website also the

RAP executive summary will be disclosed and shared with the Settlement Executive

Committees (SECs) for ease of access by the affected persons. Public disclosure meetings

will be held in all the four settlements before RAP implementation.

by PAPs

70

9.8 RAP Implementation Schedule

The implementation schedule for this RAP covers the period from the preparation of the

RAP to the conclusion of the envisaged projects in the three settlements in the County to

the completion and the time that the infrastructure is fully available for use.

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:

a. Disclosure of RAP

b. Audit of PAP register and compensation package due to each PAP

c. Payment of compensation/resettlement assistance

d. Resolution of emerging grievances

e. Notification of PAPs prior to the commencement of the activities that will affect

them

f. Commencement of project operations

g. Monitoring and evaluation, including baseline update

71

Table 9-2: RAP Implementation Schedule

S/No Activity Weeks from Approval of RAP Report

1 2 3 4 5 6 7 8 9 10 11 12

1 Disclosure of the RAP Report

2 Audit of the RAP report to verify PAP and compensation details

3 Payment of compensation to PAPs and facilitation of relocation

4 Issuance of notices for relocation

5 Actual relocation

6 Resolution of conflicts and Grievances

7 Commencement of works

8 Monitoring of the resettlement activities

72

10 BUDGET

10.1 Budget

The RAP budget is estimated as indicated in table 10-1 below

Table 10-1 RAP Estimate Budget

S/no

Item under Compensation

Amount Estimates (Ksh)

1 Loss of Assets and Livelihoods

Hill School 2,569,000.00

Racecourse 211,620.00

Kimumu Hawai 984,470.00

2 Grievance Redress Committees operations 500,000.00

3 Implementation - Community engagement, disclosure, verification

400,000.00

4 Monitoring and evaluation 350,000.00

5 Contingency Item- provision for claims from grievance redress mechanism

700,000.00

Total Compensation 5,915,090.00

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APPENDICES:

1. Appendix1: Glossary of Terms

2. Appendix 2: Stakeholder consultations

74

APPENDIX 1: GLOSSARY OF TERMS

LOSSARY OF TERMS

Project-Affected Person (PAP): Any person who, as a result of the implementation of the

Project, loses the right to own, use, or otherwise benefit from a built structure, land (residential,

agricultural, or pasture), annual or perennial crops and trees, or any other fixed or moveable

asset, either in full or in part, permanently or temporarily.

Physical Displacement: Loss of shelter and assets resulting from the acquisition of land

associated with the Project that requires the affected person(s) to move to another location.

Economic Displacement: Loss of income streams or means of livelihood resulting from land

acquisition or obstructed access to resources (land, water or forest) caused by the construction or

operation of the Project or its associated facilities. Not all economically displaced people need to

relocate due to the Project.

Project-Affected Household (PAH): A PAH is a household that includes Project-Affected

Persons as defined above. A PAH will usually include a head of household, his/her spouse and

their children, but may also include other dependents living in the same dwelling or set of

dwellings, like close relatives (e.g., parents, grandchildren).

Compensation: Payment in cash or in-kind at replacement value for an asset or a resource that is

acquired or affected by the Project at the time the assets need to be replaced. In this RAP, “cash

compensation” means compensation paid in cash or by cheque.

Resettlement Assistance: Support provided to people who are physically displaced by the

Project. Assistance may include transportation, and social or other services that are provided to

affected people during their relocation. Assistance may also include cash allowances that

compensate affected people for the inconvenience associated with resettlement and defray the

expenses of a transition to a new locale, such as moving expenses and lost work days.

75

Replacement Value: The rate of compensation for lost assets must be calculated at full

replacement value, that is, the market value of the assets plus transaction costs. The replacement

value must reflect the cost at the time the item must be replaced.

Vulnerable Groups: People who by virtue of gender, ethnicity, age, physical or mental

disability, economic disadvantage, or social status may be more adversely affected by

resettlement than others and who may be limited in their ability to claim or take advantage of

resettlement assistance and related development benefits.

Replacement cost for houses and other structure 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.

Such costs will include: (a) transporting building materials to the construction site; (b) any labour

and contractors’ fees; and (c) any registration costs.

Resettlement Policy Framework (RPF) is an instrument to be used throughout the Program

implementation. The RPF sets out the resettlement objectives and principles, organizational

arrangements and funding mechanisms for any resettlement that may be necessary during

implementation. The RPF guides the preparation of Resettlement Action Plans of individual sub

projects in order to meet the needs of the people who may be affected by the project.

Census: means a field survey carried out to identify and determine the number of Project

Affected Persons (PAP) or Displaced Persons (DPs) as a result of land acquisition and related

impacts. The census provides the basic information necessary for determining eligibility for

compensation, resettlement and other measures emanating from consultations with affected

communities and the relevant stakeholders.

Cut-off date: Cut-off date—Date of completion of the census and assets inventory of persons

affected by the project. Persons occupying the project area after the cutoff date are not eligible

for compensation and/or resettlement assistance. Similarly, fixed assets (such as built structures,

crops, fruit trees, and woodlots) established after the date of completion of the assets inventory,

or an alternative mutually agreed on date, will not be compensated.

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Displaced Persons: mean persons who, for reasons due to involuntary acquisition or voluntary

contribution of their land and other assets under the program, will suffer direct economic and or

social adverse impacts, regardless of whether or not the said Displaced Persons are physically

relocated. These people may have their: standard of living adversely affected, whether or not the

Displaced Person will move to another location; lose right, title, interest in any houses, land

(including premises, agricultural and grazing land) or any other fixed or movable assets acquired

or possessed, lose access to productive assets or any means of livelihood.

Involuntary Displacement: means the involuntary acquisition of land resulting in direct or

indirect economic and social impacts caused by: Loss of benefits from use of such land;

relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means

of livelihood, whether the Displaced Persons has moved to another location or not.

Rehabilitation Assistance: means the provision of development assistance in addition to

compensation such as land preparation, credit facilities, training, or job opportunities, needed to

enable the program Affected Persons and Displaced Persons to improve their living standards,

income earning capacity and production levels; or at least maintain them at pre-program levels.

Involuntary resettlement—Resettlement is involuntary when it occurs without the informed

consent of the displaced persons or if they give their consent without having the power to refuse

resettlement.

Land expropriation -Process whereby a public authority, usually in return for compensation,

requires a person, household, or community to relinquish rights to land that it occupies or

otherwise uses OD 4.30—The World Bank Group Operational Directive on Involuntary

Resettlement. OD 4.30 embodies the basic principles and procedures that underlie IFC’s

approach to involuntary resettlement associated with its investment projects.

Stakeholders—Any and all individuals, groups, organizations, and institutions interested in and

potentially affected by a project or having the ability to influence a project.

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APPENDIX 1: STAKEHOLDER CONSULATATIONS

MINUTES OF PUBLIC PARTICIPATION MEETING IN THE

SETTLEMENTS ON 21 AUGUST 2014 SEPTEMBER 2014

MEMBERS PRESENT

NO NAME DESIGNATION

As per Attached Various

Attendance list

AGENDA OF THE MEETING

• Validation of community selected priorities

• Share Project information with PAPs and other interested parties in regard to project

• To discuss the issues the PAPS had regarding the project

• Deliberate on best way forward of handling issues likely to result from Resettlement and

environmental issues.

PROCEEDINGS OF MEETINGS

The meetings started at 9am hours with introductions of the parties’ present and opening

remarks from the SEC chairs.

The following were issues discussed in relation to Resettlement Action Plans

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Minute 1 /07/15 Reconstruction of the structures.

The residents wanted to know if they will be allowed to reconstruct their structures where they

initially were after the line has been laid down.

Response

Safeguards team responded that reconstruction of the structures will be illegal since there is a

law governing against construction of illegal structures on road reserves and way leaves.

Minute 2 /07/2015 Job opportunities and subcontracts

The residents wanted to know if they will be allowed to place tender fort the company they

own, especially companies associated with youth and women.

Discussion and Response

Safeguard team responded that the procurement process will be free to the public, the contract

advertised publically and all interested companies will be invited to submit their proposals for

vetting, the most qualified company will be awarded the contract.

Concerning the issue of job opportunities for the youths the Safeguards team informed the

gathering that some of the responsible youths in the area will be considered for jobs as proposed

by the ESIA project report.

He was also informed that interested youth should mobilize themselves and register with the area

chief so that their request for jobs can be forwarded formally to the contractor through the chief’s

office.

Minute 3 /07/2015 Timings for Notices to the PAPs on when to commence works

Generally resident wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate.

Discussion and Response

Yes adequate time will be given to them just before the contractor mobilizes to the ground and also this RAP and ESIA report has proposed for the them to be allowed ample time to salvage

materials from their structures in addition to reconstructions assistance offered.

Minute 4 /10/2014 Project Width Uncertainties

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Resident wanted to know what will happen for the areas where their structures are likely to the

affected by the project, they complained that in some cases the road reserves are narrow to as

low as 6m while the area needed for the road is at a minimum of 9m

Discussion and Response

RAP team responded that areas like those ones will be given specific attention and possibility of

consulting with them with an aim of properly acquiring the extra needed metres will be

considered, such process will be spearheaded by respective county governments.

Minute 5 /10/2014 Timings for Notices to the PAPs on when to commence works

Resident of the settlement wanted to know whether adequate notice will be issued by the authority in charge in order to allow them ample time to relocate.

Discussion and Response

Yes, adequate time will be given to them just before the contractor mobilizes to the ground an also this RAP report has proposed for the them to be allowed ample time to salvage materials

from their structures in addition to reconstructions assistance offered,

Minute 6 /10/2014 More Information about the Project Route

Generally, PAPs wanted to know the extent of road and assets to be affected if the proposed

roads will follow surveyor’s beacons.

Discussion and Response

RAP team respondent remarked that the extend of structures to be affected will be those falling

within the 12m corridor for the main settlement access roads and 9m for those falling within

the internal settlement roads, yes, the project will be constructed within existing road reserve an

no private land will be acquired

There being no any other business the meeting closed at 5pm with a word of prayer

Minutes Signed

SECRETARY

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PUBLIC PARTICIPATION PHOTOS

Residents of Hawai Kimumu follow proceedings during Public Meeting

Residents of Hill school listen to remarks from SEC chair

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Public Meeting at Church hall in Kambi Nairobi settlement

SEC chair for Racecourse addressing participants

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