RESETTLEMENT FRAMEWORK Report and Recommendation …

RESETTLEMENT FRAMEWORK

Supplementary Appendix to the Report and Recommendation of the President

to the Board of Directors

on the

DEVELOPMENT OF POOR URBAN COMMUNITIES SECTOR PROJECT

in the

PHILIPPINES

Department of Finance/Development Bank of the Philippines/ Housing and Urban Development Coordinating Council

December 2003

This report was prepared by the Borrower and is not an ADB document.

SUMMARY AND ANALYSIS OF SUBPROJECT COMMUNITY ACTION PLANS

Case 1. Purok Riverside, Bacolod City Case 2. Pulungbulu, Angeles City Case 3. Sapalibutad, Angeles City Case 4. Malabanias, Angeles City Case 5. Marisol BLISS, Angeles City

1 Introduction

DPUCSP aims to address the issue of urban poverty by helping urban poverty by helping urban poor communities obtain more secure land tenure, better living conditions, greater access to basic services and improved economic capacity. It also seeks to help augment the limited resources of the local government units (LGUs) in the delivery of basic services and community structures in line with their respective mandates. The project is anchored on a participatory and community-driven development approach wherein interventions in the community (sub-projects) are conceptualized, planned and implemented by the urban poor themselves in partnership with their local government unit. These agreed plans are to be embodied in a Community Action Plan (CAP). Bank policy requires that for Sector Loans such as this, a resettlement plan has to be prepared in at least one subproject. However, in order to better reflect the complexities that may be encountered in the implementation of the Sector Loan, five communities with varying interests and circumstances were assisted in the preparation of CAP during the PPTA. Each CAP reflects the condition of the beneficiary households, their plans, potential project impacts and measures to be made in relation to these impacts based on Bank policies on resettlement. The PPTA field-tested a community driven development approach in the preparation of subprojects. It proceeded by starting with what the communities have reached so far in terms of negotiating and planning for acquiring land tenure and in improving their social and economic situation. External assistance was provided through a local resettlement specialist who was mobilized to assess the situation of each specific community and facilitate/document the community action planning process and identify potential stumbling blocks to the preparation of CAP. The consultant attempted to facilitate the planning process by conducting community meetings where the background, objectives and scope of the DPUCSP, as well as, the Bank policies on involuntary resettlement were explained. He facilitated mini-planning sessions with the officers of the community associations, guided the conduct of the socio-economic benchmark study in one-site, processed and analyzed available socio-economic data of the beneficiary households and discussed with both the community and LGU representatives the issues and hurdles related to the community action planning process. The assistance culminated with the preparation of a Community Action Plan in close partnership with the LGU and the community association. However, it should be noted that the process initiated through the PPTA has not fully matured and would need further inputs from an external development facilitation agency (NGOs). It is hoped that information on these cases can be used in the appraisal of the Project as a whole and help in developing mechanisms/strategies in the implementation of specific subprojects. The CAPs presented with varying levels of “completion: can be used as starting point for further participatory planning.

2 Presentation and Analysis of Cases

Case 1: Riverside Community Upgrading Site Purok Riverside, Brgy. Banago, Bacolod City

Purok Riverside was proposed by the Bacolod Housing Authority (BHA) as replacement to the Esperanza Subproject. Purok Riverside is situated in Barangay Banago with an area of 49,882 square meters or 4.99 hectares. This is located approximately within 3.75 kms. radius from the city proper. The site was actually donated by a certain Mr. Manuel Lacson to the city government as per Memorandum of Agreement dated 25 October 1994. The land is bounded by the Sta. Clara Subdivision along the North, South and West portion and provided with a concrete perimeter fence as party wall; and along the Eastern portion by the Banago creek. Based on the tagging activity conducted in 1998, a total of 473 households are currently living within the site. The proposed on-site subproject that hopes to address urban poverty by:

• Providing more secured land tenure to the beneficiary households through

the issuance of individual lot titles • Improving the elevation and stability of the area through in-filling • Improving access and circulation within the subproject site by upgrading the

road network and path walks • Providing access to cheap but safe drinking water through distribution lines

connected with the Bacolod Water District • Strengthening the economic capacity of the beneficiary households through

the provision of micro-finance support for enterprise development, job-referral/matching service and training

• Improving living conditions through the provision of loans for house improvement/housing loan

• Developing community solidarity and empowerment through capability building and organizing

The Unity for Progress Riverside Homeowners Association (UPRHA), Inc., formerly known as Purok Higad Sugba Urban Poor Homeowners Association (PHSUPHA) is registered under the Home Insurance and Guaranty Corporation under Registration No. 06-1039 on March 18, 1998. UPRHA has an initial membership of 344 households as of May 19, 1999. Each member has to give a membership fee in the amount of P100.00. Since its creation, the membership due has not yet been increased so far.

A socio-economic and perception survey was undertaken in March 2003 simultaneous with focused group discussions and consultation meetings with target beneficiaries and various stakeholders.

Next Immediate Steps The target beneficiaries together with the Bacolod Housing Authority are currently preparing their CAP to be submitted to DPUCSP. Alongside, with this is the negotiation with the City Government of Angeles with the landowner to purchase a portion of the land for access road of the community. Remaining outputs needed for screening and appraisal To qualify and pass the screening criteria set for the selection of subprojects, the following needs to be accomplished in Purok Riverside:

• A clearance from DENR-VI on the suitability of the project site for socialized housing

For mid-term appraisal, the following developments/outputs should have been achieved in order to qualify to proceed: • A title (OCT) for project site • An approved subdivision plan • A re-blocking plan agreed upon by the beneficiary households • A detailed assessment of the resettlement impacts based on the approved

subdivision plan with a re-evaluation of the losses and affected households • A resettlement/compensation/mitigation/restoration plan for affected

households and structures that is agreed upon by these households • A City Council resolution specifying its commitment to support the cost of

the relocation/compensation/restoration plan and indicating the availability of funds for these purposes

• Documented agreement between the LGU and the association or individual household beneficiaries on pricing and terms of payment for the transfer of title of specific home lots.

• Signed document indicating the agreement of the community on the proposed interventions/components of the community action plan

• Barangay Council and City Council Resolution indicating support to the proposed community action plan prepared by the community association

• Environmental Clearance Certificate (ECC) from the DENR-VI for the proposed developments in the project site

• Authority-to-dispose-property issued by both the City Council and the Commission on Audit

• A community association duly registered with the HUDCC and with an operational structure and active leadership

Case 2: Pulungbulu New Site Development Brgy. Pulungbulu, Angeles City

The project site is a 0.632-hectare idle agricultural land purchased by the City Government of Angeles and the Tinig ng Pagkakaisa ng Pulungbulu from Mr. Jesus

Zabala at a price of P1,263,400. Forty percent of the purchase price has been paid by the beneficiary households as early as 1995. The City Government paid the remaining 60% to the owner upon their receipt of the TCT. This amount will be paid back by the individual households to the City Government based on a mutually agreed term. The land title is still under the name of Mr. Zabala, although a Deed of Sale has already been issued in favor of the City Government. LUPAHO facilitated the conversion of the project site from agricultural to residential. The conversion was issued during the last quarter of 2003. The proposed off-site development sub-project was prepared by and is expected to benefit some 67 urban poor households affiliated with the Tinig ng Pagkakaisa ng Pulungbulu. These households have been displaced by the eruption of Mt. Pinatubo and most (46 households) are presently encroaching into the property of Mr. Jesus Timbol. The sub-project has the following components

• Land acquisition and assistance for the issuance of individual lot titles • Site formation/filling • Road and drainage construction • Relocation of utilities (water and electricity) • Establishment of a construction-support project • Provision of housing loans • Organizational development assistance for the community association

A series of tri-partite discussions were held between the officers of TNP and the LGU in relation to the DPUCSP, which led to the preparation of a Community Action Plan (CAP) by the community and accepted by the LGU through the Local Urban Poor and Housing Office (LUPAHO). The movement of the households from their present location to the project site would result in certain losses for the households in terms of their house structures. A detailed inventory of the 46 affected structures was conducted by LUPAHO in partnership with TNP was conducted in October 2001. The inventory estimated the value of the affected structures at P568,448. Of these, it is estimated that P232,468 can no longer be salvaged and used in the new site. Total cost of resettlement assistance and compensation is estimated at P722,000.00 which the LGU agrees to shoulder. The LGU is committed to replace the affected structure at cost including labor in accordance with the ADB resettlement policy. In order to ensure that materials are actually replaced and avoid the risk of mis-spending by the household beneficiaries, the LGU will not provide cash compensation for the cost of the affected structure but give replacement materials that can be used for their new homes. Central to the plan is the establishment by the community association (through the support of the project) a construction-support project to enable the household beneficiaries obtain better access to cheaper construction materials, provide

livelihood to some members of the community association and help minimize the risk of mis-spending of the housing loan by the household beneficiaries. If successful, the association may later expand the construction-support project to other services (i.e. re-lending, trading of basic commodities) that would benefit its members. There are certain aspects that were addressed for the subproject to progress. First is the conversion of the approved land use that would pave the way for the transferring of title and approval of the subdivision plan. Second was the full payment of the remaining 60% of the lot purchase price to Mr. Jesus Zabala by the City Government. In terms of resettlement planning, the LGU needs to prepare and make available the necessary funds for the compensation of affected households. Estimated cost of the project is P8.085 million. Of these, it is proposed that P4.154 (52%) will be accessed from the DPUCSP Project funds which will be paid back by the beneficiary households and community association on an installment basis within a period of three to five years. Next Immediate Step The LGU needs to prepare and make necessary funds for the compensation of affected households. Remaining Outputs needed for screening and appraisal With the conversion of the land from agricultural to residential, the Pulungbulu subproject passes the screening criteria set for the selection of subprojects. However, for the mid-term appraisal, the following outputs need to be accomplished in order for the subproject to qualify:

• A TCT of the project site under the name of the City Government of Angeles • An approved subdivision plan • A City Council Resolution specifying its commitment to support the cost of the

relocation/compensation/restoration plan and indicating the availability of funds for these purposes

• Documented agreement between the LGU and the individual household beneficiaries on pricing and terms of payment for the transfer of title of specific home lots


• Environmental Clearance Certificate (ECC) from DENR-III for the proposed developments in the project site


Case 3: Sapalibutad Upgrading Site Sapalibutad Resettlement Site, Angeles City Sapalibutad is a 2.0-hectare resettlement site purchased by the City Government of Angeles at a price of P1,000,000 for the victims of the Mt. Pinatubo eruption in 1991.

Formerly termed as the “tent city” (because relocatees to the site used to live in tents), Sapalibutad gradually transformed into a more stable community of 300 households. The proposed sub-project hopes to address urban poverty by:

• providing more secured land tenure to the beneficiary households through the issuance of individual lot titles

• improving access by concreting the remaining path walks and drainage canals

• raising living conditions through the provision of house improvement loans • improving access to basic health and social services through the construction

of a day care center and health center • strengthening livelihood through the establishment of a transport co-op and

re-lending service for micro-enterprise • developing community solidarity and empowerment through capability

building and organizing Discussions between the community association and the LGU on the awarding of titles for individual household beneficiaries have been going on for the past year. Although there was initial confusion on whether or not the lots will be given to the beneficiaries for free, it was gradually made clear that beneficiaries would have to pay back the City Government for the purchase of the lot at cost. A number of meetings were made with the officers and block leaders of the community association (Nagkakaisang Samahan ng Sapalibutad Resettlement) which led to the preparation of a preliminary draft of the Community Action Plan (CAP). Aside from the minor civil works that will be undertaken by the LGU in the community, the association would like to seek support for the rehabilitation of their degraded houses and for the provision of livelihood support to enable them to improve their capacity to pay for their respective home lots. Bulk of the proposed project fund support for the community plan is to for livelihood development (P850,000) and micro-finance for house improvements (P7,500,000) which will be both paid back by the residents/community based on terms to be established by the project. The City Government will shoulder the construction of additional path walks/drainage and community facilities estimated at P250,000. Community empowerment assistance is placed at P200,000 which the community hopes can be provided on a grant basis. Next Immediate Steps Work still needs to be done on the preparation and approval of the subdivision plan before the individual titles for the households can be processed. Specific agreements between the LGU and the beneficiary households are also yet to be achieved. Assessment of impacts based on the approved subdivision plan and other interventions is still to be made. However, the community anticipates that these impacts will be minor since the subdivision plan/re-blocking plan will try to maintain the existing configuration of the road network. Impacts are expected to be limited to

the removal of certain protruding structures by some households especially along path walks and canals.

The CAP so far prepared by the community is still in its initial form subject to further discussion to be facilitated by the block leaders and their respective household blocks. Moreover, the community association needs to work on its registration and strengthening. Further assistance is needed by the community to firm up its plans and the mechanisms for its implementation. Remaining Ourtputs needed for screening and appraisal Sapalibutad passes the screening criteria set for the selection of subprojects. However, for the mid-term appraisal, the following developments/outputs should have been achieved in order to qualify to proceed:

• An approved subdivision plan • A City Council Resolution specifying its commitment to support the cost of the




• Environmental Clearance Certificate (ECC) from DENR-III for the proposed developments in the project site


Case 4: Malabanias Upgrading Site Brgy. Malabanias, Angeles City The project site is a 3.107-hectare property situated along the banks of the Abacan River in Barangay Malabanias, Angeles City. It is among the sites initially identified by the PPTA as possible sub-project for the DPUCP. The site is included among the list of priority areas for urban upgrading in the City Government’s Shelter Plan. The community is composed of 253 households comprising the Abacan Malabanias Urban Poor Association. LUPAHO facilitated the land purchase negotiation with the owner (Mr. Deogracias Sanchez) and was able to convince him to sell individual home lots at a price of P300 per square meter if paid in installment and P200 per square meter if paid in cash. The owner likewise offered to donate to the City Government the open spaces for community facilities and road lots. The subdivision plan is now with the Land Registration Authority (LRA) for approval. Unitizing of titles will follow upon the approval of the subdivision plan. Contracts to sell have been signed between the owner and each of the beneficiary household. These contracts specify the purchase price of each lot and the terms of payment.

Most agreed to fully pay their lots within five years, although there are also some who chose to pay in 10 years or more. Monthly payments are collected by the community association (with assistance from LUPAHO) and deposited directly to the account of the landowner. Civil works for the project site are concentrated in the concreting of the internal road network and completion of the drainage system. Cost for these works has been properly evaluated and budgeted by the local government unit. Although the initial assessment under the PPTA included the provision of loans for house improvements, the community residents expressed hesitation to include this component in their plans at this time. Only after most of them have completed paying for their respective home lots will they be interested to spend for home improvements or house repairs. The main pre-occupation right now by the community residents is on how they can improve the paying capacity for the home lots. A rapid appraisal conducted by the association with their members showed that many would like to avail of a re-lending component for small-scale enterprises. A great number also would like to venture on a transport-cooperative that would provide support to tricycle-drivers/operators who are affiliated with the association. The plan revolves on the concept of “land tenure through economic empowerment.” The community association has already initiated more in-depth discussion with its members on the mechanics and approach for the re-lending program and the establishment of the transport cooperative. Total project cost is estimated at P11.742 million. Fund support requested from the project fund is limited to livelihood development (P1,000,000) and training/technical assistance (P200,000). The City Government will shoulder the concreting of the road and construction of drainage structures estimated at P4,644,000. The LGU will likewise shoulder the replacement of lost assets computed at P278,000.00. Community empowerment assistance is placed at P200,000 which the community hopes can be provided on a grant basis. Next immediate steps The community association needs to continue its planning/discussion on its proposed livelihood activities including the formation of a transport-support cooperative and the establishment of a re-lending program for its members in order to improve their chances of success. In addition, the association should include in their action plans households that will be affected by the developments in the community. A discussion on the possible inclusion of these households to become members of the association. Remaining outputs needed for screening and appraisal Malabanias passes the screening criteria set for the selection of subprojects. It has a registered and active community association. It has a clear set of agreements and methodology for addressing the land tenure issue and a clear plan and budget for improving community infrastructure. Impacts related to the development have also

been identified and valuated. The only remaining outputs needed to obtain favorable appraisal are:

• An approved subdivision plan • A City Council Resolution specifying its commitment to support the cost of the




Case 5: Marisol BLISS Upgrading Site Barangay Ninoy Aquino, Angeles City Marisol BLISS is a 3.171-hectare property situated in Barangay Ninoy Aquino, Angeles City. The property used to be owned by the Ministry of Human Settlements then transferred to the Presidential Management Staff and later transferred to the City Government of Angeles. Like Malabanias, Marisol BLISS is among the sites initially identified by the PPTA as possible sub-project for the DPUCP. It is among the list of priority areas for urban upgrading in the City Government’s Shelter Plan. The community is composed of 499 households comprising the BLISS Urban Poor Association. During the last 15 years, several attempts have been made by the residents to seek a more secured land tenure for their homes. Politicians have, in the past, always used the land tenure issue to obtain support from the residents, but no one was able to fulfill their promises. This situation has made land tenure as the dominant, if not the sole issue in the minds of the community residents at present. After the conduct of several consultations and dialogues between the LGU, through the LUPAHO, and the community, the subdivision plan and re-blocking plan was finalized by early 2001. Consensus has been reached also on the relocation and support for the affected households. Contracts to sell have been executed between the LGU and each of the household beneficiaries, which define the price of each home lot and the agreed terms of payment. The association has also set up a system for payment from each household beneficiaries. Once the authority-to-dispose is issued by the City Council and later by the Commission on Audit (COA), LUPAHO will begin collection of payments from each household beneficiaries. Civil works for the project site are concentrated in the clearing and concreting of a section of the project site for road development to improve access and internal circulation. Based on the initial survey conducted under the PPTA, the residents expressed the need for support for house improvements and micro-enterprise development.

However, the community association prefers to put on-hold subsequent discussions on these aspects until more concrete positive developments have been made on the issuance of individual land titles. The main concern right now by the community residents is whether or not the LGU would actually be able to provide individual land titles to the beneficiary households. The officers of the association believe that once the jitters by their members on the land title issue has gone down, they will be more prepared to plan for the other aspects that involve the improvement of their living conditions and social environment. The project cost is estimated at P5.498 million. At present, there is no clear indication whether or not the LGU will apply for funds support from the project to undertake certain components of the plan. The association is also yet to discuss whether or not they would need support for livelihood development from the project. Next immediate steps Discussions and planning on the other development needs of the community residents would depend on when the titling of the individual home lots can be accomplished. Only then will the community be ready to do further action planning. Once this is achieved, the association would need to convene its members to prepare a plan concerning other aspects of community development like livelihood, health, living condition, etc. Remaining outputs needed for screening and appraisal Like Malabanias, Marisol BLISS passes the screening criteria set for the selection of subprojects. It has a registered and active community association. It has a clear set of agreements and methodology for addressing the land tenure issue and a clear plan and budget for improving community infrastructure. Impacts related to the development have also been identified and valuated. In case the community association later decides to propose other interventions related to the development of their community, the following outputs are needed to obtain favorable appraisal:

• A City Council Resolution specifying its commitment to support the cost of the relocation/compensation/restoration plan and indicating the availability of funds for these purposes




Comparative Matrix of Candidate Pilot Sites for the DPUCSP

Purok Riverside, Bacolod City

Pulungbulu, Angeles City

Sapalibutad, Angeles City

Malabanias, Angeles City

Marisol BLISS, Angeles City

1. Background Information

1.1. Area of Proposed Site (in hectares) 4.99 0.632 2.00 3.107 3.171

1.2. Land Ownership LGU LGU LGU Private (Deogracias Sanchez

LGU

1.3. Proposed Development On-site Off-site On-site On-site On-ste

1.4. Present Use of Proposed Project Site Settlement Idle, vacant Settlement Settlement Settlement

1.5. Status of Land Title Named under LGU Deed of Sale between Landowner and LGU

issued. Land converted from agricultural to

residential

Named under LGU Named under the private owner Ms.

Deogracias Sanchez

LGU owned

1.6. Cost incurred by the LGU to purchase/own the land

Land donated to the LGU

Total Cost of land is P1,263,400.

Still named under former owner, although

a Deed of Sale has already been executed in favor of the City Govt

P1,000,000.00 No cost on the part of the LGU because the land will be sold

directly to the households by the

landowner

Not applicable (land formerly

owned by the PMS and was simply

transferred to the LGU

1.7. Average Gross Monthly Income of Target Beneficiaries

P9,961.00 (based on the household survey conducted year 2003)

P4,956 (based on the household survey

conducted year 2001)

P5,375 (based on the household survey

conducted year 2001)

P5,702 (based on the household

survey conducted year 2001)

P5,593 (based on the household

survey conducted year 2001)

1.8. Year when community association became active on the issue of land tenure/lot purchase

1999 1993 1999 1999 1997






2. Rating based on Screening Criteria for Subprojects

2.1. Status of the Project Site

2.1.a. In possession of the LGU for a minimum period of 2 years

Yes Yes Yes No Yes

2.1.b. Will portion of the project site be used as replacement lot for households affected by government projects?

No No No No No

2.1.c. Does the project site conform with the shelter plan?

Yes Yes Yes Yes Yes

2.1.d. Is the project site linked to a specific beneficiary community with a masterlist of all beneficiary households and persons?

Yes Yes Yes Yes Yes

2.1.e. Is the approved land use of the project site residential or socialized housing?

Will still need clearance from DENR-VI to

declare area suitable for socialized housing

Land declared as residential area

Yes Yes Yes

2.1.f. For off-site subprojects, is the proposed site within 15 km from the present location of the beneficiary community?

Not applicable Yes (within 1 kilometer) Not applicable Not applicable Not applicable

2.1.g. Is the project site situated within a declared protected area or an environmentally critical area?

No No No No No

2.1.h. For private lands, is there already a negotiated price between the land owner and the community association or individual

Not applicable Yes Not applicable Yes Not applicable






households?

2.1.i. Is the title of the project site free from any lien or encumbrance?

No lien or encumbrance Land already converted from agricultural to

residential

No lien or encumbrance No lien or encumbrance

No lien or encumbrance

2.2. Nature of Relocation into the project site

2.2.a. Is relocation to the project site brought about by displacement from any government development project?

No No No No No

2.2.b. Will non-interested households be allowed to stay within their current residences?

Yes (except for those within the road/drainage alignment or proposed

site of community facilities and those affected by the re-

blocking)

Yes (except for those within the road/drainage alignment or

proposed site of community facilities and those affected by the re-blocking)

Yes (except for those within the road/drainage alignment or

proposed site of community

facilities and those affected by the re-

blocking)

2.3. Size of the beneficiary community (Should at least be 50 hh or 250 persons but not more than 2,000 hh or 9,000 people)

473 households 66 households 300 hh 253 hh 499 hh

2.4. Status of the Community Association

2.4.a Is there an existing active community association that is recognized by the beneficiary households?

The Unity for Progress Riverside Homeowners Association (UPRHA)

Tinig ng Pagkakaisa ng Pulungbulu Association

Nagkakaisang Samahan ng Sapalibutad

Resettlement

Abacan Malabanias Urban Poor Association

BLISS Urban Poor Association

2.4.b. Is the community association registered with HIG, HUDCC or SEC?

Yes Yes Yes Yes Yes






2.4.c. Is the community association recognized/accredited by the LGU?

Yes Yes Yes Yes Yes

3. Rating based on the mid-term/final appraisal criteria

3.1. Does the project site have an approved subdivision plan?

None Yes Yes Yes Yes

3.2. Does the project site have a re-blocking plan fully supported by the beneficiary community?

Yes Yes Yes Yes Yes

3.3. Is there full documentation of anticipated impacts and agreed compensation/restoration activities?

None yet (CAP Preparation on-going)

Yes Yes Yes Yes

3.3.a. Potential impacts of proposed devt. None None None None None

3.3.a.1. Land acquisition for right-of- way Yes (1 owner for the access road)

None None None None

3.3.a.2. Partial/total loss of residential structures

To be determined (CAP preparation on-going)

Yes (46 hh) Estimated 12 houses Yes (40 hh) Yes (8 hh)

3.3.a.3. Estimated value of losses To be determined Total estimated value of affected structures is

P568,447.50 and total estimated value of

unsalvageable materials is P232,468.

P114,000 P231,000 P154,200

3.3.a.4. Potential loss or reduced access to plots used for non-residential purposes like vegetable growing, livestock raising and

To be determined To be determined






store/shop keeping

3.3.a.5. Estimated value of structures To be determined

3.4. Is there certification from the LGU of availability of funds to implement compensation/restoration/resettlement activities?

None yet Yes None Yet None Yet None Yet

3.5. Does the project site has an ECC or CNC? Does the project site have other required clearances/permits?

None yet None yet None yet None yet None yet

3.6. Is there an agreed pricing and payment arrangements for individual lots?

None yet Yes None yet Yes Yes

3.7. If owned by the LGU, does it have authority to dispose the project site?

None Yet Not applicable None yet None Yet None Yet

3.8. Are individual beneficiary households involved in the planning and consultation activities related to the preparation of the CAP?

Yes Yes Yes Yes Yes

3.9. Are the proposed interventions/components of the CAP clear and technically viable?

To be determined To be determined To be determined To be determined To be determined

3.9.b. Components of the proposed community plan

3.9b.1. Individual lot purchase/titling

3.9.1.1. agreed price of home lot per square meter

None yet P200/sq. meter None Yet P200/square meter P100/sq.m.

3.9b.1.2. Terms of payment None Yet 40% of price has been None yet Cash, within 6 Cash, others from






paid by the households. The 60% was

shouldered by the LGU

years, others beyond 6 years

10 years to 15 years

3.9b.1.3 Individual titles issued None Yet None Yet None Yet None Yet None Yet

Supplementary Appendix L, Page 1

COMMUNITY DEVELOPMENT/ RESETTLEMENT POLICY FRAMEWORK AND GENDER STRATEGY


PART A: COMMUNITY DEVELOPMENT/ RESETTLEMENT POLICY FRAMEWORK AND PROCEDURAL GUIDELINES


COMMUNITY DEVELOPMENT/ RESETTLEMENT POLICY FRAMEWORK AND PROCEDURAL GUIDELINES

1. Introduction

The Development of Poor Urban Communities Sector Project (DPUCSP) was conceptualized as an urban poverty reduction program. Its ultimate goal is to make a direct and significant contribution to the overall improvement of income levels and quality of life of the urban poor. The objectives of the Project are (a) to improve access of poor households in urban centers outside Metro Manila to secure land tenure, affordable shelter, basic municipal infrastructure, services and community facilities; and (b) to assist in the decentralization of shelter sector activities by strengthening the role and capacity of LGUs to meet their responsibilities in the sector as set out in the Local Government Code (LGC).

The Project will support specific interventions identified and proposed by selected

communities, in partnership with the LGUs or private sector groups working in association with LGUs, to speed up the supply of affordable land, housing, infrastructure and basic services required to meet the growing demands of the urban poor. The immediate objective of the Project is to improve access by poor families to serviced land, shelter and social services, thereby not only improving their quality of life, but also providing them with security of tenure and a marketable asset that will guarantee them some measure of economic security. Complementary to this is a community empowerment component aimed at strengthening existing community structures and improving the economic plight of specifically targeted urban poor communities. Loans will also be made available for various aspects of shelter provision to qualified individuals, families or community groups.

The site development and distribution of secure tenure component of the Project may

involve land preparation and rearrangements or re-blocking of existing structures in the target sites. Activities that concern the exercise of eminent domain and those that would lead to the complete or severe losses of dwelling units and sources of livelihood as a result of the planned site development fall within the category of involuntary resettlement. Impacts related to right-of-way acquisition or expansion of existing access roads leading to the project site fall within the Bank’s policies and guidelines on involuntary resettlement.

The Project offers an open menu of possible financing support to various interventions in

the communities to tailor fit their specific situation, limitations, needs, and aspirations. Following are aspects of community development that the LGUs, private sector proponents, and the communities may request financing from the Project:

• Survey works, titling • Site improvement (filling roads, riprap construction/flood protection, drainage, path

walks) • Water supply system • Community facilities (health center, day care center, mini-market, terminal) • Housing improvement loans • Serviced plot housing loan • New house construction loan • Microenterprise loan • Community livelihood plans • Capability building or community empowerment


The guidelines discussed in this paper revolve around basic principles and processes in

the screening, preparation, appraisal, and implementation of the Subproject Community Action Plan (CAP), which will be the critical first step to any community’s participation in and participatory planning for DPUCSP. These guidelines aim to assist communities, LGUs, and national agencies in adopting a community-driven approach to poverty reduction. 2. Definition of Terms Beneficiary Community – All persons and households situated within the government-owned or acquired property that voluntarily seek to avail of and be part of the Project and represented by a community association that is duly recognized by the community residents and accredited by the concerned LGU. Community Action Plan (CAP) – An integrated set of activities prepared by the beneficiary community that includes a site development plan (including road network alignment, drainage system, water supply, sewerage and electricity), sanitation and waste management plan, livelihood development plan, documentation of the planning process, master list and profile of the target beneficiaries, grievance mechanisms, policies on new entrants, institutional relationships and organizational responsibilities, prevailing issues, proposed budget and implementation schedule. Compensation - payment in cash or in kind for the replacement cost of the acquired assets. Entitlement – range of measures comprising compensation, income restoration, transfer assistance, income substitution and relocation which are due to the affected people, depending on the nature of their losses, to restore them to their economic and social bases. Host population – community residing near the area where the project beneficiaries propose to voluntarily resettle as part of the Project. Improvements – structures constructed (dwelling unit, fence, waiting sheds, pig pens, utilities, community facilities, stores, warehouses, etc.) and crops or plants planted by the person, household, institution, or organization. Land Acquisition – the process whereby a person is compelled by a government agency to alienate all or part of the land a person owns or possesses, to the ownership and possession of the government agency, for public purpose in return for a consideration. Project Affected Person/People (PAP): Type 1 PAP (non-project beneficiaries) – any person or persons who are not direct beneficiaries of the planned site development who, on account of the execution of a subproject or any of its components would have their:

(i) right, title or interest in any house, land (including residential, agricultural and grazing land) or any other fixed or moveable asset acquired or possessed, in full or in part, permanently or temporarily; or

(ii) business, occupation, work, place of residence or habitat adversely affected; or (iii) standard of living adversely affected.


Type 2 PAP (site development beneficiaries) – any person or persons who are among the direct beneficiaries of the planned site development who, on account of the execution of the duly prepared and endorsed site development plan would have their dwelling unit completely or severely damaged thereby adversely affecting their shelter needs or whose sources of livelihood will be hampered. Project Affected Household (PAH) – all members of a households residing under one roof and operating as a single economic unit, who are adversely affected by the Project, or any of its components. It may consist of a single nuclear family or an extended family group. Rehabilitation – compensatory measures provided under the Policy Framework on involuntary resettlement other than payment of the replacement cost of acquired assets. Relocation – the physical relocation of PAP from her or his pre-Project place of residence. Replacement Cost – the value determined to be fair compensation for land based on its productive potential, the replacement cost of houses and structures (current fair market price of building materials and labor without depreciation or deductions for salvaged building material), and the market value of residential land, crops, trees and other commodities. Resettlement – all measures taken to mitigate any and all adverse impacts of the Project on the PAP’s property and/or livelihood, including compensation, relocation (where relevant) and rehabilitation. 3. Policy Framework This document describes the policy framework for subproject CAP screening, preparation, appraisal, and implementation. It includes guidelines on prerequisites and processes to ensure that involuntary resettlement is avoided or minimized, as well as, maximize the participation of the poor urban communities in site development planning and implementation. It also includes guidelines on activities related to the government’s exercise of eminent domain, complete/severe losses of structures within the project site and involuntary losses of assets among non-project and project beneficiaries, when the ADB policies on involuntary resettlement apply. For these types of impacts, the policy framework provides principles and instructions to compensate persons, families, organizations negatively affected by the project to ensure that standards, income, earnings and/or production capacity to pre-project levels. The Policy Framework is based on the ADB Guidelines on Involuntary Resettlement (as contained in the ADB Handbook on Resettlement) and the following GOP Policies:

(a) Executive Order 1035. “Procedures and Guidelines for the Expeditious Acquisition by the Government of Private Real Properties or Rights thereon for Infrastructure and other Government Development Projects.” June 1985

(b) Republic Act 8974. “An Act to Facilitate the Acquisition of Right of Way, Site or Location for National Government Infrastructure Projects and for Other Purposes”

(c) Republic Act 7279. “Urban Development and Housing Act of 1992” (d) Republic Act 7160. “Local Government Code of 1991”


4. Overall Project Strategy

4.1 Key Elements

The Project is anchored on a participatory and community-driven development approach where interventions in the community are conceptualized, planned and implement by the urban poor themselves in partnership with the LGU and guided by sound urban planning, environmental and social principles. The appraisal of subprojects/CAPs depend on the “state-of-readiness” of the specific beneficiary community and their local governments in facilitating the acquisition of land tenure for the residents and undertaking the development of the community. It requires that certain agreements have already been reached and general courses of actions have been identified in order for the community to “graduate” and proceed to the next level of project implementation. Communities that are unable to overcome the various “hurdles” and arrive at relevant and binding community-decisions within the given time frame of six months will not be endorsed/cleared for Project participation. This approach makes the Project flexible, sensitive and appropriate to the local situations and capacities of communities and local governments. It also puts greater responsibility on the residents themselves in pushing for the development of their community thereby creating a greater “sense of ownership”. Another basic element of the project strategy is the provision of external agents (i.e., NGOs with expertise in community development planning and housing issues) to serve as planning facilitators for the community. Oftentimes, an external agent is necessary to guide the community to unify their development vision and facilitate the identification and resolution of issues pertaining to land acquisition, leadership, community management, re-blocking, identification and action on project non-eligible, community infrastructure development, action on losses, housing, livelihood development, loan administration, controls and payments. The same external agent would help identify appropriate areas of interventions for community empowerment and capability building. The agent will also facilitate the conduct of health dialogues between the LGU and the community during various aspects of the community planning. The Project initiated this approach through the use of a local consultant who acted as an external facilitator of the community planning process in five case communities pending the identification of an NGO-conduit for the project, if deemed necessary. Through the PPTA, draft CAPs are being prepared for each of the nine identified pilot communities, each draft CAP reflecting the various stages reached by the communities in the planning process. This process will need to be continued by an NGO-partner or other groups acceptable to the target communities, including those in the pipeline, with technical assistance from Part C of the Project.

4.2 Compliance with the Bank’s Resettlement Policy The subproject/CAP preparation as described in this policy guidelines comply with the ADB policy governing involuntary resettlement. Although the CAP presents a unique approach in project development preparation considering that the communities are proponents themselves and are the direct beneficiaries of project benefits, certain aspects of the CAP may also cause adverse impacts on some members of the


community and should, therefore, be handled based on existing Bank policies on resettlement. The community-driven/participatory approach to planning prescribed by the Project ensures that development options or interventions in the community produce the maximum benefits to the community while minimizing or avoiding negative impacts to the residents. For unavoidable impacts, the CAP guidelines require that losses are replaced at replacement cost and should be done in close consultation with the affected households/persons. Compensation and relocation assistance are required to the completed prior to the commencement of civil works. A grievance redressal structure and procedure is also included. A detailed description on the Project policy on impacts covered by the Bank’s Resettlement Policy, entitlements, and procedures is presented in Section 8. In terms of methods of data collection, the guidelines require that a census of all the beneficiary households be undertaken prior to project screening. During project preparation, proponents are expected to conduct a socio-economic survey of 20 to 25 percent of the beneficiary population. During this stage, potentially affected households will be identified and their losses valuated and documented by the local government unit. A master list of all the beneficiary households and all project affected persons and assets will be prepared at this stage as required by the bank policy. A compensation/ acquisition/resettlement action plan will be prepared to address the impacts on the affected households and will be incorporated into the CAP. This will then be forwarded to the appraisal committee for review. The CAP review will include an evaluation of the action plan to deal with the involuntary resettlement impacts of the proposed subproject.

5. Development and Implementation of Subprojects Subproject development and implementation under the Project will comprise three phases. The first phase, which is subproject selection and preparation, includes subproject screening where candidate communities/subprojects are evaluated based on approved screening criteria. The main objective of this activity is to select a community with a good chance of (a) having a complete CAP within a period of 6-months, and (b) complying with certain clearances and documentation requirements necessary to proceed with titling and other project activities. The community action planning phase follows. With the help of an NGO-partner, if deemed necessary, the community association would then begin to discuss various aspects of the community plan from land titling, amortization of home lots, home improvements, re-blocking, compensation for losses and relocation, lot assignments, community infrastructures, health, housing, livelihood, formalization and strengthening of community structures, capability building and other important aspects of the development of their community. Within this subphase, it is expected that all the necessary environmental clearances and documentary requirements for land titling (i.e. Presidential Proclamation, land use conversion, zoning clearance, approved subdivision plans, authority to dispose, COA clearance, etc.) will have been secured in order to enable the project to proceed to implementation. At the end of six-months, the subproject/CAP will be appraised in terms of its “readiness” for the next phase, the subproject implementation phase, including its compliance with project guidelines pertaining to resettlement impacts, documentary requirements and related aspects.


Upon passing appraisal, the community and the LGU can begin the implementation of the subproject/CAP. During this phase, regular monitoring will be undertaken until all components have been fully implemented. An impact assessment based on a preagreed set of parameters will be conducted at the end of the 2nd year of implementation to determine how the subproject has resulted in the improvement of the socio-economic conditions of the beneficiary community. The final phase in the subproject development and implementation cycle provides the community with the option to develop a Community Livelihood Development Plan (CLDP). Subject to the availability of grant financing and upon completion of Part A, the LGUs or other subproject proponents, with assistance from a local NGO if needed, may opt to facilitate the preparation of the CLDP and request grant financing. By the end of the third year, the development and implementation of each batch of subprojects is expected to be concluded. Supplementary M provides a comprehensive discussion of the development and implementation of DPUCSP subprojects, including the detailed eligibility and selection criteria for LGUs, MFI, and beneficiary communities.

6. Subproject/Community Action Plan (CAP) Preparation The Community Action Plan (CAP) is an integrated set of activities and interventions in the community to be undertaken by the community, the LGU and other concerned agencies aimed at helping the community residents obtain tenure to their home lots, upgrade their living conditions, improve their surrounding environment, improve their social and economic well-being and strengthen their collective strength to take part and benefit from the development of their locality. Support for some of these interventions may be provided by LGUs or other agencies through their own funds. Beneficiaries may likewise be able to provide some counterpart contributions or sweat equity to implement certain components. The Project offers an open-menu of potential fund support and technical assistance for various components depending on the needs, aspirations, and limitations of the LGU and the community. Although the Project may only fund certain components of the CAP, the Bank still requires that the CAP be prepared in a participatory manner guided by sound urban planning, environmental and social policies. This section presents the principles that would guide the preparation of the CAPs. It also contains discussion on the structure and content of the CAP, as well as guidelines pertaining to aspects of the plan that is government by the Bank policy on resettlement.

6.1 Guiding Principles in the Preparation of Community Action Plans

The preparation of a CAP should be guided by the following general principles. These principles illustrate the strong emphasis given by the Project on the planning process itself and on a community-driven approach to planning guided by sound urban planning, environmental and social principles.

• Community-Led Planning


A Community Action Plan (CAP) should be initiated by the beneficiary community. This approach ensures that the developments to be introduced in the community are suitable, acceptable, and affordable to all households within the beneficiary community. Moreover, this allows the Project to distinguish between impacts brought about by the voluntary and concerted decisions of the beneficiary community from impacts that fall within the Bank guidelines on involuntary resettlement. All consequent impacts (except for total loss of dwelling structures) of the CAP are considered voluntary and therefore will not be considered for compensation under the Bank’s policy on involuntary resettlement. The beneficiary community takes the central role in the preparation of the Plan. The LGU, or NGO if involved, on the other hand, acts more as an adviser, information provider, conflict mediator, plan reviewer and integrator. • Consensus-Led Planning

The most critical aspects in the preparation of the CAP is the process by which the beneficiary community is able to arrive at a consensus on how to restructure the community to allow all beneficiary households to obtain security of tenure, introduce infrastructure improvements, upgrade their shelter, improve access to basic services and increase their economic strength. Issues and conflicts arising in the planning process are resolved through a participatory and productive process undertaken/handled by the concerned community association with or without assistance from the barangays, the local government unit or from an external development agent/facilitator i.e. NGO. • Technical, Environmental and Social Feasibility

The technical, environmental, and social soundness of the CAP must be ensured. It should comply with basic government guidelines related to environment, sanitation, and safety. The CAP should also fit with the general social environment (adjacent communities and existing socio-economic patterns). All these measures would ensure the long-term sustainability of the developments introduced in the community.

For this purpose, the CAP has to be adequately reviewed, screened by concerned government agencies and LGUs through an integrated and simplified structure and procedure. • Development Based on Affordability and Willingness-to-Pay

Developments to be introduced in the community should likewise be within the financial means and to the economic uplifment of the community. Affordability and willingness-to-pay by the community would determine to a great extent the type and magnitude of developments to be introduced. However, developments that the LGU and other entities are able and willing to introduce into the community as part of their basic mandates, investment plans and programs should likewise be taken into account and integrated as part of the CAP. These opportunities would generally have a positive impact on the affordability of the planned developments.


• Transparent, Participatory and Documented Planning

The preparation of the CAP should be transparent, participatory, and properly documented. Mechanisms for conflict resolution and grievance redressal should be in-place and properly documented at the early stage of plan preparation. There should likewise be adequate disclosure/dissemination of information on the Project objectives, guidelines, requirements, mechanisms, and scope among the target beneficiary communities. Existing regulations, legislation, and requirements that are relevant to urban renewal and socialized housing development must be properly disseminated to the beneficiary community. Consultation with the host community and other stakeholders should be conducted to ensure that other concerns are then taken into consideration in the development of the Plan. 6.2 Voluntary Resettlement or Contribution

In principle, “voluntary resettlement” cannot be contemplated in projects where rights of eminent domain are exercised. In other words, a re-settler cannot be “voluntary” if s/he is forced to move and/or her/his assets will or could be expropriated. All cases where expropriation can be an issue are to be considered as instances of “involuntary resettlement”. As such they fall under ADB’s policy on involuntary resettlement and are treated accordingly.

By definition, “voluntary resettlement” involves impacts which (a) have minimal magnitude, (b) do not hamper beneficiaries’ livelihood, (c) directly improves beneficiaries’ assets, (d) directly relate to poverty reduction initiatives, and (e) can be easily monitored.

In these cases, appropriate planning instruments need to be established. These will include ad hoc policies, subjected to ADB approval, that clearly establish entitlement provisions and mechanisms ensuring that resettlement is genuinely “voluntary”. These mechanisms will be based on documentary evidence and on evidence drawn from thorough consultation process.

In the same manner, voluntary contributions of assets by the beneficiary household are defined as those that (a) have minimal magnitude, (b) do not hamper beneficiaries livelihood, (c) directly improve beneficiaries remaining assets; (d) directly relate to poverty reduction initiatives.

These “voluntary contributions” or “voluntary resettlement impacts” are minor losses that the beneficiary household is willing to contribute as a result of the re blocking activities, widening of alleys/footpaths, construction of community facilities and other improvements in the community that would also directly benefit the concerned households. For the DPUCSP, the following examples of impacts are considered as voluntary contributions from the concerned beneficiary households:

• Existing fence to be moved as a result of the re-blocking activities or drainage improvement;

• Plants planted along alleys/catwalks that may need to be transferred to give way to road or alley widening;


• Removal of minor extended residential or non-residential structures to give way to road or alley widening provided that the removal of these structures would not compromise the stability/safety of the remaining structure; and

• Relocation of the vegetable plot or animal coop from one portion of the beneficiaries property to another.

6.3 Households and Persons Eligible to Participate in the CAP

6.3.1 Eligible Households and Persons

The following households/persons shall be eligible to participate and benefit from the CAP:

• Persons and households living in the subproject site and covered by the

census and tagging activities conducted or to be conducted by the LGU. These include structure owners, rent-free-occupants and renters; and

• Persons and households who do not live within the subproject site but who

have put up existing improvements such as trees, vegetable plots, pigpens, community stores or service shops at the time of the census and tagging activities (subject to the decision of the community based on its agreed subproject site development plan).

6.3.2 Non-Eligible Households and Persons

However, the following households/persons shall not be eligible to participate and benefit from the CAP:

• Absentee owners of structures within the subproject site (i.e., those who have

not returned to the site for the past 12 months); and • New entrants (i.e., those who came to the community after the conduct of the

census and tagging activities).

6.4 Contents and Structure of the CAP

The CAP describes the background of the proposed Project and how it is expected to have an impact on urban poverty reduction (Section 1.0: Introduction). It should likewise explain the process undertaken to arrive at a consensus on the type of development the members of the community themselves would like to see in their community and how conflicts and issues were resolved. The profile of the subproject should be presented in terms of location, and overall condition (Section 2.0: Subproject Profile). A documentation of the social acceptability and the planning process should be presented that contains both a substantive description and a visual presentation of the developments that the community wants and can afford to have, including the supporting components related to community empowerment and livelihood development (Section 3.0: The Community Planning and Consultation Process). It should contain information on the existing conditions and characteristics of the beneficiary community including present needs, aspirations and visions for the community (Section 4.0: Description of the Beneficiary Community). A description of the existing infrastructures and services and


existing and planned developments in the area should be presented (Section5.0: Description of the Project Site and its Adjoining Areas). The CAP should also present the estimated project cost and fund sourcing of the subproject (Section 6.0: Project Cost and Proposed Fund Sources). It should include the activities and time frame by which the subproject will be implemented from pre-construction to monitoring and evaluation (Section 7.0: Implementation Schedule).

An assessment of the affordability and willingness-to-pay by the beneficiary households of various proposed developments should be made in order to account for and properly deal with the variations in the capacities and perceptions of the target households (Section 8.0: Affordability Assessment and Willingness-to-Access and Pay).

An assessment of the anticipated impacts should be made based on the agreed development plans and a discussion on courses of action proposed to be undertaken to deal with these impacts following Bank policy on resettlement (Section 9.0: Expected Impacts of the Proposed Site Development and Agreed Actions).

In areas where there are right-of-way acquisition impacts on adjacent properties and where there are unavoidable complete/major losses dwelling units or livelihood sources, the CAP should include a description of these impacts, as well as, the proposed actions, entitlements and grievance redressal system (Section 10.0: Actions on Impacts Governed by Bank Policy).

The proposed institutional setup and organizational responsibilities, project monitoring and evaluation, implementation schedule, costing and fund sources should also be discussed in the main report (Section 11.0: Proposed Institutional Setup and Organization Responsibilities).

The CAP should likewise describe the proposed monitoring and evaluation system for the subproject to include the indicators for monitoring, responsibilities and reporting systems (Section 12.0: Project Monitoring and Evaluation).

Table L.3 shows the Community Action Plan (CAP) Template: For Local Government Units (LGUs).

7. Guidelines on Impacts Covered by the Bank’s Resettlement Policy

There are certain types of subproject-related impacts that are covered by the Bank’s Resettlement policy. This section discusses the coverage, principles, eligibility, and processes related to involuntary resettlement planning.

8.1 Coverage

The Bank policy on involuntary resettlement applies to all cases in which a subproject causes losses on land, houses, and livelihood resources (including crops or business income) to project affected people (PAP). The policy requires the compensation and the rehabilitation of the affected people and covers both formal and informal settlers. It is applicable in all occasions in which:


• Eminent domain can be ultimately invoked and the affected property can be expropriated if the owner/claimant is unwilling to give up their lots or goods; or

• Subproject implementation implies losses of basic assets.

The following impacts are considered involuntary and are therefore subject to the Bank’s policies on involuntary resettlement:

• Loss of private land to meet the right-of-way requirements of the Project; • Destruction of structures and improvements in private lands affected by the

right-of-way requirements of the subproject; • Complete or severe loss of dwelling units within the project site due to the

planned site development; • Loss of livelihood sources.

8.2 Guiding Principle on Involuntary Resettlement Impacts

As a matter of policy, land acquisition, and other involuntary resettlement impacts should be minimized as much as possible. In case these are unavoidable, the Resettlement/ Compensation program should be designed to improve or at least maintain the PAP’s pre-project living standards and should warrant their participation in project benefits. The compensation to be provided are: (i) compensation at replacement cost for houses and other affected structures; (ii) compensation in terms of land for land of equal productive capacity acceptable to the PAP for agricultural land; where land is not available, compensation will be provided in cash at replacement cost; (iii) replacement of premise/residential land of equal size acceptable to the PAPs; (iv) transfer and subsistence allowance; and (v) cash compensation for foregone income from affected livelihood sources during a transition period of 3 months. For agricultural, residential, and commercial land, replacement land will be provided with secured tenure status and without any additional cost, taxes, and surcharges to the PAPs at the time of transfer. Plans for acquisition of land and other assets and provisions of rehabilitation measures will be carried out in consultation with the PAPs. Payment of compensation of affected assets and resettlement must be completed at least one month prior to start-up of civil works in the Project. Resettlement programs will include adequate institutional arrangements to ensure effective and timely design, planning, consultation, and implementation of compensation resettlement and rehabilitation measures. All costs related to compensation, resettlement and rehabilitation should be included towards the cost of the Project. Resettlement costs shall be funded by the participating LGU.


8.3 Eligibility Criteria

The following households/persons shall be eligible for compensation for involuntary resettlement:

• Owners of private properties that will be affected by the right-of-way requirements of the subproject;

• Owners of improvements in private properties that will be affected by the right-of-way requirements of the subproject;

• Owners of dwelling units within the project site that will be completely/severely damaged due to the planned site development; and

• Households or persons whose sources of livelihood will be adversely affected or permanently dislocated by the proposed developments in the community.

8.4 Census, Socio-Economic Surveys

In situations where the proposed interventions in the community would result in losses of assets and relocation of households/structures, the CAP should contain a master list of all affected persons/households and structures based on the census of households and tagging of structures conducted earlier in the subproject preparation phase. The census should be able to present a complete inventory of affected persons and their assets as a basis for compensation. It should likewise identify non-entitled persons. The minimize the impact of later influx of “outsiders” to the subproject area, the outcomes of the census should be properly validated and certified by both the barangay and the community association. New entrants to the subproject site would no longer be eligible to participate and benefit from the subproject and are subject to summary demolition as provided for in RA 7279.

During the CAP preparation, a general socio-economic survey should be conducted to come up with a general profile of the community and serve as benchmark data on the present living conditions and economic situation of the beneficiary households. In communities where there are project affected households, the socio-economic survey should be designed to assess the sources and levels of income, identify their productive activities, and facilitate planning for income restoration. It should likewise provide relevant information in the development of relocation/compensation options and preferences. In compliance with the Bank policies, the socio-economic survey should cover at least 25 percent of the total number of households using random sampling procedures. However, in cases where the total number of households are 200 or less, the socio-economic study should cover all the households in the community.

In cases where land acquisition is necessary for the right-of-way (ROW) requirements of the subproject site or development work, the LGU should conduct a Land Acquisition Survey to identify the extent and effects of land loss, assess the entitlements and facilitate the preparation of land compensation award papers.

Date from the census and socio-economic surveys should contain the following data on the project affected persons and households:

• Total number of affected persons (APs) • Demographic, education, income and occupational profiles


• Inventory of all property and assets affected • Socio-economic production systems and use of natural resources • Inventory of common property resources • Economic activities of all affected people, including vulnerable groups • Social networks and social organization • Cultural systems and sites

Table L.1 shows the types and objectives of various date collection techniques

needed in the preparation of a CAP especially those with aspects involving resettlement impacts.

TABLE L.1: METHODS OF DATA COLLECTION

Type Data Collection Technique Objectives

Land Acquisition Survey Review of land records and ownership deeds (100% sample) and geodetic survey

• To identify extent and effects of land loss (including improvements therein)

• To assess entitlements • To prepare land compensation

award papers Census of households and tagging of structures

Complete enumeration of all households in the beneficiary community clearly delineating households that may be adversely affected by the proposed developments from those who would not be affected and describing the types, conditions and valuation of potentially affected assets or improvements through household questionnaire

• To prepare a complete inventory of affected persons and their assets as a basis for compensation.

• To identify non-entitled persons • To minimize impact of later influx

of “outsiders” to the project site

Socioeconomic Survey 25% sample of total number of households in the beneficiary community using household questionnaire (if more than 200 hh).

25% sample of affected population using household questionnaire (if more than 200 hh)

In cases where the number of households is less than 200, the scope should include all the target households.

• To prepare profile of affected persons

• To prepare the compensation, resettlement plan

• To assess incomes, identify productive activities and plan for income restoration

• To develop relocation options • To develop social preparation

phase for vulnerable groups Follow-up Survey Sample survey and participatory rapid

appraisal techniques • To update/validate list of affected

persons • To prepare appropriate

entitlement packages • To investigate specific issues for

particular groups of APs Note: Taken from the Handbook on Resettlement: A Guide to Good Practice, ADB, 1998 with minor modifications 8.5 Valuation of Losses

The implementing rules and regulation related to RA 8974 stipulate that land valuation of affected properties shall be based on the current zonal valuation issued by the Bureau of Internal Revenue (BIR) for the area where the affected private property is


located. If the owner disagrees with this valuation, mechanisms for determining the “fair market value” of the property shall be determined and will be used as an alternative reference using, among other well-established factors, the following relevant standards, pursuant to Sections 5 and 6 of RA 8974. These factors include the classification and use for which the property is suited, the developmental costs for improving the land based on records and estimates of the City or Municipal Assessor concerned, the declared value of the property as shown in the latest Tax Declaration Certificates or Sworn Statements and the current selling price of similar properties in the vicinity based on records on deeds of sale in the Office of the Register of Deeds concerned, reasonable disturbance compensation for the removal and/or demolition of certain improvements on the land, price of the property as manifested in the ocular findings, oral as well as documentary evidence presented. The valuation of the affected property shall be sufficient to enable the affected property owner to have sufficient funds to acquire similarly-situated lands whose areas and values approximate those required from them by the subproject and thereby rehabilitate themselves as early as possible. For this purpose, a team composed of an independent land appraiser and a government finance institutions (e.g., DBP) shall be formed to assist in the proper valuation of the property. In terms of valuation of improvements, Section 10 of the approved IRR of RA 8974 stipulate that the implementing agency shall determine the valuation of improvements and/or structures on the land to be acquired or affected using the replacement cost method. The law defines the replacement cost of the improvements or structures as the amount necessary to replace the improvements or structures, based on the current market prices for materials, equipment, labor contractor’s profit and overhead, and all other attendant costs associated with the acquisition and installation in place of the affected improvements or structures. In the valuation of the affected improvements or structures, the implementing agency shall consider, among other things, the kinds and quantities of materials or equipment used, the location, configuration, and other physical features of the properties and prevailing construction prices. If deemed necessary, the services of government financing institutions and/or private appraisers may be engaged by the concerned LGU for this purpose. 8.6 Entitlements Based on Bank Policy Project affected persons (PAPs) will be entitled to compensation and rehabilitation measures (See Table L.2 for the Entitlement Matrix of the proposed compensation and involuntary resettlement policy):

8.6.1 Residential Land, Houses, and Structures

(i) Provision of replacement residential land (house site and garden) of equivalent value or cash compensation at replacement cost according to PAPs choices; cash compensation reflecting cost of the house/structure affected without depreciation.

(ii) If the PAP so wishes and the portion of the land to be lost represents 20

percent or less of the total area of the residential land area, and the


remaining land is still a viable residential lot, cash compensation, at full replacement cost (market value), may be provided to the PAP;

(iii) If after acquisition, the residential land and/or structure is insufficient to

rebuild the residential structure lost, then at the request of the PAP the entire residential land and structure will be acquired to full replacement cost without depreciation; and

(iv) Tenants who have leased a house for residential purposes will be

provided with ac ash grant of three months rental fee at the prevailing market rate in the area and will be assisted in identifying alternative accommodation.

8.6.2 Agricultural Land and Crops

(i) The general mechanism for compensation of lost agricultural land will be

through provision of “land for land” arrangements of equal productive capacity, satisfactory to the PAP. However, if the PAP so wishes and the portion of the land to be lost represents 20% or less of the total area of the landholding, and the remaining land is still a viable economic holding, cash compensation, at full replacement cost (market value), may be provided to the PAP;

(ii) If more than 20% of a villager’s agricultural land is acquired and the

remaining holding is not viable, then the Project will acquire the entire landholding and provide compensation of the acquire land at direct land replacement;

(iii) The loss of standing crops and fruit/industrial trees at market rates; and (iv) PAPs whose land is temporarily taken by works under the Project will be

compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure.

8.6.3 Loss of Livelihood Sources

(i) The mechanism for compensating permanent loss of livelihood source will

include: (a) the provision of alternative business site of equal size and accessibility to customers, satisfactory to the PAP; (b) cash compensation for lost business structure reflecting full replacement cost of the structures without depreciation; and (c) cash compensation for the loss of income during the transition period.

TABLE L.2

DPUCSP: ENTITLEMENT MATRIX FOR INVOLUNTARY RESETTLEMENT RELATED IMPACTS

Type of Loss Application Definition of entitled person Compensation policy Implementation issues

Loss of residential land

• Private residential land located in the ROW requirements

a) Legal owner/ claimant of the land

a) Provision of replacement residential land of equivalent value or cash compensation at replacement cost

− appropriate legal instruments and procedures need to be executed in cases where there are multiple claimants.



of specific sub-projects

b) Informal settler

within the land

according to PAP’s choices If the owners so wishes and the portion of the land to be lost represents 20% or less of the total area of the residential land area, and the remaining land is still a viable residential lot, cash compensation, at full replacement cost (market value), may be provided to the owner If the affected residential land is insufficient to rebuild the residential structure lost, then at the request of the PAP the entire residential land will be acquired to full replacement cost

b) Provision of replacement residential land within the project site with payment terms designed based on capacity to pay.

− valuation of the land shall be made through a joint appraisal by an independent appraiser and a government financing institution

Loss of residential structure

• residential structures located in the ROW requirement of the specific sub-project or along the internal road networks within the project.

a) Structure owner

b) Renters or

rent-free-occupants (absentee-owners of residential structures within the project site are not entitled to compensation) (structures built after the census and tagging operations are not entitled for replacement)

a) cash compensation reflecting full replacement cost of the house/structure affected without depreciation

b) relocation assistance c) renters for residential

purposes will be provided with a cash grant of three months rental fee at the prevailing market rate in the area and will be assisted in identifying alternative accommodation. They will also be given the opportunity will also be given the opportunity to avail of home plots to be generated by the re-blocking with payment terms designed based on capacity to pay.

− Census, tagging and valuation of all affected structures within the project site is needed.

− The valuation of the structure should be based on the prevailing cost of construction materials and labor cost for construction.

− Relocation assistance should be determined jointly by the community association, the affected household and the LGU concerned.

− To qualify as rent-free-occupants, the household should have a separate living/eating arrangement with the structure owner at the time of the census.

Loss of agricultural 1 land or plots

• Private agricultural lands located in the ROW requirement of the project

• Vegetable / root crop plots within the project site

a) Legal owner/ claimant of the agricultural land

a) “Land for land“ arrangements of equal productive capacity, satisfactory to the PAP. However, if the land owner so wishes and the portion of the land to be lost represents 20% or less of the total area of the landholding, and the remaining land is still a viable economic holding, a cash compensation, at full replacement cost (market value), may be provided to

− assistance from the Municipal Agricultural Office is needed in the valuation of crops.

− It should be determined if the land has been continuously productive during the past 3 years.



b) Farm-tenants/

lessee of the land

c) Vegetable/

root crop growers within the project site

the owner; If more than 20% of a person’s agricultural land is acquired and the remaining holding is not viable, then the Project will acquire the entire landholding and provide compensation of the acquired land at direct land replacement.

b) The loss of standing crops and fruit/industrial trees at market rates equivalent to their average annual net harvest for the last 3 years from the affected plot; and PAPs whose land is temporarily taken by works under the Project will be compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure.

c) Loss of crops at market rates equivalent to their average annual net harvest for the last 3 years from the affected plot; Assistance in identifying alternative sites for vegetable farming/root crops within the community that can be leased or bought by the plant grower

Loss of livelihood

• Other sources of livelihood that may be discontinued/ adversely affected as a result of the re-blocking or proposed development in the community

a) Owners of non-residential/ business-oriented structures (independent store, shop, ware-house)

b) Owners of livestock coops/pens

a) Cash compensation reflecting replacement cost of the affected structure without depreciation

b) Cash compensation equivalent to 3 months net income from the business activity

c) Assistance in identifying alternative sites for continuing business within the community that can be leased or bought by the worker/business owner

− It should be determined if the business activity is ongoing during he past 2 years.

8.7 Timing The Bank policy states that resettlement should be dealt with from the earliest stages of the project cycle. Because complete recovery from relocation and income loss can take a long time, monitoring and evaluation systems might be required well after the affected persons/households are relocated, sometimes even after the Bank financing is


complete. In the case of subprojects that involve relocation and income losses, entitlements have to be fully implemented prior to the commencement of civil works. This means that compensation for land acquisition and replacement of lost/damaged structures are completed before households are relocated. Alternative plots for livelihood use (vegetable plots and livestock raising) must likewise be ready for utilization to avoid or minimize disruption in the livelihood activities of the affected households. An acceptable and viable grievance redressal structure should already be in-place during the early stage of CAP preparation. Issues concerning the re-blocking, valuation of affected assets and other related aspects can already be handled through this structure or mechanism, thereby serving as an “initiation” or calibration of the systems and persons involved. 8.8 Complaints and Grievance A Complaints and Grievance Committee (CGC) at the purok/community level should be established to hear the complaints and grievances of the PAPs regarding the Community Action Plan (CAP), acquisition of land, destruction of houses and other assets and the loss of livelihood caused by the sub-project, and compensation, and resettlement entitlements. Members of the CGC should include the purok leader, the president of the community association and the housing /urban poor office of the LGU, which serves as chairman of the committee. The following appeals process should be followed:

Level 1: PAP addresses complaints/grievances to the CGC; Level 2: If the CGC cannot address the aggrieved party’s concern within 2 weeks after the receipt of the complaint, the complaint will be forwarded to the Office of the Barangay Captain and the Barangay Justice (Lupong Tagapamayapa) for appropriate action. Level 3: If the Barangay cannot resolve the issue within 4 weeks after receipt of the complaint, the complaint will be raised to the appropriate courts.

The complainant will be exempted from all administrative and legal fees incurred in complying with the Project’s grievance redressal procedures.

9. Subproject/Community Action Plan Appraisal A primary concern during this phase is that the LGU has acquired from the DENR Regional Office a Certificate of Non Coverage (COC) or an Environmental Clearance Certificate (ECC) for the development of the area for residential housing purposes. 9.1 Public Consultation and Participation

The Local Government Unit (LGU) at the municipal/city and barangay levels will ensure that all affected persons including owners of assets and occupants of private lands affected by right-of-way acquisition and other physical developments in relation to the proposed Sub-project are properly consulted. PAPs will be informed of the provisions


of this Guideline through individual visits and meeting. Minutes of the meetings and agreements reached should be properly documented. The LGU shall allow civil work to start one month after the compensation has been paid and resettlement, where necessary, is completed in accordance with the Guidelines and to the satisfaction of the PAPs. The compensation package and the payments made should be properly documented.

10. Case Samples of Subprojects/Community Action Plan

Case samples of subproject CAPs prepared for the Project are presented in Part C of this Supplementary Appendix.

11. Reporting and Documentation The Community Association shall prepare the CAP and its attachments with assistance from an NGO, the academe, and/or the LGU. In addition, the LGU and the NGO-conduit shall jointly submit Quarterly Progress Reports (3 to 4 pages updated on developments related to the preparation of the CAP and issues confronting the association and the LGU) to the PMO. Attachments to these reports are proofs of acceptability or highlights of meeting conducted and agreements reached during the quarter. Random visits to the participating LGUs shall also be conducted by the PMO to check on progress related to the CAP preparation. A project-wide evaluation and planning session shall be (6 months after the commencement of the CAP preparation) to enable the community associations and LGUs to learn from each others experiences and come up with a uniform and appropriate strategies and policies to address common issues and concerns encountered in the field.


TABLE L.3: Community Action Plan (CAP) Template: For Local Government Units

1. City/Municipal Profile This section provides a general situationer of the local government unit (LGU) in terms of its socio-economic, biophysical, institutional, and other important characteristics. It should highlight basic information that would indicate the spatial context of the proposed subproject. It likewise includes the current development plan of the LGU in order to show the framework that guides the LGU’s operations.

Profile of the City/Municipality a) Fiscal/Finacial

Income Class Total Annual Income

Local Revenue IRA

b) Socio-economic/Physical Total Households Land Area (hectares Economy

1.1. Location/Physical Characteristics of the City/Municipality Describe the bordering cities/municipalities and distance in reference to Metro Manila and other cities/municipalities.

Describe terrain, topography and other important physical features.

Describe land area in number of hectares, as well as number of barangays, distinguishing between rural and urban areas. (See table 2)

Distance, Land Area Per Barangay

Name of Barangay Distance from City Proper

(in Kilometers)

Land Area (in Hectares)

a. Urban

Sub-Total for Urban b. Rural

Sub-total for Rural TOTAL


1.2. Demographic Profile Describe the demographic characteristics of the LGU based on the latest available census and disaggregated according to barangays.

Name of Barangay Population

1. 2. 3. 4. 5. 6. 7. TOTAL

1.3. Land Use Provide a description of current land use, specifically indicating area coverage.

Table 2: Existing Land Use

Present Land Use Area (in Hectares) Percentage (%) Built-up Areas - Residential - Commercial - Institutional Agricultural Area Nipa/Marshes Grass Lands/Shrubs Fishpond Forest Area

TOTAL 100% 1.4. Environmental Conditions Describe climate and other significant environmental characteristics of the city/municipality. 1.5. Socio-economic Conditions

a. Major Economic Activities Describe major industries in the city/municipality.

b. Significance of City/Municipality to the region or province

Describe way(s) in which the city/municipality is relevant to the region or province. This is particularly in terms of its contribution to the overall socioeconomic condition of the region or province.

c. Per Capita Income


C. City/Municipal Total Income = Per Capita Income City/Municipal Total Population

1.6. Historical Income and Expenditure of the City/Municipality Provide an itemized description of the LGU’s financial position in the last three years, indicating revenues, borrowings and expenditures.

Items Levels 20__ 20__ 20__

Tax Revenue Property Taxes Taxes on Goods and Services IRA

Operating and Misc. Income Operating and Service Income Govt. Business Operations Others

Borrowings, if any Sub Total Grants

TOTAL REVENUE


Items

City/Municipal Expenditure Recurrent Expenditure Capital Outlays Debt Service Others

TOTAL EXPENDITURE

SURPLUS/(DEFICIT)

Borrowings, if any Amount Year borrowed Outstanding balance 1.7. Plans

Provide a brief description of the current Shelter Plan or development plan, highlighting in particular the context by which the proposed subproject is situated.

2. Subproject Profile This section describes the proposed subproject indicating location, area of coverage, type of development, and condition of the land intended to be utilized, among others.

2.1. Name of Proposed Subproject: ______________________________

2.2. Site Address: ___________________________________________

Sitio/Purok Brgy.

2.3. Proposed Type of Development: _____ New Site _____ Upgrading

_____ Combination of New site and Upgrading

2.4. Estimated Land Area of the Proposed Site: _________ hectares

2.5. Cost of the Land per Square Meter: PhP_______ per sq.m.

2.6. Estimated Total Number of Beneficiaries: _________ (In Household)

2.7. Current Land Ownership Status:

________ Privately Owned ______ National Government Owned __________ LGU Owned

2.8. If privately owned, who are the owners of the land?


2.8.1. ___________________________________________

2.8.2. ___________________________________________

2.8.3. ___________________________________________

2.8.4. ___________________________________________

2.9. Is the LGU currently negotiating with the landowner?

______ Yes ______ No

2.10. What is the estimated timeframe for acquiring the land from the private owner? __________ months

2.11. If yes, what is the current/proposed arrangement to acquire the land?

___________ Outright Purchase of the Land ___________ Access funds through Banks ___________Owner to donate the land to the LGU ___________ LGU to exercise expropriation procedure

2.12. If publicly owned, how was the land acquired or to be acquired by the LGU?

_______ Presidential Proclamation _______ Outright Purchase to Private Owner _______ Accessed funds through Bank _______ Land donated to LGU _______ Expropriated

2.13. Date of Acquired? _____________________ 2.14. What is/are the arrangement/s with the landowner on the use/purchase of the

land?

__________________________________________________________ __________________________________________________________

3. Description of the Beneficiary Community

3.1. Date Surveyed: _______________

3.2. Percentage of Household Surveyed: ___________

3.3. Name of Organization/Institution that Conducted the Survey:

__________________________________________________________


A general socio-economic survey should be conducted to come up with a general profile of the community and serve as benchmark data on the present living conditions and economic situation of the beneficiary households

The socio-economic survey should cover at least 25% of the total number of households using random sampling procedures.

Data from the census and socio-economic surveys should contain the following data on the households:

• Brief history of the community • Demographic profile (include a discussion on tenurial characteristics) • Employment and Income • Economic conditions • Housing and facilities • Organizational affiliation and participation • Present Needs, Aspirations and Vision for the Community • Etc.

The resulting socio-economic profile from the survey is an integral attachment of the CAP.

4. Community Planning and Consultation Process This section should initially provide a description of the process undertaken by the community in order to arrive at a consensus on the type of development they would like to see in their area and how conflicts and issues were resolved. A documentation of the social acceptability and the planning process should likewise be presented as well as the personalities or organizations that were involved therein.

4.1. Information on the Existing Community Association/s:

Name of Community Association/s Date Established Current No. of Members

4.2. Agreed Community Action Plan

Date Venue Agenda of the Meeting and Consultation

Issues and Concerns Raised

Action to be taken

Documentation


4.3. Supporting Organizations

Name of Supporting Organizations (Government Agency, Non-Government Organizations, Peoples

Organization, etc.)

Projects and Activities being

Implemented in the Community

4.4. Agreements between LGU and Community on the Community Action Plan

(Indicate the basic requirement/s to be fulfilled in order for the proposed subproject site to be developed. It should contain both a substantive description and a visual presentation of the developments that the community wants and can afford to have, including the supporting components related to community empowerment and livelihood development) a. Basic Requirement/s

Basic Requirement/s Action Plan/Agreements a. Land Ownership or Acquisition

b. Application of necessary permits covered by laws and ordinances (e.g. ECC or CNC, building permit, etc.)

c. Right-of-way Issues

b. Agreed Site Development and Land Use

A. Proposed Land Use Area (in sq.m)

Percent

Sites for Community Facilities 1. 2. 3. 4. Open Spaces 1. 2. Circulatory (roads, alleys and pathwalks,etc.) 1. ____ meter Roads 2. ____ meter alleys 3. _____ meter pathwalks


4. ______ 5. ______ Other Infrastructure/s 1. ______ meter drainage 2. ______ water supply facilities 3. _______ public sanitation facilities/communal septic tanks 4. _______ solid waste facilities Legal Easements Homelots Reserved Areas (future residential area) Total

c. Site Formation (cut and fillings/compacting), if any

d. Infrastructure Development

Describe the following: d.1. Road Network and pathwalks d.2. Drainage System d.3. Provision of water distribution lines network

d.4. Construction of a livelihood center for income generating activities d.5. Relocation or Construction of Community Facilities (e.g. health and day care centers, multi-purpose hall, etc.

e. Microfinance for Livelihood Development

Describe the overall scheme and amount required as start-up funds as well as the organization that would be involved based on the Microfinance Availment Plan (MAP) prepared by a Microfinance Institutions, in coordination with the local government unit and community association.

f. Community Empowerment

Describe plans of involving the members of the community in all stages of the project cycle.

g. Environmental Management Plan (EMP)

This section of the CAP will determine activities during the pre-construction, construction and operation phase (sample matrix provided for), its impacts and mitigating measures. (The baseline environmental conditions serve as basis for the formulation of the EMP. Other issues are outlined below)

• Solid waste management plan—waste characterization, waste collection,

segregation at source and dumping. • Impact on air quality (if present), noise during construction • Traffic generation


Table: _____ Describe mitigating measures and monitoring plan

Subproject Development

Phase

Expected Environmental

Impact

Proposed Mitigation and Enhancement

Measures

Estimated Implementation

Cost

Responsible Person

Guarantees

5. Description of the Project Site and its Adjoining Areas Provide a brief description of the proposed site in terms of physical configuration, soil characteristics, existing facilities and problems being encountered by the community in relation to its biophysical condition.

5.1. Distance of Proposed Site from the City Proper: _______ kms. 5.2. Land Classification: _______ Agricultural

________ Residential ________ Industrial/Commercial ________ Public Land

5.3. Existing Infrastructures and Services

5.3.1 Water Supply (If served by a Water District)

a. Source of Water b. Name of Water District c. Number of Connections in the community d. Fees or Amount being Paid

Water Supply (If not served by a Water District)

Source Spring Deepwell Handpump Purchased from

Source Water Quality (Potable or Non Potable)

Amount Paid (Per month)

5.3.2 Electricity or Power Supply

a. Name of Provider b. Number of Household Connected c. Fees


5.3.3 Road Access

a. Percentage of paved roads b. Description and status of existing road access

Classification Length Type of

Pavement Length of Paved

road Length of unpaved

road Access Road Internal Road Alleys Foothpaths Total

5.3.4 Drainage Systems

a. Type of drainage system b. Status of drainage c. Frequency of Flooding

5.3.5 Garbage Disposal System

Describe existing garbage disposal system and modes of collection. 5.3.6 Health Center System

a. Describe existing health facilities, manpower and services being offered

b. Distance of health center from the proposed site 5.3.7 Schools

a. No. of Public School/s Near the area :

a.1. Elementary: ______ a.2. Highschool: ______ a.3. Combination of Elementary and Highschool: ________

b. Distance of the Nearest Public School: (in Kms.)

b.1. Elementary: ______ Kms. b.2. Highschool: ______ Kms. b.3. Elementary and Highschool: ________ Kms.

5.3.8 Public Transport

Describe the nearest public transport system available 5.3.9 Sewage disposal/communal septic tanks

Describe existing sewage and other sanitation facilities


5.3.10 Market and Commercial Services

Describe nearest market and commercial services

5.4 Existing and Planned Developments in the Area Describe the recent developments in the area contributing to its present condition, and identify proposed major projects based on the various plans and their impacts on the community. Attach map(s) indicating areas of development for housing, commercial and industrial, etc. This is being required in order to ascertain patterns of local development.

6. Project Cost and Proposed Fund Sources This section describes the estimated cost of the subproject and its proposed fund source.

Expense Items Estimated Cost Proposed Fund Source 1. Land Acquisition 2. Civil Works (roads and drainage, water, etc.))

2. Titling and survey works 3. Replacement of Lost Assets (including labor)

4. Relocation Utilities 5. etc. Total Amount

7. Implementation Schedule This section should indicate the work schedule for the subproject, describing specific activities and expected duration for their implementation.

Table___: Proposed Implementation Schedule Activities Time Frame

1st Month

2nd Month

3rd Month

4th Month 5th Month 6th Month 7th Month 8th Month

1. Pre-Construction Phase

a. b. c. 2. Construction/ Implementation Phase


a. b. c.

8. Affordability Assessment and Willingness-to-Access and Pay An assessment of the affordability and willingness-to-pay by the beneficiary households of various proposed developments should be made in order to account for and properly deal with the variations in the capacities and perceptions of the target households.

• Transfer of Plot Ownership and Titling • Site Development Works (road improvements, drainage) • Community facilities • Sanitation and Waste Management

9. Expected Impacts of the Proposed Site Development and Agreed Actions Assess the anticipated impacts based on the agreed development plans and a discussion on courses of action that the community proposes to undertake in order to deal with these impacts following Bank policy on resettlement. Table _____: Summary of potential impacts, affected households and agreed actions

Type of Impact No. of Affected

Households Total Estimated Cost of

Relocation/ Replacement

Agreed Actions

1. Land Acquisition

2. Partial/total loss of residential structure due to road widening; construction and drainage development; construction of alleys and widening of pathwalks; and construction of community facilities, etc.

3. Partial/Total Loss of plots/structures used for non-residential uses (vegetable growing, livestock raising, trees store/shops, storage

4. Loss of Business/Livelihood 5. Disturbances and Inconvenience

10. Action Plan for Impacts Covered by the ADB Policy on Resettlement Describe the proposed responses to the impacts anticipated in relation to the implementation of the subproject.


Type of Impact Mitigating Measures Time Frame Responsible

Unit Guarantees

11. Proposed Institutional Setup and Organizational Responsibilities Discuss the proposed organizational structure, staffing and their functions at the LGU level. In addition, the setting-up of a grievance committee at the community level should also be described.

11.1. Planning and preparatory phase 11.2. Implementation Phase 11.3. Proposed Organizational Structure/Set-up 11.4. Roles and Responsibilities

12. Project Monitoring and Evaluation Describe the monitoring and evaluation system for the subproject to include the indicators for monitoring, responsibility centers, reporting system and frequency of monitoring.

Activity Person/Unit Responsible

Frequency or Due Date Output

Submission of Reports Monthly/Quarterly/ Semi-annually/Annually

Progress or Status Reports

Site Visits and Consultation and Supervision Meetings

Monthly/Quarterly/ Semi-annually/Annually

Progress or Status Reports and Minutes of the Consultation/ Supervision Meetings

Etc. B. Annexes

• Location Map of the City/Municipality • Photos or plates of proposed project site • Structure map of proposed subproject • Location map/contour map (topographic map) of the proposed site • Property title and tax declaration of the proposed site • Site Development Plan of the proposed subproject • Proofs of Social Acceptability (Endorsement letters from gov’t agencies and

NGOs, signatures of the households signifying agreement/support to the CDAP, minutes of public hearings and consultations, MOA, conflict resolution report, etc.)

• Master list of all persons and households within the beneficiary community • Summary tables on the socio-economic profile of the beneficiary community • Master list of all affected persons and households


• Listing and valuation of affected structures/improvements and land

• Signed quit claims and other related documentation on agreements reached between the LGU, the association and the affected households

• Breakdown or details of cost estimates of the subproject.


PART B: GENDER ANALYSIS AND STRATEGY


GENDER ANALYSIS AND STRATEGY FOR DPUCSP

A. INTRODUCTION

1. Background 1. The goal of the Development of Poor Urban Communities Sector Project (DPUCSP) is to reduce income poverty in the Philippines, and to improve the urban poor’s quality of life. The Project was designed to address the underlying weaknesses in the shelter sector, particularly those that contribute to the prevalence of urban poverty, and to the vulnerability of the poor, causing their exclusion from mainstream society. More specifically, the Project aims to improve access of the urban poor households to secure land tenure, affordable shelter, basic municipal infrastructure services, and community facilities under a decentralized shelter framework. 2. The Project comprises three parts. In Part A, existing and new sites will be developed to provide affordable basic infrastructure services and secure land tenure to poor urban families belonging to the bottom five income deciles of the Philippines. In Part B, shelter financing mechanisms will be established, using microfinance Institutions (MFIs) to enable poor urban families to access financing for the following: (i) plots serviced with basic infrastructure, particularly those developed under Part A, (ii) house improvements, (iii) new housing units, and (iv) microenterprise development. Part C, capacity building and project implementation support programs will be implemented to improve decentralized shelter delivery. The programs will include: (i) project implementation support to assist in overall project planning, coordination, management, advocacy, and subproject appraisal; (ii) support for community-driven planning for sustainable development of sites under Part A; (iii) capacity building for LGUs to enable them to plan, initiate the development of, and finance their role in, appropriate, inclusive shelter projects; and (iv) strengthening the capacity of MFIs to provide the shelter microfinance under Part B 3. The participation of stakeholders, most specially the residents of the target communities themselves, is a key principle of the Project. Not only will they be consulted in relation to their needs and concerns in all aspects of the Project, but they are expected to be major players from program development to implementation and evaluation as well. There will be a conscious effort to ensure that inclusive development would be attained and therefore, the Project would reach out to all the groups and sub-groups within the community, particularly the poorest of the poor and women. 4. Women may tend to look at issues that confront them, their households and their communities differently from men and therefore, might have other means or ideas of coping with them. Thus, any development endeavor at the level of the community must ensure that the needs and concerns of women, especially the poor women and female-headed households are well considered. A gender-sensitive project is one that involves an understanding of issues and problems from the perspectives of both men and women in the community development process.

2. Gender and Development (GAD) in the Philippines 5. The role of women in Philippine development has already been recognized nationally as evidenced by national policies and programs that aim to mainstream and address gender issues and concerns. In the 1987 Philippine Constitution (Article II, Section 14), it is clearly stated that


the State “recognizes the role of women in nation-building, and shall ensure the fundamental equality before the law of women and men.” Meanwhile, the Women in Development and Nation-Building Act or Republic Act 7192 enacted in 1992 were a direction in putting said constitutional provision a step farther. The law mandates government agencies and its instrumentalities to take concrete steps in pushing further the participation of women in national development and their integration therein.1 6. Based on these, the Philippine Plan for Gender Responsive Development, 1995-2025, was formulated to provide a 30-year perspective framework in pursuit of full equality and development for women and men. Mandated under Executive Order No. 273, the Plan details sectoral goals and issues on gender and sets policies, strategies, and programs that need to be addressed and formulated.2 7. The country’s program framework for women has evolved over the years. After the “Women in Development (WID)” perspective, which focused on advocacy strategies for more equal participation of women in education, employment and other spheres of society, is the Women and Development (WAD) paradigm. The WAD emphasized the relationship between women and development processes. However, it is claimed that said approaches could not articulate the reason why women remained disadvantaged in society, thus, paving the way for a third paradigm, Gender and Development (GAD) to become the current norm. The GAD is “a development approach that focuses on the social, economic, political, and cultural forces that determine how differently women and men participate in, benefit from, and control resources and activities.” Aside from recognizing the unequal relations between women and men, GAD recognizes their different roles, interests, and needs. GAD deliberately looks at the gender relations that generate differences in the way women and men are given access to benefits and how they participate and thus, addresses these inequalities through gender mainstreaming.3 8. Mainstreaming gender entails the integration of gender perspective in national and local plans, policies, and programs. It is a strategy for bringing gender perspective in the goals, policies, structures, processes, programs, and projects of government agencies, local government units, and other public entities. Thus, all government instrumentalities are required to come up with a three-year GAD Plan, which is intended to cover both client-focused and organization-focused program, activities and projects that addresses specific gender issues. 9. The LGUs are tasked to formulate their respective GAD Plans within the context of their local development plans and the overall national policies. This is re-emphasized in Joint Circular No. 2001-01 issued by the Department of Interior and Local Government (DILG), the DBM, and the NCRFW on 19 December 2001. Said circular provided the Guidelines for Integrating Gender and Development (GAD) in the Local Planning and Budgeting System through the Formulation of GAD Plans. The PPGD detailed specific services that should be implemented for women in relation to the services stipulated in the Local Government Code of 1991, particularly those

1 1987 Philippine Constitution and Republic Act NO. 7192, “An Act Promoting the Integration of Women as Full and Equal Partners

of Men in Development and Nation Building and for other Purposes.” 2 “ Guidelines to Implement Gender Mainstreaming and Institutionalization in the Existing Agency’s Programs, Activities and

Projects,” Department of Budget and Management, National Economic and Development Authority and National Commission on the Role of Filipino Women Joint Circular No. 2001-1, 15 August 2001.

3 Ibid and “Gender Mainstreaming and Institutionalization in the Budgeting Process: A Primer of the Department of Budget and Management.”


spelled out in Sections 16 and 17 in relation to the promotion of general welfare and provision of basic services and facilities to constituents.4 10. Moreover, the local GAD Plans should detail specific activities and projects aimed at addressing gender issues at the local level. In terms of funding, the LGUs shall set aside a minimum of 5 percent of their annual appropriations to finance the programs and activities set forth in their GAD Plans. Since 1995, a GAD budget provision has been incorporated in the annual General Appropriations Act. As it is imperative that the Plans should reflect local needs and priorities, the LGUs need to partner with the communities under their jurisdictions to ventilate specific gender concerns. 11. At the grassroots level, it has been evident in many experiences in the community that poor women have developed their own strategies to address gender discrimination as well as take active participation in various development activities. 12. Women respond to their roles in the household to secure land, build houses, and take care of their children, often when their male partners seek livelihood and employment outside the local community. At the same time, women exert effort to be meaningful and valuable members of their community, including participation in parish or religious activities, health, and child care. 13. The status and welfare of Filipino women has tremendously improved over the years. At the national level, gender literacy rate differentials have narrowed down with 95 percent of females aged 15 and above considered literate in 2000. Women’s health has improved in parallel with expansion in the delivery of health services and better sanitation, thus, lengthening their life expectancy even much more than males at 71 and 67, respectively in year 2000. Filipino women’s contribution to the economy has also become more pronounced. The labor force participation rate of women for the country as a whole was 49.7% over the 1997-2000 period, up from 48% in the early 90’s. The non-inclusion of housekeeping as an economic activity for women is one reason for their lower level of economic activity rate as compared to Filipino men. Meanwhile, women have also taken a more active role in politics with more of them running for public office, getting more involved in handling the reins of the bureaucracy and in advocating for the various causes of non-governmental organizations.5 14. Despite these tremendous improvements, however, Filipino women still confront many challenges, ironically, in areas where there have also been some levels of improvements but more specially in maternal health, nutrition, labor force participation, and gender-typing of fields of study. While literacy levels among women have improved, the fields they pursue remain to be in the traditional areas of teaching and care giving. While health services and sanitation have improved, women continue to be plagued by health problems related to pregnancy. In employment, the trend is still for women to be relegated in low-paying jobs while their supportive roles in the home has been carried over to the labor market where they are given support responsibilities and limited access to leadership positions in both the public and private sectors. Across provinces, it was found that some provinces are better off than others when it comes to addressing gender issues. Those who fare better in human development appear to likewise

4 “Guidelines for Integrating Gender and Development (GAD) in the Local Planning and Budgeting System through the Formulation

of GAD Plans,” Department of Interior and Local Government, Department of Budget and Management and National Commission on the Role of Filipino Women Joint Circular No. 2001-01, 19 December 2001.

5 Figures and trends taken from the Human Development Report 2002 published by the United Nations Development Programme (UNDP) and the Philippine Human Development Reports 1997 and 2002 published by the Human Development Network and the UNDP.


perform better in gender development such as Rizal, Ilocos Norte, Cavite, Bataan, and Laguna. Meanwhile, those in the bottom of the bottom index are mostly provinces in Mindanao that are also dominated by the Moslem population, suggesting that religion and culture play a role in how women are treated in some areas.6 15. Aside from issues faced by women as a whole, there are sub-groups within this group that are more vulnerable than others such as poor women and female-headed households. These households tend to be one and the same and therefore, women in these households carry a heavier burden than other women do. For instance, female heads of households have to earn income while taking care of the needs of their children as well as housework. The Project should consider the special needs of these sub-groups. It was mentioned in the 1997 Philippine Human Development Report that female-headed households paid more taxes (income, real property, vehicle, and direct taxes), which indicates that female heads of households are more concerned about the longer material security of their families. Moreover, their incomes were found to be biased towards benefiting their households and their communities and they tend to spend less on food, tobacco/cigarettes, alcohol, and clothing, and more on real property, household durables, education, medicine, personal effects, payment of loans, and bank deposits.

3. The Role of DPUCSP in Addressing Gender Issues

15. Initially, the DPUCSP has identified pilot areas for its implementation. It is interesting to note how the provinces where these selected cities belong to, fare in terms of the gender-related development index. For instance, Pumping is ranked number 12 among the 77 provinces included, Cuba 23rd, and Negroes Occidental 44th.7

TABLE L.4: GENDER DEVELOPMENT INDICATORS OF PHILIPPINE PROVINCES

Gender Development Index: Ranking of Selected Provinces8

Rizal 1 Ilocos Norte 2 Bulacan 7 Pampanga 12 South Cotabato 15 Isabela 22 Cebu 23 Catanduanes 30 Aklan 40 Negros Occidental 44 Camarines Norte 65

16. In recognition of these issues, a community-specific Gender Strategy (GS) will be developed by the local governments, in collaboration with NGOs and the communities themselves under the DPUCSP, spanning the subproject preparation and implementation phases. Said GS would be essentially be linked to the LGUs’ GAD Plans.

6 Ibid. 7 Ibid. 8 Based on the Philippine Human Development Report, 2002.


17. The GS is expected to highlight gender issues at community level (based on survey data and focused group discussions) and prepare a strategy for addressing these gender issues during project preparation. Specifically, the purpose of preparing a Gender Strategy for the DPUCSP is to (i) identify gender issues in urban housing specific to the targeted communities, (ii) identify work to be undertaken to address gender issues and identify preliminary mechanisms to be included in the Project design to ensure women will be involved in, and benefit from, the Project, and (iii) discuss gender sensitive monitoring and evaluation.

B. GENDER ISSUES IN URBAN DEVELOPMENT AND HOUSING

1. General Issues

18. The vision of the household: It is important that households are not viewed as a homogenous unit. For example, it may not be correct to assume that a male representative will act in the interest of all the members.

19. Home ownership and equitable control of domestic resources: Title to land and housing provides guarantees and security to the holder. Inadequate information dissemination on the accessibility of housing units to women as there are claims that women continue to transact business with shelter agencies through a Special Power of Attorney (SPA) from their husbands despite the existence of laws that allow either spouse to apply.9

20. Equitable decision-making in the housing program: Given the differences within households, it is important to ensure that both women and men are consulted on the primary direction and components of a program.

21. Equal Access to the housing program: Need to revise legal documents/forms that reflect policy developments on housing transactions and need to simplify housing system and procedures to facilitate women’s access to housing.10

22. Promoting community leadership and increased involvement in decision-making: Women as well as men should benefit from training and capacity development

23. Housing design and productive activities: A housing design should take into consideration women’s need in terms of housing facilities e.g. the need for workspace, storage facilities, electricity, etc. as well as match affordability levels with the desired housing design by women.11

24. Gender division of labor in housing construction: Women and men tend to face different obstacles when attempting to work in housing construction.

25. Focus on participation: Women and men may face different obstacles when participating in decision-making and implementation of project activities.

2. Issues Specific to DPUCSP

26. There are a few gender issues that could initially be identified in relation to the Project’s components. 9 “Suggested List of Gender Issues Across Sectors,” National Commission on the Role of Filipino Women, 2001. 10 Ibid. 11 Ibid.


2.1 Part A: Site Development and Distribution of Secure Tenure

27. One issue pertains to asset ownership, particularly of the house and lot. Section 5 of RA 7192 provides for equality in capacity to act. More specifically, it explicitly indicates that “women of legal age, regardless of civil status, shall have the capacity to act and enter into contracts which shall in every respect be equal to that of men under similar circumstances. In all contractual situations where married men have the capacity to act, married women shall have equal rights.” It goes on to indicate that towards this end and under the same conditions governing men, women have the capacity to obtain loans and execute security and credit arrangements; shall enjoy equal treatment in agrarian reform and land resettlement programs; equal access to all government and private sector programs granting credit and non-material resources; equal rights to act as incorporators and enter into insurance contracts; and, equal rights afforded to married women to apply for passport, secure visas and other travel documents without need to secure the consent of their spouses.12 The same essence of equality among women and men or wives and husbands is evident in Executive Order No. 209, otherwise known as the Family Code of the Philippines as issued in 1987.

28. Although there are laws explicitly providing for equal rights, the situation could be different and contrary in practice, as there are claims that some parties continue to apply traditional rules and practices. For instance, some women still continue to transact with some shelter agencies with Special Power of Attorneys from their spouses.

29. Another related concern pertains to how female heads of households are treated, whether married, widowed or single, when it comes to asset ownership. Another issue relates to the existence of concrete procedures for consulting women when it comes to the design of site development and improvements. This is connected to the need for a mechanism to encourage women to participate in activities that are traditionally dominated by men (i.e. engineering design) and for their ideas to be accepted and considered.

2.2 Part B: Shelter Finance Provision to Low-Income Communities

30. Since this component of the Project involves provision of access to financing mostly from MFIs, the gender issues would most likely be related to equality of access to these financing windows between men and women. Again, by merely citing Section 5 of RA 7192, it should be clear that there are no restrictions that should constrain women from accessing financing by themselves. Moreover, the same RA includes a policy pronouncement that a substantial portion of official development assistance funds shall be allocated and utilized by the relevant government agencies to support programs for women. This is aside from the policy that concerned government agencies shall ensure that women benefit equally and participate directly in their development programs and activities. Thus, women have a right and equal access to development programs including those related to financing and credit arrangements. The story may, however, be different in actual practice.

31. In terms of designing the financing scheme, women should be consulted and their current lending/borrowing practices studied in order to identify what works and what do not. The Project’s new financing programs are meant to replace current schemes (paluwagan, 5-6, etc.). Since the facility would not be limited to financing shelter improvements but includes financing for livelihood activities as well, the current livelihood arrangements between men and women

12 Republic Act No. 7192.


should be considered. Men tend to have employment opportunities outside of the community while women get concessions, sub-contracts, or job-out to support household income (e.g. laundry, house clean, trading (sari-sari store), cooked food, etc.). Aside from identifying the livelihood activities in which women are involved, the Project, under this component should assess capacities available as well as those that might be required to initiate new livelihood opportunities depending on demand. Moreover, there should be provisions for assessing how the time of women are divided daily between housework, childcare and earning a living. The microenterprise program should be designed according to these critical parameters in order to be responsive to the needs of the women in the community.

2.3 Part C: Capacity Building and Implementation Support

32. Under this component of the Project, women are given the opportunity to enhance their capacity to be involved in community activities. This will be most likely undertaken through the creation of women’s groups in the community, if they do not already exist. In the first instance, it is important to determine if there are informal groups of women already existing in the community and identify their activities. Through an assessment of their peculiar needs and concerns individually as a woman, and as a group, better systems and training programs can be designed to address these needs and concerns. In terms of implementation support, there should be adequate representation of women in bodies that would be created in relation to the Project.

3. Gender Sensitive Mechanisms

Basic principles to be applied in the Project:

(i) Equal project benefit and opportunity sharing between men and women; (ii) Attempts to reduce gender inequalities in the project areas by ensuring equal

participation for women and men in project activities; (iii) Targeted approach for very poor women and female-headed households; (iv) Collection of gender disaggregated data; (v) Organizing women as part of the mobilization process; and (vi) Increased representation of women in decision-making bodies at all levels.

4. DPUCSP Gender Strategy 33. Within each Project component, a number of strategic thrusts aimed at addressing the gender issues of DPUCSP have been formulated. Under Part A, specific consultations and focused group discussions with the target communities and the subgroups within each are proposed. Community organizations/associations (COs/CAs) will be established where there are none, while those with existing COs/CAs will be strengthened in terms of their capacity to plan, develop programs, and maintain subprojects. There will likewise be the conduct of socio-economic surveys of target communities to establish baseline information that would be valuable in the design and evaluation of proposed sub-projects. As the Project espouses participatory planning, a Community Action Plan (CAP) will be produced by the target communities themselves (see Part A of this Supplementary Appendix).

34. On the other hand, Part B entails identifying microfinance institutions and non-government organizations and their roles in the provision of shelter finance. Related to this is the design of the financing scheme that will be implemented. Conscious efforts will be exerted to enjoin the


community to participate in the design of said financing scheme through the Microfinance Availment Plan to be prepared for each subproject.

35. Part C, which pertains to capacity building and implementation support entails the conduct of training and systems needs assessment of individuals and organizations, including local governments, COs/CAs, and NGOs. Implementation support will comprise design of institutional arrangements to oversee implementation, monitoring, evaluation, and ensure sustainability of the subprojects.

36. These major activities comprising the three Project components serve as bases for identifying the strategic thrusts and activities that would lead to a gender-sensitive Project. The following table provides the generalized strategic framework for preparing community-specific gender plans under the Project.

TABLE L.5: GENDER STRATEGIC FRAMEWORK OF DPUCSP

PART A: SITE DEVELOPMENT/UPGRADING AND DISTRIBUTION OF TENURE Strategies Activities

Undertake specific consultations and focused group discussions with women

• Consult women separately and jointly • Organize specific group meetings with women • Seek out the poorest of the poor women and

encourage their participation

Involve women in the establishment/strengthening of Community Organizations/Associations (COs/CAs)

• Involve COs/CAs representing both women and

men • Ensure that COs/CAs have a minimum of 30%

representation of women • Encourage assumption of leadership positions by

women • Participation of women in capacity building

activities (at least 40% of participants in training courses are women)

• Specific capacity building programs may be developed for women

• Establish sub-groups (involving women only) and provide training for the group to ensure women’s active participation in community organizations

• Define the rules and responsibilities of group members. Establish grievance mechanisms for the resolution of conflicts related to user rights and responsibilities

• Consider facilitating the establishment of an urban forum for women in the slums


Ensure gender-sensitive socio-economic surveys of target communities

• Identify the socioeconomic profile of key

stakeholder groups in the target population and disaggregate data by gender (some examples of data to be collected are provided in Table L.6, more data can be found in ADB Gender Checklist “Urban Development and Housing”)

• Examine gender differences (disparities) in knowledge, attitudes, practices, roles, constraints, needs, and priorities in the sector, and the factors that account for such differences

• Involve local women in collection of data

Involve women in the preparation of the Community Action Plan (CAP)

• Establish sub-groups for women in the

preparation of the CAP to provide the gender dimension/perspective in the identification and design of subprojects

• Provide capacity building for women in urban planning and management

• Involve local women in the planning process through representation in community organizations

PART B: SHELTER FINANCE PROVISION

Provide women access to housing finance and microenterprise facility

• Identify restrictions for women’s access to

housing titles etc. • Advocate for the removal of any restrictions for

women’s access to housing titles and housing finance in practice by disseminating the provisions of the appropriate laws (i.e. Republic Act 7192, the Family Code)

• Identify current credit practices of women and consider in the design of the financing facilities

• Pinpoint both existing and potential livelihood activities of women

• Determine how women divide their time between housework and child care and earning a living to augment household income

Identify the role of participating Micro-financing Institutions (MFIs) and Non-government organizations (NGOs) in housing finance

• Encourage the participation of women

represented in the participating MFIs and NGOs in housing finance

PART C: CAPACITY BUILDING AND IMPLEMENTATION SUPPORT

Include Women in capacity building programs

• Assess capacity building needs of women both

as an individual and as an organization • Develop systems and trainings that would duly

consider peculiar needs and concerns of women • Ensure participation of women in the conduct of

training programs

Implementation support

Involve women representation in bodies or


committees that would be created to look into the development of women in poor communities

Train women and men in the operation and maintenance of facilities

A social/poverty specialist with experience in gender and development to be assigned/hired during project implementation to ensure the attainment of a gender-sensitive Project

Project Management Support

Create gender-sensitive human resources

• Include a social/poverty specialist with

experience in gender and development in the Project Management Team

• Project management progress reports to include progress in terms of addressing the gender disparities identified in the survey

Conduct research studies that consider the gender dimension (tools for analysis)

• Gender-disaggregated data collection • Qualitative studies on the impact of the Project

on poor women and men • Document the gender sensitive participatory

approach applied in the Project

Monitoring and evaluation Design gender-sensitive participatory Monitoring and Evaluation (PME) System

• Identify suitable PME methodologies duly

considering gender dimensions • Train local women in PME methodologies • Identify impact indicators for men and women


TABLE L.6: SOCIO-ECONOMIC PROFILE OF THE SUBPROJECT AREA

1. Demographic

- Composition by gender, ethnicity/caste, age - In and out migration trend (male and female) - Percentage of households headed by females - Household size

2. Poverty and employment

- Household income level and individual sources, by gender and age - Household expenditure patterns and decision making by gender - Gender dimensions of poverty (e.g. linkage between female headed households and poverty

level, burden of poverty on women) - Percentage of women working in the home and the kind of work performed - The percentage of women employed outside the home, and if possible, an analysis of

occupational categories - Unemployment rate, by gender

3. Land use and tenancy

- Tenancy profile (percentage distribution of dwellings owned or rented) - Percentage of women owning dwellings or registered as the principal tenant - Number of squatters (women and men) - Length of residence in the current place

4. Health

- Infant and maternal mortality rates - Service availability - Fertility level and decision making - Food allocation and nutrition level within households, by gender - Incidence of domestic violence

5. Education and children

- Literacy and school enrollment ratios, by gender - School dropout ratio, by gender - Incidence of child labor and street children, by gender

6. Status of women

- Political representation and awareness - Socio-cultural perceptions and practices of women and men - Gender-discriminatory policies and laws - Women’s access to law and justice, especially in relation to violence and crimes

7. Gender roles and responsibilities

- Gender division of labor in productive (e.g. agriculture, income-generating activities) and reproductive (e.g. household chores, child care) responsibilities, and time allocation for each responsibility.

Documents

RESETTLEMENT FRAMEWORK Report and Recommendation …