Summary: Resettlement Action Plan for the Thwake Multi- Purpose Dam-Kenya

1. Introduction and Background

The proposed Thwake water supply and sanitation Dam is a project conceived and intended

to be constructed by the Tanathi Water Service Board through the support of the government,

Ministry of Water and Irrigation and African Development Bank (AfDB). The Dam area is

spread across the greater lower eastern areas of Makueni, Kathonzweni, Mbooni East and

lower Yatta and covers an area of 2,900 Hectares. It’s envisioned to have a potential for water

supply for domestic and industrial use, as well as hydropower and irrigation purposes.

The Resettlement Action Plan (RAP) covers entire Dam area including the inundation area,

buffer zones and areas that will be directly affected by the Dam construction. The total Dam

area is 2,900 Hectares.

During the ESIA survey, the community engaged in comprehensive discussions on the

impacts that would arise from the Dam construction. The community preferred full

compensation for all the losses incurred including loss of land, loss of livelihood and

relocation disturbance to the relocation new areas. The communities ideally expects positive

impacts like improved access to water supply, employment and business opportunities, better

infrastructure (roads & power), social amenities, better environment and access to part of the

revenue generated from the Dam. The land on which the Dam will be constructed (70%)

traverses homesteads, smallholders’ crop cultivation land and grazing land. Subsequently, the

main effects of the Dam construction will be land uptake and loss of livelihood. The affected

community expects to be compensated and resettled in a manner that restores their

livelihoods or improves them from the earlier state.

This RAP summary provides the project description; potential impacts, project objectives;

legal framework; legislation on land expropriation and compensation; eligibility criteria and

entitlement; the institutions for RAP implementation; implementation schedule; grievance

redress mechanism; public consultations and community participation; persons affected by

the project; socio-economic profile of affected households; fully and partially affected

households; vulnerable households; valuation methodology; compensation levels for

properties and assets; monitoring and evaluation; RAP implementation cost and RAP

disclosure.

2. Project Description, Project Area and Area of Influence

The Multi-purpose Dam will be constructed in the greater lower eastern areas of Makueni,

Kathonzweni, Mbooni East and lower Yatta. The Dam will cover an area of 2,900 Hectares.

It is envisioned that it will provide water for domestic use (10,565 m3 per day) for the

communities living in Makueni and the neighbouring districts. Other envisioned uses include;

irrigation activities (249,000m3 per day) mainly within Makueni district where water can

easily gravitate and also hydropower generation (2,673,503 M3 per day). In addition to offsite

water use, other uses of the Dam water include; fishing, direct irrigation for small scale food

production, eco-tourism, improved sanitation and hygiene.

3. Potential impacts

The construction of the Dam will impact the lives of the PAPs variously. The negative

impacts include displacement from the catchment area of the proposed Dam, waste

management, loss of productive land, historical and cultural sites like the shrine at the

confluence of Thwake and Athi Rivers and increased local population. It will also lead to

loss of wildlife habitat, indigenous flora and fauna. Other losses include; erosion of

the top soil. There will also be pollutions of soil, dust and water due to oil spills from

heavy machinery. The quality of water downstream will deteriorate. The positive impacts

will include; water supply, irrigation, hydro-power, increased employment

opportunities, increased economic activities, possible eco-tourism and general

development of the area including improved infrastructure.

4. RAP Objective

The main purpose of this Resettlement Action Plan (RAP) was to identify the adverse social

impacts caused by the construction and realization of the Thwake Multi-Purpose Dam and

subsequently suggest the mitigation measures and procedures to be followed. The assessment

was undertaken within the proposed Dam design construction area which is about 2,900

Hectares. The RAP also sought to achieve the objective of quantifying and valuing the

impacts on the project affected persons (PAPs) and properties in order to propose measures

that compensate for such adverse impacts. This RAP covers the entire Dam construction area

of 2,900 Hectares for the proposed Thwake Multi-Purpose Dam in the administrative districts

of Makueni, Kathonzweni, Mbooni East and lower Yatta.

5. Legal Framework

A RAP legal framework describes all laws, decrees, policies and regulations relevant to the

resettlement activities associated with a project. The Kenyan constitution and law has legal

and institutional framework legislation and policies governing land expropriation and

compensation for affected assets. The specific Kenyan law statutes that handle matters of

land and valuation of assets and which shall apply for this RAP land compensation are

Government Lands Act Cap 280, Land Titles Act Cap 282, Registration of Titles Act Cap

281, Land (Group Representatives) Act Cap 287, Trust Land Act Cap 291, Land Acquisition

Act Cap, 295 Registered Land Act Cap 300, water act, Land control Act 302, Agriculture Act

318, Rating Act Cap 657 and the Valuers Act cap 532. These laws and regulations shall

apply in the resettlement, replacement and compensation and are fully elaborated in the main

RAP report.

6. Eligibility Criteria and Entitlement

The Kenyan law will guide the Resettlement framework and plan and will be complemented

by the eligibility criteria contained in the AFDB Involuntary Resettlement Policy (2003) and

the; OP 4.12 of the World Bank’s operational manual. Accordingly, compensation for lost

assets and replacement costs will be made for both titled and untitled land holders and

property owners. In this project the absence of formal titles will not be a barrier to

compensation, resettlement assistance and rehabilitation. All PAPs and organizations losing

land, buildings/houses, crops or sources of income will be compensated or rehabilitated

according to the types and amount of their losses (permanent or temporary) at replacement

cost. All PAPS, legal and illegal, are taken into consideration and accounted for. Also due

compensation will be paid for public utilities and community structures.

Compensation, both small and large amounts, will be paid either in cash or by cheque,

following the agreement with the individual PAPs. Disbursements will be guided by the

project proponent in liaison with the parent ministry or its appointed agent and will take place

in the presence of the compensation committee, county government machineries,

administration as well as the spouse or spouses of the individual PAPs. The cut-off date for

compensation eligibility has been set at 31 December, 2012. A careful count and

identification of the existing properties and affected persons has been conducted together

with local officials and will be re-verified prior to the compensation. The compensation

principles for the various affected population groups are given in the following entitlement

matrix:

Entitlement Matrix

Type of loss

Application Definition of entitled

person

Compensation

policy

Implementation

issues

Permanent loss of

arable land

Arable land located along

the project site

Farmers who have usufruct right

to cultivate the land & physical

present in the project area

-Land for land replacement -If

land is not available in close

proximity provide full

compensation

-Identify arable land close to the

affected community

-List down affected and entitled

households

-Compensate for lost crop as per

the law

Temporary loss of

arable land

Arable land located along

the project site

Farmers who have the right to

cultivate the land

-Provide full compensation

-List down affected and entitled

households

-Rehabilitate land used

temporarily at the end of the

construction period

- Compensate for crop loss from

the temporarily occupied land

Loss of residential

area /house/

Housing structures

located in the site

A person who owns housing

infrastructure

-A person with no formal legal

rights or claim structures

-Full compensation payment to

cover the loss of housing

structure without taking into

consideration depreciation

-Relocate housing structure to a

site which is acceptable to

PAPs

-A list of available structure in

each affected community

-Compensations provided

-If agreement has been reached

on mode of compensation

settlement, provide evidence.

Loss of Rented

Houses

Housing structures

located in the project area

Tenants who have rented houses

in the project area from individual

landlords.

Comparable or better dwelling

house in the project area for

renters (tenants) at same rental

costs and displacement

compensation equivalent to the

-Tenants (renters) will be

compensated inconvenience and

compensation will be paid to them

Loss of commercial

and business

activities

Loss of commercial and

business activities

Owner of the commercial and

business activities who over

operates the business at the site of

the project area

-Full compensation payment to

the owner -Relocate business

or commercial activity to site

acceptable to the affected

persons

-A list of available commercial

institutions in each affected

community

-Compensation provided

-If agreement has been reached on

mode of compensation settlement,

provide evidence

Loss of trees Trees and other plant

species located on the

land for the structure for

the project area, and the

project easement areas

Land owner, concession holder,

squatters, communities who

utilize the land where trees and

other plant species are located

Full compensation payment

based on

type, age and diameter of trees

-Provide equivalent land

nearby for replanting

-Make inventory of trees

-Determine individual need or

compensation volumes

-An assessment for maintaining

that kind of vegetation

-If agreement has been reached

on mode of compensation

settlement, provide evidence

Loss of livelihood for

Vulnerable

households

For loss of farmland,

trees, houses (own or

rented)

Vulnerable households who lose

live farmland and houses

-FHH will be given special

attention and support for the same

benefits as their male counterparts

-Give special support and

assistance

- TAWSB will be responsible

to construct new houses for

vulnerable households and

provide all the other services to

the vulnerable households

- The special support to FHH is

because they lack resources,

educational qualifications, skills,

or work experience compared to

men.

Loss of land or house

Source of income &

livelihood

-PAPs without formal rights for

land (squatters & encroachers)

Provide equivalent land

They may not have other sources

of income or livelihood

Loss of land

Loss of income and

traditional rights

Those persons who do not

physically reside in the project

area but have traditional rights to

the land

Provide equivalent land

Income could be reduced due to

the loss of land

7. Institutions for RAP Implementation

The overall responsibility for the RAP implementation is vested with the Tanathi Water

Services Board through the PAP steering committee. It will be constituted by the following:

National Environmental Management Authority (NEMA) officer

Tanathi Water Services Board (Project Implementation Unit)

Two Project affected people Representatives from each sub-location – to be appointed

by PAPs

Local council representative

Government Valuer

Local area chiefs and sub chiefs

District Land Adjudication and Settlement Officer

District Social Development Officer

RAP Committees will be established in the affected project area at county, district, location,

sub-location and village levels to oversee and guide the day-to-day operations of the RAP.

Tanathi Water Services Board in collaboration with the Makueni county and central

government administration will establish the RAP Committees. The RAP committees will

comprise a representative from provincial administration, 2 representatives from PAPs each

of either gender, a community leader of the PAPs choice and the project proponent agent or

it’s designate. Relocation and compensation will be the major responsibility of the RAP

Committees. To this end, the RAP Committees will prepare a practical relocation and

compensation schedule at the time. Funds for payment of the compensation will be made

available by the proponent. The RAP implementation Committees will prepare monthly and

quarterly progress reports to be delivered to the proponent, other stakeholders, partnering

bodies and government bodies as need be.

8. Implementation Schedule

The prime objective of the RAP is to ensure that compensation for houses and other

properties will be disbursed in time to enable the affected households construct habitable

dwelling houses before demolition commences. A minimum of 1 months and a maximum of

3 months will be available. PAPs indicated that a new house can be built within 1-3 months if

all the materials have been assembled. The RAP Implementation Schedule has made

provision for a series of activities before the Dam construction commences to ensure

adequate PAP participation and consultations are carried out, namely:

Land acquisition for relocation

Compensation to PAP’s

Construction of new houses

Income restoration measures

The Gantt chart below elaborates the water Dam construction for implementing the RAP.

Activities

2013 2014 2015

Quarter Quarter

Quarter

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

i. Disclosure of RAP

ii. Re-evaluation of assets and

properties

iii. Re activating all the

Committees established

iv. Property valuation committee

reviews

v. Property valuation committee

reviews impacts and costs

vi. The Resettlement /

Implementation committee

conducts education and

awareness creation about RAP

procedures and compensation

payment

vii. PIU carry out Stakeholder

Consultation on the

implementation of the RAP

viii. Compensation payment made

for all affected properties and

assets

ix. Skill training identified &

organized for PAPs that

require skill training

x. Grievance redress committee

addresses complaints and

grievances raised by PAPs and

ensures that appropriates

measures are taken

xi. Monitoring and Evaluation

xii. Preparation of completion

report by all committees and

PIU

9. Grievance Redress Mechanism/ Complaint and Dispute Management Process

It is anticipated that in an operation of this size and scope, there will be emergence of

conflicts and disputes. These will be handled by the RAP team and the PAPs amicably. In

order to prevent or, resolve conflicts amicably, a conflict resolution committees will be

formed at each PAP administrative location consisting of the sub-chief, two PAPs (man and

woman), a community leader of their choice and an agent of the proponent. An overall

arbitration committee will also be set up and used to manage complaints and disputes that

will not have been resolved at the local conflict resolution committee level. The committee

will comprise two representatives from TAWSB, Government offices, the PIU and two

representatives of PAPs. The representation of PAPs in the committees helps to build

confidence in the system.

The Committee will work during the resettlement period and meet as necessary when

convened by its Chair. In the event that the disputes or conflict cannot be resolved at the two

committee’s levels in 30 days, they could proceed to the courts. The following table shows

the standard grievance complains procedure to be used;

PAP AND RAP-C DON’T AGREE: REPORT TO LOCAL DISPUTES COMMITTEE

LOCAL COMMITTEE ATTEMPT TO SORT OUT THE DISAGREEMENT

THE PAP AND RAP-C DON’T AGREE: DISPUTE IS FORWARDED TO

ARBITRAL TRIBUNAL COMMITTEE

THE ARBITRAL TRIBUNAL COMMITTEE HEARS

DISPUTE

DECISION

PAP’S

DECISION

PAP’S

DECISION

NEGOTIATION BETWEEN THE AGGRIEVED PAP AND THE RAP-C

PAP EXPRESS RESERVATION ON COMPENSATION TO RAP-C

PAP’S

DECISION

PAPs EVALUATE

COMPENSATION

RAP-TEAM PRESENTS

COMPENSATION PACKAGE TO

PAPS

AGREEMENT REACHED

THE PAP ACCEPTS THE PACKAGE

WRITTEN CONFIRMATION & SIGNNITAURE

THE PAP RECEIVES

COMPENSATION

DECISION NOT ACCEPTED BY THE

PAP

THE PAP TAKES THE CASE TO THE

COURT

Project Affected Persons (PAPs) grievance resolution channel

10. Public Consultations and Community Participation

The public was consulted throughout the RAP process in different ways: a local proximity

approach which consisted of meeting PAPs individually and publically at home and public

areas respectively. The public consultation meetings were held between the months of March

and August 2012. During these meetings, the Consultant carrying out the RAP on behalf of

Tanathi discussed the project details and the compensation options available: (i) the option of

full compensation consisting in cash payment of the value of buildings, of the land and of

production, in the case of crops; (ii) the option of compensation consisting of partial payment

in cash of the value of buildings and partially in kind by finding replacement land for the

PAP; and (iii) the option of compensation in kind consisting of finding replacement land for

the PAP and providing aid for the reconstruction of their houses (iv) It was specified that the

entire RAP process, including the resettlement options is based on negotiations with the

PAPs.

The definition of “fully affected and partially affected” households (HHs) was agreed upon

before the commencement of the survey in order to clearly distinguish the impact on people

by the Dam inundation area, the general buffer and Dam support affected zone. The

definition was applied during the survey and during discussion with PAPs and other

stakeholders as follows:

Fully Affected: In this case almost all the plot area is taken and the PAP cannot re-establish

herself/himself in the remaining compound area, since the former use and practice of the

houses is no longer possible. These households will receive full compensation to rebuild new

houses, compensation value (inconvenience cost) and compensation for income restoration

during construction and transfer for loss of business.

Partially Affected: Partially affected households are those who live in land which they don’t

own but have could lose their buildings and other livelihoods and will be compensated for

their losses. These include adult sons and daughters who have partially inherited land from

their fathers.

The discussions confirmed that the residents were willing to vacate the proposed project site

which will serve the public-interest project of the community. All concerns expressed

regarding the eligibility criteria, the works implementation period and deadline for vacating

the proposed project site, the scale and amount of compensation, the loss of documents

proving ownership of assets and identity cards as well as the issue of land ownership were

clarified. It was made clear that all persons living within the project site or with an asset or

source of income in the proposed project site were entitled to compensation. It was, however,

noted that compensation would depend on the losses suffered and the type of property

affected.

Finally, discussions on conflict and dispute handling mechanisms for handling

misunderstandings, complaints and disputes were done. RAP conflict resolution committees

were suggested and agreed upon as responsible for managing possible disputes. If the

conflicts were not solved at the two suggested committee levels, they could be resolved in

accordance with the Kenyan courts of law.

11. Persons Affected by the Project

The field survey showed that 1067 owners of properties will be affected by the Dam project.

The total family members of the project affected households are 5,736. Names of the heads of

households and institutions identified during the field survey have been documented.

12. Social –economic profile of the affected households

A total population of 5,736 people in 1067 households will be directly affected by the

activities. 60% of this population are male whereas 40% are female. The table below gives

the figures of the people to be affected in terms of their age. 95% of the people are

Christians across the denominations of African Inland church, Catholic and Protestant

denominations. The minor 5% spreads across traditional African beliefs.

Age group Total Male Female

Below 10 years 1220 523 697

11-20 years 1162 498 664

21-30 years 910 390 520

31-40 years 931 399 532

41-50 years 744 319 425

51-60 years 372 159 213

60 and above 397 170 227

Total 5736 2458 3278

The population is distributed in seven sub locations namely, Katithi, Mavindini, Kathongo,

Kathulumbi, Syotuvali, Syomunyu and Nzambia Sublocations. The Table below shows the

population Distribution.

Sub-Location Household Number of people

Mavindini 240 568

Syomunyu 107 751

Kathulumbi 107 426

Kathongo 84 356

Nzambia 65 714

Katithi 170 894

Syotuvali 294 1567

Total 1067 5276

The project area is occupied by the Akamba who have elaborate cultural practices and speak

Kikamba, Kiswahili and English. Men have more access to information than women due to

the paternalistic nature of the Kamba culture. Affirmative action will be taken to ensure that

female headed households are taken care of as a vulnerable group.

13. Vulnerable Households

The socio-economic survey identified the physically challenged, women and elderly persons

as vulnerable PAPs. The elderly people are those (above the age of 60) and women who head

households. Additional support will be made in rebuilding their houses, transferring and

transporting their household items and materials to the newly relocated and constructed

homes. The vulnerable persons include 15 physically challenged, 20 female-headed and 40

elderly persons beyond the age of 60 years who are either physically frail or sickly. TAWSB

undertakes to ensure all vulnerable persons are given the necessary protection and receive

equitable access to replacement resources.

14. Valuation Methodology

A quantitative and qualitative description of all affected buildings and other properties were

prepared. The results obtained have been cross-checked with data from the socio-economic

survey to ensure that no resident household is omitted. The buildings affected have been

classified on the basis of their size and type of construction materials used. To estimate the

value of buildings, several elements of evaluation were used:

(i) The plans and sketches of building types;

(ii) Building technicians’ estimates;

(iii)The unit price of materials in the project area;

(iv) Inflation rate

A Financial compensation for buildings has been calculated at the replacement cost; a

scale which gives a price per m2 has been established on the basis of the following

criteria:

i) The type of construction materials used;

ii) The shape of the building;

iii) The use of the building; and

iv) The size of the infrastructure (length, diameter, etc.).

Regarding compensation for plot loss, persons eligible under Kenyan law are usually

holders of documents attesting to ownership rights (title deed) or usufruct (title deed

or allotment letters). However, under this project, households with immovable

property for use as dwellings in the unserviced (unallotted) area will receive

compensation. The parameters taken into account to assess the cost of the loss of land

relate mainly to the type of right held by the occupant or land tenure status (title deed

or allotment letters) and the price per m2 in the same sector.

Assessment and compensation for market gardening losses: the method for assessing

the losses of market gardeners along the canal takes into account a number of

technical factors, mainly: (i) the surface area in m2 or the number of market garden

strips; (ii) the type of crop; (iii) yield per m2; (iv) quantities produced; (v) the market

price of crops. Since crop prices fluctuate on the market, prices are calculated so as

not to prejudice the farmer.

Compensation regarding trees is financial and the scale used is that of the ministry of

agriculture and Kenya Forest Services. The amount of financial compensation

received by an owner depends on the species, number and circumference of trees

(age).

Compensation for cultural, religious and sacred sites: among the religious and cultural

sites affected was a church in the allotted area. This church served both PAPs and the

communities in the project area. The displaced persons will be allocated land for the

reconstruction of their place of worship on the resettlement site. This amount will be

paid to the church community of the neighbourhood, to build a new place of worship

for the population that will remain in the location.

Compensation and assistance for the relocation of households: emotional distress and

enable households to meet their subsistence expenses during the displacement and

resettlement period

15. Monitoring and Evaluation

In carrying out the monitoring and evaluation of the Dam, the RAP Monitoring

Committee will be assisted by an independent entity, i.e. consultant/technical assistance.

At the initial stage, the independent Consultant will determine the performance indicators

to be selected in order to effectively assess the progress and outcomes of activities. Once

the indicators have been prepared and validated with the TAWSB and AFDB, it will be

possible to identify the data sources.

Thus, for each indicator proposed, the specific data source will be specified. In some

cases, the data will be provided by RAP implementing committee and the PAPs in the

project site. The consultant will also define the frequency of analysis for each indicator

selected. In some cases, continuous monitoring will be carried out while in other cases it

will be monthly or annually.

The proposed monitoring will get data from both genders (men/women) as may be

required. The same indicator could therefore be split in two in order to monitor the

progress of activities from two separate standpoints, male and female. The evaluation

component of the Resettlement Action Plan seeks to ensure that the PAP living standards

are higher than, or at least equal to pre-project living standards. It will, therefore, be

necessary to:

(i) Establish and interpret the baseline situation of the affected people prior to project

start-up (the baseline situation under the terms of preparation of the PAR is

calculated on the basis of the census and household surveys);

(ii) Regularly define all or part of the above parameters in order to assess and understand

the trends;

(iii) On project completion, establish a new baseline to assess the socio-economic impacts

of the RAP.

Monitoring/evaluation content and indicators: more specifically monitoring/evaluation shall

ensure that:

Pre-determined allowances/compensation have been provided;

Resettlement is progressing as agreed;

Appropriate care is provided for vulnerable groups;

All complaints are effectively considered and the decisions known;

The established schedule for PAR implementation is complied with; and

Resettlement does not create any negative impacts, or such impacts are mitigated. It

will also be necessary to ensure that PAPs are properly settled in their host

communities and that their living standards have not declined.

16. Total project cost

The total cost for this RAP is estimated at Ksh 2,261,382,500. This will cover the entire cost

of the RAP including compensation for loss of land, structures, income, trees and crops.

Item Quantity Unit Cost

(Kshs.)

Total Cost

(Kshs.)

1 Land 13,738 50,000 686,900,000

2 Shops/kiosks/stalls 15 200,000 3,000,000

3 Household description

Permanent houses 149 1,000,000 149,000,000

Semi-permanent houses 941 500,000 470,500,000

Temporal houses 758 100,000 75,800,000

4 Trees

Fruit trees 11,492 10,000 114,920,000

Indigenous & Exotic 5472 7,000 38,304,000

5 Livestock relocation cost 22,200 2000 44,400,000

6 Compensation for other Structures 37,301,000

7 Graves 550 200,000 110,000,000

8 Institutions

School

1 5,000,000

5,000,000

Church 1 2,000,000 2,000,000

Hand dug wells 20 20,000 400,000

Monitoring and evaluation 2,000,000

Total 1,739,525,000

9 Administration cost 5% 86,976,250

10 Miscellaneous 10% 173,952,500

11 15% disturbance, injurious affection and severance 260,928,750

Total compensation cost 2,261,382,500

17. Disclosure of Information to Project Affected People

As described above, project affected people were informed individually and collectively.

They were again informed at the time of the census when their agreement on the data

culminated in their signing of the survey forms. It is important to note that the information

process will continue throughout the project’s implementation and until the PAPs are fully

integrated into the host communities. Under the responsibility of the RAP Monitoring Committee,

an information process will also be conducted by the TAWSB. Community liaisons (elected

representatives of the sectors concerned, religious and customary communities, residents’

associations, PAP representatives) will be identified to pass on information. Periodic meetings will be

held with the latter.