Resettlement Planning Document

Draft Resettlement Framework Document Stage: Draft for Consultation Project Number:

June 2007

Bangladesh: Dhaka Water Supply Sector Development Program

Prepared by Dhaka Water and Sanitation Authority The resettlement framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

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CONTENTS

I. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS .......................................... 1

A. Project Background ............................................................................................................... 1

B. Objectives of the Resettlement Framework........................................................................... 3

C. Description of the Project ...................................................................................................... 3

D. Scope of Land Acquisition and Resettlement........................................................................ 5

E. Extent of Resettlement Impacts............................................................................................. 6

F. Policy and Legal Framework for Resettlement...................................................................... 7

II. SOCIOECONOMIC INFORMATION................................................................................... 10

A. Project Implementation........................................................................................................ 10

B. Data Collection ...................................................................... Error! Bookmark not defined.

C. Data Analysis and Management.......................................................................................... 14

III. GENDER IMPACT AND MITIGATION MEASURES........................................................... 14

A. Identifying the Needs and Priorities of Women ................................................................... 14

B. Mitigating the Impacts of Resettlement on Women ............................................................. 15

IV. STAKEHOLDER PARTICIPATION AND PROJECT DISCLOSURE .................................. 15

A. Identification of Stakeholders .............................................................................................. 15

B. Program Disclosure............................................................................................................. 16

C. Public Consultation and Stakeholder Participation.............................................................. 17

D. Involvement of NGOs, CBOs and Women’s Organisations ................................................ 17

V. GRIEVANCE REDRESS MECHANISMS ........................................................................... 18

VI. COMPENSATION AND INCOME RESTORATION ............................................................ 18

A. Valuation of Affected Assets................................................................................................ 18

B. Income Restoration ............................................................................................................. 19

C. Alternative Livelihoods......................................................................................................... 20

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D. Screening of Vulnerable Households .................................................................................. 20

VII. RESETTLEMENT BUDGET AND FINANCING .................................................................. 21

A. Budgeting and Financial Planning....................................................................................... 21

B. Approval of Resettlement Cost Estimates ........................................................................... 23

C. Flow of Funds...................................................................................................................... 23

D. Contingency Arrangements ................................................................................................. 24

VIII. IMPLEMENTATION SCHEDULE........................................................................................ 24

IX. MONITORING AND EVALUATION..................................................................................... 26

A. Internal Monitoring............................................................................................................... 26

B. External Monitoring and Evaluation..................................................................................... 27

X. IMPLEMENTATION ARRANGEMENTS ............................................................................. 27

A. Institutional Capacity Assessment....................................................................................... 27

B. Institutional Responsibilities ................................................................................................ 28

APPENDIX A: Results of Transect Surveys of Resettlement Impacts APPENDIX B: Comparison of Resettlement/Compensation Policies of ADB, GoB and DWASA APPENDIX C: Draft Detailed Measurement Survey Questionnaire APPENDIX D: Draft Compensation Entitlement Form APPENDIX E: Summary of On-site Consultations Held in July and August 2006 APPENDIX F: Summary of Public Meeting Held in Pallabi-Mirpur on 29 April 2007 APPENDIX G: Consultation and Disclosure Document Distributed to the Public in April 2007

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TABLES

Table 1: Summary of Resettlement Impacts Expected During Implementation of DWSSDP

Table 2: Entitlement Matrix

Table 3: Estimated Budget for Compensation of DWSSDP Resettlement Effects (Tk)

Table 4: Potential Monitoring Indicators

Table 5: Institutional Responsibilities in the Resettlement Process for DWSSDP

FIGURES

Figure 1: Map of Dhaka Showing the DWASA Administrative Zones (MODS I-VII) and the 25 Hydraulic Areas Identified During DWSSDP Preparation

Figure 2: Location Map of the Project Showing the Improvements in Water Supply Infrastructure Proposed by the DWSSDP

Figure 3: Implementation Schedule for DWSSDP

Figure 4: Implementation Schedule for Resettlement Activities

PHOTOGRAPHS

Photo 1: Household Water Meter in Manikdi

Photo 2: Overhead Reservoir

Photo 3: Chlorination House at Tube-well

Photo 4: Entrance Chamber for Trenchless Method

Photo 5: Backhoe Digger Excavating a Trench

Photo 6: Digging a Trench by Hand

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I. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS A. Project Background 1. Bangladesh has a population of around 140 million, of whom 25% live in urban centers. These areas contribute more than 40% to the country’s gross domestic product, but face chronic problems of inadequate municipal services, as population growth and overcrowding place increasing demands on poorly planned and maintained infrastructure. Water supply and sanitation are key elements as they are essential human needs, as well as major constraints on development and poverty alleviation when they are lacking. The Government of Bangladesh (GoB) made improving these services a main part of its 2005 National Poverty Reduction Strategy (NPRS), and formulated a Sector Development Programme for the Water and Sanitation Sector in Bangladesh (SDP-WSSB 2005-2015), aimed at delivering safe drinking water, sanitation and hygiene to all citizens by 2010. 2. Improving the mega-cities (Dhaka and Chittagong) is a key aspect of GoB policy, to strengthen major public institutions and focus improvements where the need is most critical. Dhaka Water Supply and Sewerage Authority (DWASA) is responsible for water supply, sanitation and storm water disposal services in the capital, and serves around 8.6 million of the 11 million people in the Dhaka Metropolitan Area (DMA). Around 7.7 million people receive a water supply, through a piped network of 2,424 kilometers (km), which covers 470 km2. However the system is beset with problems, including: (i) >40% unaccounted-for-water (from leaking pipes, illegal connections, lack of metering and under-billing); (ii) uncontrolled demand, making a 24-hour pressurized system impossible; (iii) over-reliance on groundwater (82% of the supply) leading to a rapidly falling water table (2-3 meters [m] per year); and (iv) a network of small diameter pipes reliant on injections from 430 tube-wells, 50% of which will have ceased to function by 2013. 3. The Dhaka Water Supply Sector Development Program (DWSSDP) will address these issues and contribute to poverty reduction, by improving management, enhancing quality, and increasing access to clean water on a 24-hour basis. The DWSSDP will be supported by the Asian Development Bank (ADB) through a program loan to implement organizational and institutional reforms within DWASA; and a project loan to improve water supply infrastructure throughout Dhaka City, build the capacity of DWASA, and raise public awareness of water conservation issues. DWASA will be both the Executing Agency (EA) and the Implementing Agency (IA) for DWSSDP, which will be implemented in 2008-2013. Infrastructure improvements will be conducted in 25 hydraulic areas covering the seven zones in which DWASA administers its services (Figure 1). 4. Issues of involuntary resettlement will be addressed according to national legislation (GoB Acquisition and Requisition of Immovable Property Ordinance 1982), ADB policy (Policy on Involuntary Resettlement 2003) and DWASA policy (Resettlement Policy Framework 2006)1. A Resettlement Framework (RF) was developed for the DWSSDP as a whole to provide the mechanism through which the EA will prepare Resettlement Plans (RP) for each hydraulic area in the detailed design stage. A sample RP was prepared for one hydraulic area, as a template to assist in this process. This document is the Resettlement Framework.

1 The DWASA Resettlement Policy Framework was developed with World Bank assistance and was approved by GOB in April 2006.

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B. Objectives of the Resettlement Framework 5. The RF outlines the objectives, policy principles and procedures for land acquisition, compensation and other assistance measures to be provided for persons who will experience resettlement effects when the DWSSDP is implemented. ADB defines a resettlement effect as “loss of physical and non-physical assets, including homes, communities, productive land, income-earning assets and sources, subsistence, resources, cultural sites, social structures, networks and ties, cultural identity, and mutual help mechanisms”. Affected Persons (AP) are “any people, households, firms or private institutions who, on account of changes that result from the project will have their: (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest and/or grazing land), water resources, or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence, or habitat adversely affected, with or without displacement”. 6. The RF establishes the framework for RP preparation, and its main aims are to: (i) guide DWASA in preparing, implementing and monitoring RPs consistent with GoB, ADB, and DWASA policies; (ii) assist DWASA to properly compensate project APs; and (iii) serve as a binding document to ensure that APs are paid compensation. C. Description of the Project 7. This is a water supply project that is needed because DWASA presently provides an inadequate water supply service to the residents of Dhaka, which has insufficient pressure, suffers significant losses, is rapidly depleting the groundwater resource, and delivers insufficient cost recovery to the Government. The project will address all of these issues by refurbishing the existing network to repair leaks, increase capacity and pressure, remove illegal connections, and provide a new system of metering to streamline leak detection and aid cost recovery. 8. The work will affect most parts of the city, where pipes of the existing water supply network (which are mainly buried beneath roads) will be repaired or replaced, and house connections will be repaired and provided with new meters (Photo 1). A number of smaller individual locations will also be affected, as existing Overhead Reservoirs (OR) will be repaired and new ORs will be constructed (Photo 2), and new chlorination equipment will be installed at existing Deep Tube Wells (DTW, Photo 3). The locations of the work are shown in Figure 2. 9. The work will consist of the following elements:

• 1,865 km of plastic lining inserted inside existing pipes of 100-450 mm diameter to repair leaks and seal off illegal connections;

• 425 km of new Ductile Steel (DS) pipes of 100-300 mm diameter to replace blocked or leaking existing pipes;

• 110 km of new DS pipes, 150-450 mm diameter, laid alongside functioning existing pipes to increase the volume of water carried;

• 275 km of UPVC pipes, 100-500 mm in diameter to expand the network to new areas; • 2,265 km of UPVC pipes, 75-100 mm in diameter tertiary network pipes; • 400 sluice valves and 420 bulk meters to control and monitor the flow of water; • 250,000 new house connections with meters to replace leaking/illegal connections and

improve cost recovery;

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• Repair of 32 Overhead Reservoirs (OR) and construction of 18 new ORs to increase storage and provide the head of water needed to sustain gravity flow in the system;

• New chlorine injection units at each Deep Tube Well (DTW) to improve water quality; • Refurbishing the DWASA water quality testing laboratory.

D. Scope of Land Acquisition and Resettlement 10. During preparation of the DWSSDP, several measures were included to minimize the extent of land acquisition and resettlement. These were as follows:

• Continuing the established practice in Dhaka of burying new water distribution pipes within roads, to avoid the need to acquire land;

• Adopting trenchless technology to reline leaking pipes and install new pipes where practicable, to limit the excavation of trenches and reduce the disturbance of residents and business;

• Locating new facilities (ORs and chlorination units) on government-owned land wherever possible, to avoid the need to acquire private land;

• Ensuring that locations selected for new ORs are unoccupied and unused for any purpose other than water supply, to avoid relocating people or affecting livelihoods.

11. These actions have avoided many resettlement impacts. However, DWSSDP will involve major construction in an overcrowded urban area over a period of several years, so it is inevitable that certain impacts will occur. 12. Trenchless technology involves the use of hydraulic machinery to drill a horizontal tunnel for a new pipe, or to insert an inflatable plastic lining inside an existing pipe to repair or replace the structure or expand its diameter. The work involves small-scale digging and operation of compact machinery at the entry and exit points only (Photo 4), and as these are located in roads there should be no land acquisition or loss of structures or assets, and thus no resettlement effects associated with this work. The extent to which this approach is used will not be known until contractors have been appointed and trials are conducted on site, but at the moment it is estimated that it will be used for all of the 1,865 km of relining work, and around 25% of the installation of new pipes (493 km). 13. The remaining work on the network involves the provision of 1,972 km of new pipes and this could have resettlement impacts, as trenches will be dug in roads, so traffic, people and businesses may be disrupted (Photos 5 and 6). However these impacts will be reduced by current practice in Dhaka where to avoid exacerbating the traffic congestion problem, daytime working is prohibited on major roads, and on minor roads that are heavily used by traffic. Work in these areas has to be conducted in amounts that can be completed in a single night, and the surface of the road is reinstated before morning. At this stage it is not known how much of the work will be subject to this restriction, but it is assumed that it will apply to all network construction in major roads (which amounts to 900 km of the 2,466 km of new pipes) and an estimated 25% of the work in minor roads (341 km). 14. The main resettlement impact from this type of work is a reduction in the income of shops and other businesses if the presence of trenches, excavated soil and machinery make access difficult for customers (Photos 5 and 6). These losses will not occur where work is conducted at night, when most businesses are closed, so these impacts should only affect businesses where the remaining 1,365 km of new pipes are installed. If 25% of this work is

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conducted by trenchless methods, then resettlement impacts will affect businesses in 1,023 km of minor roads. Trenches will be small and located mainly near the centre of roads, so there will be no loss of structures or other assets. Impacts should thus be limited to small-scale temporary reductions in business income if customer access is impeded. 15. The provision of house connections and the installation of valves, chambers and meters in the network should not produce resettlement impacts as this work will all involve small-scale trench construction, affecting a few meters of roadway only. Trenches and excavated soil should thus not be an impediment, and works will be designed to avoid disturbing structures or assets. 16. The repair and refurbishment of the ORs and the DWASA laboratory, and the installation of chlorination facilities at the DTWs should also not have resettlement impacts as all work will be conducted within the boundary of existing government compounds. This will also be the case for most of the new ORs, which will be built at existing OR or DTW sites, or on other small parcels of government-owned land that is not occupied or used for any purpose. It may be necessary however to acquire small amounts of private land for some of the new ORs if it is not technically feasible to locate these where there is available government land. If that is the case, areas will be selected that are not used or occupied, so the only resettlement impact will be the loss of land. E. Extent of Resettlement Impacts 17. The above account indicates that the only areas where resettlement impacts are expected as a result of the DWSSDP are the 1,023 km of minor roads in which new pipes will be installed in trenches, and any plots of private land that have to be acquired for new ORs. 18. The nature and extent of resettlement impacts were assessed by conducting 18 one kilometer non-contiguous transect walks in minor roads throughout the City, which represents 1.8% of the total area in which such impacts may occur. Pre-prepared sheets were used to record resettlement impacts and socioeconomic data along each transect, and information collected includes:

i) Numbers, types and ownership of affected shops and other businesses;

ii) Average business incomes, rent paid by tenants, and numbers of employees;

iii) Numbers and types of affected hawkers, average incomes and any rent paid;

iv) Numbers and types of affected structures (including common property resources) and replacement costs;

v) Any other resettlement impacts.

19. The results of the surveys are shown in Appendix A. Extrapolation gives an estimate of the total impacts for the program as a whole and this indicates that implementation of the DWSSDP is expected to cause the resettlement impacts shown in Table 1.

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Table 1: Summary of Resettlement Impacts Expected During Implementation of DSWSDP

Resettlement Impacts Total recorded during 18 km transect walks

Estimate for DWSSDP

Permanent Impacts Land acquisition (ha) 0 0 Affected structures or assets 0 0 Community resources 0 0 Affected Persons (AP) 0 0 Vulnerable APs 0 0 Temporary Impacts Affected shops2 523 29,288 Owner-shopkeepers 55 3,080 Tenant-shopkeepers 468 26,208 Affected Hawkers 0 0 Vulnerable APs 0 0 Socioeconomic Data (Tk) Average shop income (pd) 5,057 Average hawker income (pd) – major roads

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F. Policy and Legal Framework for Resettlement 1. Comparison of Resettlement Policies of ADB, GoB and DWASA 20. The basic principles for the compensation of property in Bangladesh are founded in Articles 42 and 47 of the Constitution3. The law and implementing regulations governing all cases of land acquisition are contained in the Acquisition and Requisition of Immovable Property Ordinance 1982 (ARIPO), some provisions of which were amended in 1993 and 1994. In addition DWASA have recently prepared their own Resettlement Policy Framework (RPF) with World Bank assistance, aimed at bringing their policy and practice in line with World Bank requirements. Originally developed for the Dhaka and Chittagong Water and Sanitation Project, DWASA intend that the RPF will apply to all of their subsequent projects and activities. 21. Appendix B compares the provisions of ARIPO and the DWASA RPF with ADB requirements, described in the Policy on Involuntary Resettlement 2003 (OM Section F2). This shows that the ARIPO falls short of ADB requirements in a number of aspects and in particular does not cover persons without title (e.g. squatters), does not provide for social rehabilitation of persons losing their livelihoods, and does not give special provisions for vulnerable groups. The DWASA RPF is modeled closely on World Bank procedure and thus complies with ADB policy in most respects, although it does not provide a clear mechanism for involving APs in planning the project and does not class indigenous peoples as vulnerable.

2 Main types of shop are: general store, pharmacy, domestic hardware and electrical goods 3 The latest amendment to the Constitution of Bangladesh was promulgated on 17 May 2004

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2. DWSSDP Resettlement Principles 22. The analysis in Appendix B enabled the development of resettlement principles for the DWSSDP, which complies with the legal requirements of ARIPO and the policies of DWASA and the ADB, and contains measures to bridge gaps between them. The principles are similar to those applied in other recent ADB-funded projects in Bangladesh, and will be followed in preparing and implementing the Resettlement Plans (RP) for DWSSDP. The principles contain both general and specific aspects, which are as follows: General Principles:

i) Action will be taken during project development and design to avoid land acquisition, relocation and other resettlement effects wherever possible;

ii) Where resettlement effects cannot be avoided, compensation will be provided to

Affected Persons (AP) at a level that is sufficient to restore their quality of life and livelihoods to at least pre-project levels;

iii) The law of Bangladesh applies where relevant, but where law is not available or where

there is a gap between ADB policy, the RF will be followed;

iv) Compensation amounts will be based on current replacement value of assets or the amount of income lost, as appropriate;

v) Additional assistance will be provided to vulnerable 4 APs to help improve their

economic and social status;

vi) The absence of formal title to land is not a bar to obtaining resettlement assistance;

vii) Compensation and other assistance will be provided before the loss is incurred;

viii) Damage to common property resources (mosques, schools, hospitals, community meeting places, etc) will be avoided, and access to such areas will be maintained by providing temporary structures where necessary (see item xvi);

ix) Important cultural and religious sites, and landmarks of historical or environmental

value (e.g. buildings and large mature trees) will be left intact and conserved and protected;

x) The cut-off date for compensation entitlement will be the date of the Detailed

Measurement Survey (DMS) conducted by DWASA to identify entitled persons and record their losses. Compensation will not be paid for any development made on affected land (structures, crops, trees, etc) after this date;

Permanent Impacts:

i) If land has to be acquired for the DWSSDP this will be done by the “willing buyer, willing seller” principle, conducting open negotiations and signing agreements in public,

4 Vulnerable groups are those without legal title to land or other assets; households headed by single earner females, the elderly or disabled; indigenous peoples; and households with incomes that are below the poverty line.

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according to DWASA policy. This will be monitored by the relevant Zonal Level Coordination Committee (see Section X.B);

ii) If land cannot be acquired by the “willing buyer, willing seller” principle, the procedures

of ARIPO will be followed, and land will be acquired and payments decided by the government Deputy Commissioner (Appendix B);

iii) Land will not be acquired at less than replacement value as established by

independent market surveys. If the price determined by the DC does not meet the full replacement cost, the landowner will be provided with a top-up amount. This will include any taxes and other sums the owner may have to pay when purchasing new land;

iv) Land will only be acquired for the program if it is unoccupied and not used for any

purpose; Temporary Impacts:

i) Compensation for lost income will be calculated at the normal income of the affected group, paid for the period over which the loss will be suffered;

ii) If construction of trenches will impede access to shops, houses or common property

resources, temporary access structures (wooden planks for pedestrians, metal sheets for vehicles) will be provided;

Institutional Arrangements:

i) Throughout design and implementation of the DWSSDP, regular meetings will be held with affected persons and communities, other stakeholders and relevant NGOs and CBOs, to involve them fully in developing DWSSDP and planning and implementing the resettlement and compensation process;

ii) A transparent, fair and effective complaints procedure will be established through which

APs can raise any grievance regarding the resettlement and compensation process;

iii) DWASA will ensure that adequate institutional arrangements, human resources and budgets are available for preparation and full and timely implementation of all aspects of the Resettlement Plans, before the construction process begins; and

iv) DWASA will establish systems of internal and external (independent) monitoring to

examine and validate RP implementation including payment of compensation. External monitors will report to the EA and ADB, and will assess whether resettlement objectives have been achieved.

3. Eligibility Criteria and Entitlement Matrix 23. APs eligible to receive compensation and other entitlements under DWSSDP are defined as: individuals who, at the time of the Detailed Measurement Survey (DMS) are living or working in areas that are likely to be affected by construction or operation of the infrastructure works, regardless of whether they have legal title to the affected land or assets. The DMS will be conducted once detailed designs have been completed.

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24. The description of construction methods (Section I.D) suggests that there should be relatively few types of resettlement impact, and this was confirmed by the transect surveys (Table 1), which identified only one: loss of business income if customer access is impeded by trenches, excavated soil and machinery. However, because it may be necessary to acquire some land from private owners if it is not possible to site all ORs on government land, provision also needs to be made for compensating affected landowners. Furthermore, although the surveys did not observe any hawkers that would be affected by the construction work, provision needs to be made for this group also, as there is little doubt that some will have to move their normal place of business when construction is in the vicinity (Photo 5). APs are therefore the following:

i) Persons who lose income while construction is carried out in the vicinity of their business (shopkeepers, other businesspeople, and hawkers);

ii) Persons whose normal activities are disturbed by the presence of trenches, excavated

soil and machinery (local residents and shop customers);

iii) APs who belong to socially and economically vulnerable groups;

iv) The owners/occupants of any land that is acquired. 25. Table 2 is the Entitlement Matrix for DWSSDP, which establishes compensation and entitlements for each category of AP and impact, and explains the institutional arrangements and responsibilities through which the entitlements will be provided.

II. SOCIOECONOMIC INFORMATION

A. Project Implementation 26. The infrastructure will be designed in detail in 2008, and constructed in 2009-2013. The work will be tendered in construction packages, relating to the 25 hydraulic areas into which the DWASA MODS zones have been divided (Figure 1), and Contractors may be awarded work in one or more areas. DWASA will be the EA responsible for overall management, supervision and execution of the Project. A PMU will be established and will consist of one Project Director (PD) in the rank of DMD or Chief Engineer (CE), 3 (three) Deputy Project Directors (DPDs) in the rank of the Superintending Engineers (SE) to head each of the following sections: (i) Finance; (ii) Technical; and (iii) Utility Coordination and Public Relations. 12 Executive Engineers (XEN) will assist the DPDs in managing the three divisions under the DPDs. The PMU will be responsible for all day-to-day management of the project including but not limited to the following (i) prepare overall project implementation plan and detailed work program, (ii) provide overall monitoring and guidance on implementation of works under the Project; (iii) carry out all tendering and execution of contracts, (iv) monitor and supervise all project management activities, (v) prepare necessary project progress and project completion report, and (vi) ensure full compliance with the ADB’s resettlement, environmental and other safeguards issues and policies. The PMU will appoint Design and Supervision Consultants (DSC), to design the infrastructure, manage tendering of Contractors and supervise the construction process. The PMU will select and appoint a Construction Contractor (CC) for each package of work, who will build the infrastructure in that area. At the zonal level, Project Coordination Units will be established each headed by the Executive Engineers. The PCUs will be responsible for liaising

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and coordinating with the contractors, the project management consultants, the design and supervision consultants, NGOs and other consultants on all day to day implementation of Project activities under the concerned zones. 27. Resettlement issues will be coordinated by a Resettlement Specialist appointed to the PMU, who will prepare Resettlement Plans for each hydraulic area, following the structure established by this RF. This specialist will also coordinate the allocation of compensation and other entitlements, which will be distributed by NGOs in each zone (see Section X.B). 28. The principles established by this RF will be followed in preparing the engineering designs and construction contracts, which should ensure that action is taken to avoid resettlement impacts as far as possible. The RPs will also follow the principles of the RF, so resettlement impacts that do occur will be dealt with as in the Entitlement Matrix (Table 2). This should ensure that the project does not disadvantage anyone, especially the vulnerable, and that wherever possible the quality of life of APs is improved. B. Data Collection 29. The PMU will commission domestic consultants or an NGO to conduct Detailed Measurement Surveys (DMS) of the resettlement impacts within each hydraulic area. Data will be collected using the survey questionnaire shown in Appendix C, or a modified version. This has been designed for this program and it records information that is relevant to the expected impacts, and allows the recording of data on other impacts if any should be identified. The form has been designed to provide a specific record of those affected, plus relevant socioeconomic information (including gender disaggregated data), and an inventory and valuation of affected assets (income). It thus combines the collection of baseline data with the establishment of entitled persons and the losses they will be compensated for. This allows the collection of all necessary data and the establishment of a cut-off date for entitlements in a single survey.

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Table 2: Entitlement Matrix

Type of loss Application Entitled Person Compensation Policy5 Implementation Issues and Responsibility Loss of land Vacant land acquired for the

project, that is not leased, occupied, or used for any purpose

Land owner(s) with legal title

• Cash compensation equivalent to the replacement cost of land.6

• Costs that would be incurred in purchasing new land (stamp duty, registration fee, and transfer cost).

• DWASA will purchase land by the “willing buyer willing seller” principle wherever possible, conducting negotiations and signing agreements openly in public.

• Negotiations would be monitored by a committee set up by the project to represent affected persons (APs) [Zonal Level Coordination Committee].

• If a parcel of land cannot be obtained by this method, an alternative site will be sought.

• If no suitable alternative exists, land will be acquired by the established procedures of the Acquisition and Requisition of Immovable Property Ordinance, 1982 (ARIPO).

• DWASA will commission an independent survey to establish the market value of the land.

• If the sale price negotiated by DWASA or established by the DC is less than the replacement value according to the survey, the project will pay a top-up amount equivalent to the shortfall.

Temporary loss of livelihood

Business activity disrupted by construction work

Owner of business, shopkeeper (owner or tenant), or hawker

• Provision of information to APs 60 days prior to works.

• Cash compensation, calculated at the amount of income lost during the period of disruption.

• Compensation will be paid regardless of whether or not the business closes during the construction period.

• The normal income of businesses and hawkers will be determined by a Detailed Measurement Survey (DMS) commissioned by DWASA.

• The period of disruption will be assumed to be 5 days, based on experience from the 4th Dhaka Water Supply Project (World Bank, 1999-2002), where this was the average period of construction at network sites.

Temporary loss of access

Access to houses, shops and common property resources impeded by trenches

Residents, shop customers

• Provision of information to APs 60 days prior to works.

• Temporary access structures will be provided to allow pedestrians and vehicles to cross trenches safely.

• Construction contracts will require Contractors to provide planks and metal sheets where necessary to allow access across trenches by pedestrians and vehicles respectively.

• The Design and Supervision Consultants employed by DWASA to supervise construction will ensure that

5 All measures comply with DWASA policy as established by the Resettlement Policy Framework, except those shown in italics. These measures are required to

comply with ADB policy on Involuntary Resettlement (in particular the requirement that APs are at least as well off as they would have been in the absence of DWSSDP).

6 A top-up amount will be added to bring the total price to the replacement value, as calculated by an independent survey.

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• Structures will also be provided to maintain access to common property resources.

Contractors have sufficient planks and metal sheets available before any trench construction begins.

Impacts on Vulnerable APs

Special provisions (in addition to any other compensation for loss of land or income)

Vulnerable APs3 Support for alternative livelihoods: • Employed preferentially in

workforces created by this project (construction and operations and maintenance) if suitable.

Assured involvement in project activities: • Assured of representation on

project-related consultative committees and other communication and planning forums.

• Construction contracts will require Contractors to employ specific numbers of vulnerable APs in their construction workforces.

• DWASA will adopt targets of the numbers of vulnerable APs to be employed long-term in operations and maintenance workforces for DWSSDP.

• Representation from vulnerable APs will be a requirement of all committees and consultation forums for DWSSDP.

Unidentified Losses

Any loss not already covered by this matrix

Affected Person • Dealt with as appropriate during DWSSDP implementation according to ADB policy.

• Action to address any issues will be proposed by the Project Management Unit (PMU) Resettlement Specialist.

• Proposed action will follow ADB policy and adopt a similar approach as outlined above, if applicable.

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30. The DMS will collect data in four main fields shown on the questionnaire, which are:

i) Personal Information on the Affected Person and spouse (name, age, gender, ethnicity, etc): this will identify vulnerable persons and households that are eligible for special assistance;

ii) Profile of Affected Land (use, type, ownership): this category will only be used if the

project needs to acquire land, and will confirm that any potential land is unoccupied and unused (as required by the Resettlement Policy), or will allow the exclusion of land that does not meet these criteria;

iii) Profile of Affected Business (type, ownership, income, etc), from which eligibility and

cost of compensation for lost income can be assessed;

iv) Preferences of APs (mode of payment, alternative livelihoods for the vulnerable): this will allow views and aspirations of APs to be incorporated into resettlement planning.

C. Data Analysis and Management 31. The answers on the DMS questionnaires will be assigned alphanumeric codes (see Appendix C) to assist in safekeeping of records and tracking of specific APs. For effective data management these will be recorded on spreadsheets by the survey consultants or NGO and delivered to the PMU in both digital and hard-copy formats, together with the original survey forms. Data from the DMS surveys will be used by the PMU Resettlement Specialist to calculate average values for the determination of entitlements. 32. The PMU Resettlement Specialist will then prepare lists of entitled persons in each hydraulic area, and will calculate the compensation to which each AP is entitled. This will be recorded on Compensation and Entitlement Forms (CEF) shown in Appendix D, which will be provided to the relevant PCU. NGOs will be appointed to deal with resettlement issues at the local level in each zone, and they will meet APs to discuss and agree their entitlements, and agreement will be recorded on the CEF. This is the official record of entitlements and will be held by the PCU, and copies will be provided to the PMU, AP and Zonal Level Coordination Committee (ZLCC). The NGO will stamp each CEF as “paid” once the AP has received the entitlements, and this will be confirmed by the signature or mark of the AP on the form.

III. GENDER IMPACT AND MITIGATION MEASURES A. Identifying the Needs and Priorities of Women 33. The socioeconomic survey conducted during the DWSSDP planning stage indicated that in the slums and other poorer parts of Dhaka city, women are disproportionately affected by the deficiencies in the water supply system as it is they who are mainly responsible for the collection and provision of water for the family. This can involve several hours each day waiting at community standpipes, after which they are expected to conduct most other household chores unaided, and contribute to the family income when they can, often in poorly paid jobs. As a result, women are amongst the most disadvantaged of the urban poor population. Although this means that women stand to benefit most from the improvements delivered by the DWSSDP, it will be important to ensure that they are not further disadvantaged by resettlement impacts during project implementation; and that the mitigation directed specifically at women is delivered and proves effective.

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B. Mitigating the Impacts of Resettlement on Women 34. The Entitlement Matrix includes safeguards designed to protect single earner female household heads from resettlement impacts and improve their economic and social status. As well as measures that will apply to any women who are shopkeepers, business owners or landowners and are affected by the construction work, the section on vulnerable APs includes other measures aimed at women. Through these actions, single earner female household heads that live or work in areas affected by DWSSDP will be:

i) Assured of representation on committees set up by the program for the purposes of public consultation/disclosure and program development and planning, so their voice will be heard;

ii) Employed in project-related workforces, both during construction of the infrastructure

and in the longer-term to operate and maintain the new system. 35. These issues will be reviewed by the PMU Resettlement Specialist in the light of responses to the survey questions on the needs and aspirations of women.

IV. STAKEHOLDER PARTICIPATION AND PROJECT DISCLOSURE A. Identification of Stakeholders 36. Implementation of the DWSSDP will include a comprehensive campaign of public information and disclosure to ensure that as much of the city population as possible is aware of the project, the way in which they could be affected (both positively and negatively) and mitigation and compensation that will be provided to reduce adverse impacts. DWASA will also conduct a wide-ranging schedule of stakeholder consultation, to involve affected persons and communities in planning and implementing the program in their locality, and in developing the resettlement activities and compensation measures. 37. Most of the main stakeholders have already been identified and consulted during DWSSDP preparation, and any others that are identified during the implementation stages will be brought into the process in the future. Primary stakeholders are:

• Residents, shopkeepers and businesspeople who live and work alongside the roads in which network improvements will be provided and near sites of facilities that will be improved or built (OR, DTW, zonal offices);

• Owners of any land that may be acquired to provide sites for new ORs; • Custodians and users of socially and culturally important buildings in the same areas.

Secondary stakeholders are:

• DWASA as the Executing Agency; • Other government institutions whose ambit includes areas or issues affected by the

project (Dhaka City Corporation, Greater Dhaka Planning Authority, Department of Public Health Engineering, Local Government Engineering Dept, Ministry of Finance, Ministry of Environment, Roads and Highways Division, etc);

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• NGOs and CBOs working in the affected communities; • Other community representatives (prominent citizens, religious leaders, elders,

women’s groups); • The beneficiary community in general; and • The ADB.

B. Program Disclosure 38. Discussions were held with stakeholders at various stages during preparation of the DWSSDP in 2006-2007, to discuss the program and its impacts, resettlement issues and potential mitigation, and to involve the community in developing the Resettlement Framework. Four methods of consultation and/or disclosure were used, as follows:

i) Semi-structured face-to-face interviews were conducted with a randomly-selected sample of 448 persons in July and August 2006, at sites of proposed network improvements throughout the city. Appendix E shows the main views expressed and how they were incorporated into the RF;

ii) A series of five workshops (131 participants) was conducted with the main institutional

stakeholders, civil society, NGOs and other local organizations on 15-19 October 2006 to present and discuss the Draft Final Report (including the Draft RF), and discuss various specific issues;

iii) A pilot public meeting (30 participants) was held on 30 April 2007 in the hydraulic area

in which construction is likely to begin (Pallabi-Mirpur Sector 10, Figure 1), to discuss the program and its potential environmental and resettlement impacts and benefits in more detail. Appendix F provides a summary of the meeting;

iv) A Bangla language pamphlet summarizing the program, implementation schedule, the

likely environmental and resettlement impacts and the way in which they will be mitigated and compensated, was provided to all participants at the April 2007 meeting, and was also circulated with weekend newspapers in the Pallabi-Mirpur area on 27 April 2007. Appendix G shows the document and an English translation.

39. These are preliminary discussions only and DWASA will extend and expand the consultation and disclosure process significantly during DWSSDP implementation. The PMU will appoint an experienced NGO to handle this key aspect of the program and they will conduct a wide range of activities across the city to ensure that the needs and concerns of APs are registered by DWASA and its implementing agencies, and are addressed in program design, construction or operation where appropriate. Activities will be developed during the detailed design stage, and those related to disclosure will include:

• Public information campaigns (via newspaper, TV and radio) to explain the program to the wider city population and prepare them for disruption they may experience once construction is underway;

• Public disclosure meetings at key stages to inform the public of progress and future plans, and to provide copies of summary documents in the Bangla language;

• Formal disclosure of completed program reports (including Resettlement Plans) by making copies available at convenient locations in each zone, informing the public of their availability, and providing a mechanism through which comments can be made.

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C. Public Consultation and Stakeholder Participation 40. The NGO appointed to deal with the communication aspects of the program will also conduct a variety of consultation activities to ensure that affected persons and other stakeholders are properly involved in planning and implementation. These will be conducted during both the detailed design and construction stages and will involve at least the following activities: Consultation during detailed design:

• Focus-group discussions with affected persons and other stakeholders (including women’s groups, NGOs and CBOs) to hear their views and concerns, so that these can be addressed in project design where necessary;

• Structured consultation meetings with the institutional stakeholders (Government bodies and NGOs) to discuss and approve key aspects of the program.

Consultation during construction:

• Public meetings with affected communities to discuss and plan work programs and allow issues to be raised and addressed once construction has started;

• Smaller-scale meetings to discuss and plan construction work with individual communities to reduce disturbance and other impacts, and provide a mechanism through which stakeholders can participate in project monitoring and evaluation.

D. Involvement of NGOs, CBOs and Women’s Organizations 41. The active involvement of NGOs, CBOs and organizations representing women and other vulnerable groups is seen by DWASA as essential in fostering positive community participation in the program and ensuring that the views and wishes of the disadvantaged are heard and acted upon. NGOs will perform a number of key roles, in particular:

• An NGO will be appointed by the PMU to organize and implement the consultation and disclosure activities described above, and the various awareness raising campaigns;

• The PMU will also appoint an NGO with experience of resettlement issues to implement Resettlement Plans in each hydraulic area and distribute the entitlements;

• A nationally-recognized NGO may fulfill the role of Training Coordinator in the PMU, organizing training for DWASA staff (including Environment and Resettlement Cells) and affected communities;

• NGOs will also be appointed to assist the PMU and PCUs with other technical tasks, for example in conducting the Detailed Measurement Surveys, and other studies and surveys where an established relationship with the communities is essential.

42. The main role of CBOs and organizations representing women and other vulnerable groups will be to represent the interests of their members in dealings with the program proponents, in particular the PMU and PCUs and also the Construction Contractors. These organizations will be registered stakeholders and will thus be involved in various consultation and disclosure activities. Together with NGOs they will be assured of representation in the various committees and other forums that are established to plan and implement the program and monitor its progress. As a further safeguard to ensure their representation and involvement

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key positions on all committees will be reserved for women and for persons representing disadvantaged communities.

V. GRIEVANCE REDRESS MECHANISMS 43. In developments involving involuntary resettlement there will inevitably be a certain number of unsatisfied citizens, regardless of efforts to provide fair levels and methods of compensation and mitigation that are appropriate to the loss. DWASA policy, as set out in its RPF, is to try to resolve any such complaints at project level through negotiations with community leaders and representatives of Affected Persons (AP). For this program these discussions will be conducted by the PCU, and will involve the AP and members of the relevant Zonal Level Coordination Committee (ZLCC), plus the Site Manager and Chief Engineer of the Construction Contractor if necessary. 44. As it is not always possible to resolve a dispute in this way, DWASA has established a more formal Grievance Redress Mechanism (GRM), also described in the RPF, and this will be applied where necessary during DWSSDP implementation. Cases are submitted to a Grievance Resolution Committee (GRC) of three persons, led by the DWASA Project Coordinator (in this case the PMU Project Director). Other members include a representative of residents of the project area who is known to be a person of integrity and good judgment who commands respect, and a representative of a local NGO or CBO (in this case the NGO implementing the relevant RP). 45. The procedure requires the Project Coordinator to convene meetings of the GRC as necessary at an appropriate place or places in the project area, and conduct the proceedings as he considers appropriate, with the objective of reaching an amicable settlement between the parties. The report of the committee is recorded in writing, and attested copies are provided to the parties involved. For this program the GRC will be required to meet and reach a decision within 14 days of receiving a complaint (verbally or in writing) from an AP or his representative. There will also be an appeals procedure where, if a person is dissatisfied with the ruling of the GRC, he or his representative may attend their next meeting to re-present the case. The committee will then re-consider the case in private, after which their decision is final. If the appellant is still not satisfied he has the right to take his case to the public courts. 46. The PMU Resettlement Specialist will keep a record of all grievance cases and will examine these for recurring complaints and solutions, and action to address these will be incorporated in subsequent RPs. People will be made aware of the GRM via the public consultation meetings, and will be informed of the outcome of cases at subsequent meetings. DWASA will also publish the outcome of cases on public notice-boards in each hydraulic area. The costs of the GRM and any action the GRC recommend will be met by the program.

VI. COMPENSATION AND INCOME RESTORATION A. Valuation of Affected Assets 1. Land 47. All efforts will be made during detailed design stage to avoid the need to acquire any privately owned land, as specified in the Resettlement Policy (Section I.F.2). However if this

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cannot be avoided, land will be acquired via procedures outlined in the DWASA RPF and incorporated into the Entitlement Matrix for this program (Table 2 above). This involves direct purchase on the “willing buyer willing seller” principle, conducting negotiations openly in public, with all parties signing to document the final price. To comply with ADB policy, such negotiations and agreements would be witnessed and verified by the relevant Zonal Level Coordination Committee (ZLCC) to ensure there is no coercion. 48. If land cannot be obtained in this way the procedures of the ARIPO will be followed (Appendix 2). However DWASA policy establishes that, if the price determined by the Deputy Commissioner does not meet the full replacement cost (of land or other property), as calculated by an independent market study, DWASA provides APs with a top-up amount to cover the discrepancy. This includes the taxes and other charges the owner would be required to pay if he were to purchase new land (5% stamp duty, 5% land registration fee, 6% gain tax and 2.5% Value Added Tax). 2. Income 49. Business income varies widely depending on the type and size of business and the location of the premises, so the PMU will engage a well respected financial consultancy to conduct a survey of business types and incomes throughout the City. The results will be used to establish the average daily income of each type of affected business in each of the MODS zones, and the average value for a particular zone will be applied to calculate compensation for lost income in that zone. 3. Other Assets and Losses 50. If any other losses are identified during the Detailed Measurement Surveys, compensation will be proposed by the PMU Resettlement Specialist, following the procedures shown in the Entitlement Matrix. The Resettlement Specialist will determine unit prices of materials and services if necessary, by obtaining quotations from three suppliers where appropriate, and will use these to calculate compensation amounts. B. Income Restoration 51. The transect surveys identified loss of income as the only resettlement impact and indicated that this will affect the owners and tenants of a wide variety of businesses located in minor roads across the city (Table 1). The Entitlement Matrix indicates that these losses will be compensated by a straightforward income restoration strategy, which involves the provision of cash compensation to shopkeepers, the owners and operators or other businesses, and hawkers, equivalent to the amount of income they lose. 52. Average amounts of business income will be calculated by the financial survey described above, and these will be applied to the affected businesses according to their nature and location. Average incomes of hawkers and vulnerable persons will be calculated in the same way, and the following assumptions will be made, so that compensation amounts can be calculated and delivered before the losses occur:

i) Hawkers, shops and other businesses will lose 20% of their income when their business is disrupted by construction work;

ii) At any one point, any disruption will last for an average of five days (see Table 2).

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C. Alternative Livelihoods 53. Hawkers and any other APs recorded by the DMS as being from vulnerable groups will be given additional support in improving their economic and social status, by being offered employment in construction workforces for this program, if they are found to be suitable. Suitability will be determined by specialists appointed by the PMU to coordinate and implement training activities. 54. This alternative livelihoods policy will be supported by the inclusion of clauses in the contracts appointing Construction Contractors, requiring them to employ specific numbers of vulnerable APs. DWASA will adopt similar targets when establishing workforces to conduct operation and maintenance when the new system is operating (Table 2). D. Screening of Vulnerable Households 55. Households identified as vulnerable by the DMS will need to be screened by the surveyors to avoid misrepresentation and ensure that assistance is provided to those who are genuinely in need. The following criteria will be applied: Households headed by single earner women: 56. These are households where the head is:

i) A female who is widowed, divorced or separated as confirmed by neighbors and respected local citizens;

ii) Carrying the whole responsibility of raising the family which includes members who are below 18 years of age.

Households headed by the elderly: 57. These are households where the head is:

i) Aged 65 years or above (regardless of gender or marital status), as confirmed by neighbors and respected local citizens;

ii) Carrying the whole responsibility of raising the family, which includes members who are below 18 years of age;

iii) Not receiving regular financial support from children and/or other relatives. Households that are poor: 58. These are households in which:

i) The total income is below the poverty line7 of Bangladesh; ii) There are members who are below 18 years of age.

Households headed by Indigenous Persons: 59. These are households where the head is:

7 Calculated during DWSSDP preparation as a Per Capita Monthly Income of 820 Tk (Lower PL) to 1,130 Tk (Upper PL), from projections based on the most recent data from Bangladesh Bureau of Statistics (Household Income and Expenditure Survey, 2000)

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i) An indigenous person based on ADB’s definition as assessed by the implementing

NGO and confirmed by neighbors and respected local citizens; ii) Carrying the whole responsibility of raising the family which includes members who are

below 18 years of age. 60. Although the transect surveys found no vulnerable persons, these policies and procedures are provided so that appropriate compensation and assistance can be delivered in the event that APs in these categories are recorded when the more extensive DMS surveys are conducted.

VII. RESETTLEMENT BUDGET AND FINANCING A. Budgeting and Financial Planning 61. Table 3 shows the estimated budget for the compensation of resettlement effects across the DWSSDP as a whole, estimated on the basis of the transect surveys (Table 1) and the Entitlement Matrix (Table 2). This includes the cost of compensation, institutional support (Resettlement Specialist in the PMU and NGOs to implement RPs in each zone) and the various surveys and public consultation and disclosure activities. It does not include costs for the following:

• Land acquisition, which would be funded by GoB and would need to be added if land acquisition is found to be necessary in the detailed design stage;

• Provision of wooden planks and metal sheets for access across trenches, as these are the responsibility of Construction Contractors and are covered by budgets for the civil works;

• Provision of alternative livelihood opportunities for affected vulnerable people, as they will be offered employment in construction workforces, which are paid for by Contractors and included in the civil works budgets.

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Table 3: Estimated Budget for Compensation of DWSSDP Resettlement Effects (Tk)

Item Quantity Unit Cost Total Cost Sub-totals

Compensation for lost income Shopkeepers, owners/tenants of other businesses 29,288 5,0578 148,109,416 Hawkers 1,0009 96110 961,000 149,070,416 Resettlement Coordination in PMU Domestic Resettlement Specialist 18 months11 200,00012 3,600,000 Training for DWASA Environment Cell 2 x 4 month 20,00013 160,000 3,760,000 Resettlement Implementation in 6 PCUs NGO Resettlement Staff 12 x 12 months14 100,000 14,400,000 Travel and other expenses Sum 1,500,000 1,500,000 15,900,000 Surveys Detailed Measurement Surveys 25 x 6 months15 100,000 15,000,000 Business Income Survey 3 x 1 month 200,000 600,000 Independent Monitoring Agency 10 months16 200,000 2,000,000 Survey expenses Sum 1,500,000 1,500,000 19,100,000 Committees Grievance Resolution Committee 3017 9,00018 270,000 270,000 Consultation and Disclosure Communications NGO 72 months19 150,000 10,800,000 Expenses 6 years 600,00020 3,600,000 14,400,000 TOTAL 202,500,416

8 Average business income in minor roads is Tk 5,057 per day (Table 1), so 20% of income for 5 days is Tk 5,057. 9 As the transect survey recorded no hawkers, a nominal figure of 1,000 is included to ensure that budget is provided. 10 Average hawker income is Tk 961, so 20% of income for 5 days is Tk 961. 11 Assumes that PMU Resettlement Specialist will work full-time during the 1 year detailed design (when all RPs will

be prepared and all compensation provided) and part time during the next year, assisting in resolution of disputes, etc.

12 Cost of domestic consultants is based on current rates and includes fees only, as consultants will be from Dhaka. 13 Cost of training is estimated at $70 (Tk 5,000) per person per week, i.e. Tk 20,000 per month. 14 Resettlement Plans will be implemented and compensation will be organised and disbursed by two people in each

of the six DWASA zones, who will work full time throughout the 1 year design period. 15 Transect surveys for the RF covered 6.7% of the network and required 6 person-months of effort. The DMS is more

detailed and will require 25 surveys (one per hydraulic area), conducted by two people, working for 3 months each. 16 Assumes two monitoring specialists working for one month each per year, over the five year construction period; 17 Assumes that GRC will meet on average once every two months throughout the construction period; 18 Cost per meeting of GRC and APC is Tk 3,000 per member, which will cover attendance allowance, room hire,

stationery and secretarial service; 19 Public consultation and disclosure will be handled by a four-person NGO team, working intermittently as needed,

averaging inputs of three months each per year over the six-year period of the project; 20 Includes cost of venue, advertising, refreshments and materials for the following events each year: 6 public

meetings (Tk 50,000 each), 12 local meetings/workshops (Tk 10,000 each), 2 media campaigns (Tk 35,000 each), and other local events and activities (Tk 110,000). Total = Tk 600,000 per year.

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62. Table 3 shows that the total resettlement budget is Tk 200 million (US$ 3 million), which is 1.2 % of the total project cost of $266 million. 63. Specific resettlement budgets for each hydraulic area will be established by the individual Resettlement Plans prepared by the PMU Resettlement Specialist. These will utilize the data on numbers of APs and resettlement impacts identified in each DMS, so budgets will reflect the actual costs required. All entitlements will be consistent with the policies and specific measures established in this RF, and costs of the other activities related to resettlement (public consultation and disclosure, training and awareness-raising, surveys, supporting institutions) will be included. 64. All aspects of the resettlement process are considered by DWASA as integral components of the project costs. All land acquisition, compensation and assistance, costs incurred by the grievance redress committee will be provided by the EA. DWSSDP will support consultancy, support staff costs, training costs, CBO/NGO staff and costs, cost of required surveys, cost of monitoring, and communication and other expenses. B. Approval of Resettlement Cost Estimates 65. Estimates of the cost of the various compensation measures contained in each RP will be checked and approved by the PMU Project Director on behalf of the EA. If there are any queries or amendments these will be referred to the PMU Resettlement Specialist and will be resolved by discussion if necessary. This process will not involve changes in the nature of compensation actions, or entitlements determined by the RP and DMS. Discussions and amendments will deal only with amendments in budgetary costs, which will need to be properly documented in order to justify a change in the RP. C. Flow of Funds 66. The program includes a component devoted to the strengthening and development of DWASA, and this will involve the provision of a great deal of capacity building and training in various elements of project management and accounting, as well as other relevant issues. Consultants will be appointed to provide the necessary training, and to assist DWASA in strengthening their administrative and financial systems to bring them in line with those expected of a modern public utility. This will be conducted mainly during the initial stages of project implementation, so that improved systems should be in place and operating in time for them to be applied to ensure the effective provision and control of funds related to resettlement. 67. Measures specific to resettlement planning will include the establishment of accounting spreadsheets and charts documenting the progress of compensation payments and other assistance measures against the timetables established in the RPs. These will be administered centrally by the PMU, on the basis of information provided by the six PCUs established in zones where work will be conducted; and information on progress and remedial action where necessary will be fed back to the PCUs. The PCUs will be provided with software and accounts books on which to record payments made. The central accounting chart of the PMU will be part of the accounting system on Development Expenditures for the program, through which ADB will monitor disbursements for the implementation of the RPs. 68. Payments to APs will be the responsibility of DWASA and will require approval of the Finance Director. The NGO appointed to implement RPs in the zone will prepare documents seeking approval for specific amounts, and these will be checked by the PMU Resettlement

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Specialist by reference to the relevant RP and the record of payments, before submission to the Finance Department. Once approval has been granted, payments will be effected as follows:

i) DWASA Finance Department will prepare individual checks for each AP and will advise the PMU on the schedule for release of funds;21

ii) The PMU will inform the PCU of the release of payment, and the time, place and date

at which the funds will be available. If the funds are for a substantial amount the PCU may suggest that the AP opens an account with the releasing bank, from which they can make staged withdrawals;

iii) Checks will be delivered to APs by the NGO implementing the RP, who will record

receipt of payment on the CEF with an official stamp and signature or mark of the AP;

iv) APs will then obtain the cash by presentation of the checks at the releasing bank, or via their passbook if they have opened an account;

v) The PMU will record the payments in their own accounts register and will provide the

PCU with copies of the endorsed CEF for their own records. D. Contingency Arrangements 69. The resettlement budgets prepared by the PMU Resettlement Specialist and approved by the EA will include a contingency amount of 15% to cover unanticipated resettlement impacts and additional amounts that may be needed to resolve disputes. A budget line will be allocated for the contingency, but funds will only be released on approval of the PMU Project Director, to an application from a PCU that is supported by the PMU Resettlement Specialist and accompanied by a proper justification for the additional expenditure. Any other departures from the budgets and allocations indicated in the RPs will require the same process of application and approval, to ensure that variations from the agreed plans do not become commonplace and are subject to detailed scrutiny before approval.

VIII. IMPLEMENTATION SCHEDULE 70. DWSSDP will be implemented over a six-year period (2008-2013) as shown in Figure 3. There will be an initial detailed design stage of one year, during which the program institutions will be established, design consultants will be appointed, detailed designs for the infrastructure will be prepared, and the process of tendering and selection of contractors will be conducted. Construction will begin in early 2009 and will be carried out in overlapping phases throughout a five-year period. The sequence in which work will be conducted in the 25 hydraulic areas will be determined in the design stage.

21 In the case of death of the AP recorded in the DMS the check will be in the name of the authorized household

representative, who must present acceptable identification documents.

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Figure 3: Implementation Schedule for DWSSDP

Activity 2008 2009 2010 2011 2012 2013

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Detailed Design

Network Rehab (Zones 1, 2, 4, 7)

Network Rehab (Zones 3, 5, 6)

OR Rehabilitation

Chlorination facilities at DTWs

Refurbishment of Zonal Offices

Network Expansion (all zones)

Construction of new ORs

DWASA Capacity Building

Public Awareness Raising

Figure 4: Implementation Schedule for Resettlement Activities

Activity 2008 2009 2010 2011 2012 2013

J F M A M J J A S O N D

Set up, train PCUs & NGOs in zones

Detailed Measurement Surveys

Business Income Survey

Prepare Draft Resettlement Plans

PMU and ADB review/approve RPs

AP meetings to agree entitlements

PMU apply for release of funds

Checks prepared, disbursed to APs

Vulnerable APs identified for jobs

Employment offered

GRC meetings

Public consultation meetings in zones

AP surveys to check entitlements

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71. Resettlement activities will be coordinated within the program period as shown in Figure 4. DWASA and ADB resettlement policies require that compensation for all resettlement impacts is provided before the loss is incurred, so Resettlement Plans will be prepared early in the design stage, and the process of arranging compensation and other entitlements will commence as soon as each RP has been approved. The related activities (DMS survey, public consultation and disclosure, etc) will be phased throughout the year as shown in Figure 4.

IX. MONITORING AND EVALUATION A. Internal Monitoring 72. According to the RFP, implementation of DWASA resettlement activities is monitored by the DWASA Environment Cell (EC) who determine whether resettlement is effective, make recommendations for change where necessary, and report to the Project Director. The EC thus have an established role in the resettlement process, and will fulfill the same function in the DWSSDP. The program will provide the EC with training in resettlement issues, social survey methods and data analysis and recording, and they will also be supported by the PMU Resettlement Specialist in performing this role. Monitoring data will be collected from the PCUs, the NGOs implementing the RPs, and individual APs, and will be compared with the entitlements and disbursement schedules established in the RPs. Various indicators will be used, including those shown in Table 4.

Table 4: Potential Monitoring Indicators

Monitoring Issues Monitoring Indicators

Management, budget and program • DWASA Environment Cell strengthened and trained; management & monitoring systems established and functioning;

• PMU Resettlement Specialist appointed and in post; • NGOs appointed to implement RPs in each zone; • DMS conducted as planned, completed on time; • RPs prepared according to schedule and requirements of RF; • Funds for resettlement released on schedule; • Any clearing of sites completed in time for start of construction;

Delivery of AP entitlements • APs received entitlements according to amounts and program specified in RPs;

• Compensation provided before loss incurred; • Alternative livelihoods offered to vulnerable APs;

Consultation, grievance and other issues • Public meetings held to disclose impacts and entitlements; • Meetings with individual APs to agree compensation; • APs aware of entitlements and grievance procedure; • GRC meetings held and grievances resolved;

Benefit monitoring • Post-impact meetings held with APs to check receipt of entitlements and satisfaction;

• Check of any disproportionate impacts on vulnerable households; • Changes in APs income and expenditure before and after

program implementation.

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B. External Monitoring and Evaluation 73. The PMU will also engage a consultant or NGO as an Independent Monitoring Agency (IMA) to conduct external monitoring of the resettlement process. This agency will conduct Compliance Monitoring to check that entitlements have been provided as specified in the RPs, and Social Impact Evaluations to determine whether the compensation measures have mitigated the effects of the program and delivered the intended social improvements. 74. Compliance Monitoring will focus on:

i) Determining whether APs have been provided with the compensation and other entitlements specified in the RPs, and have re-established their incomes and livelihoods to pre-project levels or better;

ii) Assessing the adequacy of the resettlement policies, resettlement management staff

and structures, complaints and grievance procedures, and resettlement budgets. 75. Data will be gathered through reviews and audits and unscheduled and unannounced inspections, as well as interviews with APs, DWASA staff and others involved in the process at all levels, and structured direct observation on the ground. 76. Social Impact Evaluations (SIE) will be conducted following implementation of each RP, at least six months after completion of the resettlement process. Each SIE will assess post-project socioeconomic conditions in affected areas and communities, compared with pre-project baseline levels established by the DMS. Indicators will include measures of income and expenditure, and the physical, economic and social capital of APs before and after the program. The status of groups in relation to vulnerability and other factors will be assessed, together with the gender impacts of the RPs. 77. The IMA will report to the EA and the ADB throughout project implementation, and will produce annual reports that will identify any outstanding issues that need to be addressed, and any departures from GoB or ADB policy, together with recommended remedial action. The reports will also identify any strategic lessons that need to be learned, so that these can be incorporated into future resettlement policy and planning by DWASA, GoB or ADB.

X. IMPLEMENTATION ARRANGEMENTS A. Institutional Capacity Assessment 78. The institutional analysis conducted during DWSSDP preparation found weaknesses in DWASA, particularly in the areas of water management, delivery of services, finance, and human resources. These will be addressed by the DWSSDP through an integrated and comprehensive program of institutional development, to improve existing services and support future investments. This will be very participatory in its approach, and will continue for five years under the guidance of the principal author of A Challenging Experience in Organization Development (JWU/GTZ 2003), supervised and monitored by ADB.

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79. DWSSDP will also strengthen DWASA capability and processes related to resettlement, by providing expertise, training and support in key areas, as outlined above. This will provide the necessary tools for managing the resettlement process during DWSSDP implementation, and should enable DWASA to deal with these issues in a similar manner on other projects in the future. The main support is as follows:

• Appointment of a domestic resettlement specialist to work in the PMU throughout the detailed design stage and intermittently thereafter, to prepare RPs and manage and coordinate the resettlement process across the program as a whole, ensuring consistency of approach and appropriate and timely provision of entitlements;

• Appointment of a Dhaka-based NGO with extensive resettlement experience to provide

two staff in each zone to implement the RPs, liaise with APs regarding their entitlements, assist in the identification of vulnerable households, and disburse compensation payments to APs where appropriate;

• Provision of training to the DWASA Environment Cell in resettlement and social issues

and surveys, to enable them to fulfill their role prescribed in the RPF, of monitoring the effectiveness of the resettlement process and making recommendations for change if necessary.

B. Institutional Responsibilities 80. Table 5 shows the institutional responsibilities for each of the main activities involved in the planning and implementation of resettlement within the DWSSDP. The role of each institution is as follows: Dhaka Water Supply and Sewerage Authority (DWASA): 81. DWASA will be the EA responsible for overall management, supervision and execution of the Project. DWASA will establish the following to fulfill these responsibilities: Project Management Unit (PMU): 82. A PMU will be established and will consist of one Project Director (PD) in the rank of DMD or Chief Engineer (CE), 3 (three) Deputy Project Directors (DPDs) in the rank of the Superintending Engineers (SE) to head each of the following sections: (i) Finance; (ii) Technical; and (iii) Utility Coordination and Public Relations. 12 Executive Engineers (XEN) will assist the DPDs in managing the three divisions under the DPDs. The PMU will be responsible for all day-to-day management of the project including ensuring full compliance with the ADB’s resettlement, environmental and other safeguards issues and policies. 83. The PMU will be supported by domestic and international consultants in key fields, including engineering design, project management, accounting and financial management, etc. These will include Design and Supervision Consultants (DSC), who will design the infrastructure, manage tendering of Contractors and supervise the construction process. The PMU will also appoint consultants or NGOs to coordinate training activities, and an NGO to conduct public awareness campaigns.

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84. Resettlement issues across the program as a whole will be managed and coordinated by a domestic Resettlement Specialist appointed to the PMU. The main responsibilities of the Resettlement Specialist will be to:

i) Prepare Resettlement Plans for each of the 24 remaining hydraulic areas, following the principles established by this RF and using the RP prepared during program preparation for the first hydraulic area as a template;

Table 5: Institutional Responsibilities in the Resettlement Process for DWSSDP

Activity Action Approval

Institutional Strengthening Consultancy support to PMU RS PMU PMU-PD

Training and support to DWASA EC PMU PMU-PD

NGO support to PCUs PMU PMU-PD

Preparation of Resettlement Plans Design of DMS22 questionnaire PMU-RS PMU-PD

Implementation of DMS, screening of vulnerable households NGO PMU-RS

Calculation of average values for entitlements PMU-RS PMU-PD, ZLCC

Preparation of Draft RPs PMU-RS PMU-PD, ADB

Public consultation on RPs and entitlements NGO PMU-RS, ZLCC

Incorporation of comments, preparation of final RPs PMU-RS PMU-PD

Public disclosure of RPs NGO ZLCC, ADB

Implementation of Resettlement Plans Appointment of IMA PMU PMU-PD

Internal and external monitoring DWASA EC, IMA PMU-PD, ZLCC, ADB

Allocation of RP budgets DWASA Finance Dept PMU-PD

Preparation of lists of entitled persons and entitlements PMU-RS PMU-PD

Preparation of CEFs for each AP PMU-RS PMU-PD

Discussion and agreement of CEFs with each AP NGO PMU-RS

Retention of agreed and endorsed CEFs AP, MODS, PMU PMU-RS

Application for release of compensation funds NGO PMU-RS

Release of funds DWASA Finance Dept PMU-PD

Provision of checks to APs NGO PMU-RS, ZLCC

Provision of other entitlements PMU-RS IMA, EC, ZLCC

Dealing with complaints and grievances MODS, GRC PMU-RS, ZLCC

Communication of outcome of GRC cases GRC PMU-RS, ZLCC

Surveys to determine level of AP satisfaction NGO, IMA DWASA EC

22 Detailed Measurement Survey carried out during detailed design to record and quantify resettlement impacts and

entitled persons.

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ii) Prepare standard material and data to be used for the program as a whole (DMS survey questionnaires, average incomes and rates of compensation, etc);

iii) Supervise and monitor implementation of the Resettlement Plans by NGOs against

programs and budgets, and take remedial action where necessary; iv) Monitor the work of GRCs in dealing with complaints and grievances, and take action in

subsequent RPs to address any recurring problems or complaints; v) Establish procedures and systems for monitoring progress in resettlement

implementation and recognizing and addressing any problem areas; vi) Assist in the organization and implementation of public consultation and disclosure

activities (including preparation of materials and delivery of presentations where necessary);

vii) Conduct internal seminars and training programs to raise the awareness of the PMU

and PCUs/MODs of resettlement issues; viii) Report each month to the Project Director regarding the progress of resettlement

issues.

85. The Resettlement Specialist will have an input of 18 months and will work full time during the one-year detailed design stage when most resettlement issues will be addressed, and part-time during the following year. Project Implementation Units (PCU): 86. DWASA will establish a Project Coordination Units (PCUs) in each of the six MODS zones in which infrastructure will be improved (Figure 1), who will be responsible for implementing and coordinating all activities at the local level in the zone, and engaging civil society. Each PCU will be headed by the zonal Executive Engineer and staffed by PWSS personnel, who will be based in the DWASA zonal office. The PCUs will be able to call upon the support of staff and consultants working centrally within the PMU where necessary, in particular staff of the DSC, many of whom will work in the zones, supervising the work of the Construction Contractors. 87. DWASA will appoint a Dhaka-based NGO with extensive experience of resettlement, who will provide two staff to each PCU, who will implement the Resettlement Plans for each hydraulic area in the zone. The main tasks of these persons will be to:

ii) Consult with the public and individual APs regarding resettlement issues and compensation entitlements, and obtain AP agreements via CEFs;

iii) Prepare applications for release of resettlement funds and distribute checks prepared

by DWASA to individual entitled persons as appropriate;

iv) Assist in the identification of affected vulnerable households and the selection of persons from such households who are suitable for employment in construction workforces;

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v) Hold follow-up discussions with APs after resettlement issues have been addressed, and conduct surveys to determine their degree of satisfaction, and make recommendations to the PMU Resettlement Specialist for remedial action if justified;

vi) Report each month to the PMU Resettlement Specialist on the progress of RP

implementation in each hydraulic area. Project Steering Committee (PSC): 88. An inter-ministerial Project Steering Committee (PSC) chaired by the Secretary of LGD will be created to provide policy guidance and overall coordination in the implementation of the Project. Its membership will include the Managing Director, DWASA; Project Director of PMU; representative from Dhaka City Corporation; representative from the Economic Relations Division and the Finance Division of MoF; the Planning Commission; the Planning Monitoring and Evaluation Division; RAJUK (Capital Development Authority); Ministry of Environment and Forestry; and ADB representative as observer. 89. The PSC will provide broad oversight of the project and its implementation, and will act to resolve any inter-agency or other issues that need to be addresses at a central level. The PSC will hold its first meeting within 3 months of loan effectiveness, and meet at least quarterly thereafter, to coordinate and resolve any issues in project implementation. Minutes of its meetings will be forwarded to ADB for information. Zonal Level Coordination Committee (ZLCC): 90. A Zonal Level Coordination Committee (ZLCC) will monitor implementation of the program at local level in each zone, and will report to the PSC. The membership, remit and responsibilities of the ZLCC will be defined in the detailed design stage. Members are likely to include well respected citizens and leaders of NGOs and CBOs who are active in the zone, and the Resettlement Policy requires that members should also include women and representatives of minority and vulnerable communities. The responsibilities of the committee with respect to resettlement issues are shown in Table 5, and include the following:

i) Meet APs formally and informally as often as may b