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RESETTLMENT POLICY FRAMEWORK AND ABBREVIATED RESETTLEMENT ACTION

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					                           Resettlement Policy Framework – Nacala Dam




RESETTLMENT POLICY FRAMEWORK AND ABBREVIATED
   RESETTLEMENT ACTION PLAN FOR NACALA DAM




                  Prepared for:                        Prepared by:

                                                       Greg Huggins
                                                      Katie Maasdorp

               Ministry of Planning             Nomad Socio Economic
                and Development

              Millennium Challenge                   9 Hampden Road
                    Account                              Durban
                                                          4001

                   Mozambique                           South Africa




                                         June 2010



This report should be cited as:

Huggins, G.; Maasdorp K. June 2010. Resettlment Policy Framework and Abbreviated
Resettlment Action Plan- Nacala Dam. Durban, South Africa




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                            EXECUTIVE SUMMARY
Nacala Dam is located on the Muecula River approximately 35km south-west of Nacala City
and 150km north-east of Nampula City, in Nampula Province, Mozambique. The
Government of Mozambique has entered into an agreement with the Millennium Challenge
Corporation (MCC) to rehabilitate and raise the water level of Nacala Dam. As part of this
project, a number of activities are proposed, including the rehabilitation and elevation of the
dam wall; an upgrade of the spillway; a road deviation; and the excavation of materials for
these activities.

The project has the potential to displace people due to the need to physically resettle
households so as to be able to construct the new road deviation. The rehabilitation of the
dam will also inundate lands used for recession agriculture. This will arguably lead to loss of
some resources and disruption of livelihood patterns. This triggers international best practise
safeguards for projects of this nature. In particular the World Bank Op 4.12 and IFC
Performance Standard 5 are relevant as the MCC defaults to these safeguards.               This
document is a Resettlement Policy Framework (RPF) and is not intended as a full
Resettlement Action Plan (RAP). The RAP can only be produced once horizontal alignment
is finalised. This document is intended to accompany the EHSIA suite of reports. As such the
RPF clarifies the principles for social impact mitigation with regards to compensation for loss
of property, livelihood and relocation or resettlement (of directly affected people). The
operational objective of the framework is to provide guidelines to stakeholders (including
investors and developers) participating in the mitigation of adverse social impacts of the
project, in order to ensure that project affected persons (PAPs) will not be impoverished by
resettlement. In term sof Resettlement the following is envisaged.


Physical resettlement – 19 separate entities are affected. These include 17 residential
homesteads and a Frelimo Party office affected by the road deviation and the local police
station affected by the re-developed spillway.

Economic displacement – This will occur, albeit to a limited extent. There are a number of
households (approximately 30) that live in the village area surrounding the dam and that
make use of the margins of the dam basin to practise recession agriculture.

The persons who will be displaced by project activities are those losing assets or
investments, land and property, and/or access to natural and/or economic resources as a
result of the project activities are the protected eleigable population.
Table 1 sets out the entitlements per category.
Table 1: Entitlement Framework
 Category                                Compensation
 Having homesteads that will be impacted Entitled to have structure re-built or to
 by the road diversion or spillway       compensation at replacement value. Trees
                                         on the homestead site to be valued and
                                         replacement value paid or production value
                                         paid and seedlings provided.
 Having crops inundated                  Entitled to compensation at replacement
                                         value and to participate in livelihood
                                         restoration programme if deemed relevant

In terms of vulnerable households these are a subset of the above. Vulnerable people are
those who by virtue of any characteristic not of their making may be more adversely affected
by resettlement than others, and who may be limited in their ability to claim or take
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advantage of resettlement assistance and related development benefits. Specifically, as
defined by the IFC, vulnerable people include, but are not limited to the following:

•       Households headed by women or children. It should be noted that not all female
        headed households are likely to be specifically vulnerable but many, particularly those
        headed by aged widows, are potentially vulnerable.
•       People with disabilities.
•       The extremely poor. The definition of what constitutes extremely poor is difficult to
        establish with absolute certainty, particularly within the context of endemic relative
        poverty.
•       The elderly – specifically households where no members are below the age of 60.

Other vulnerable people will be identified in consultation with the community.

The valuation of assets that may be lost during resettlement will be a sensitive issue and it
should be done with care and rigor. This is of particular relevance in cases where
compensation may include multiple options including replacement (land and structures) or
monetary compensation. The general approach to the valuation procedures is summarised
below:

•       Identify Eligibility under National Guidelines: All relevant legislation, policy and
        valuations guidelines defined by the government of Mozambique will need to be
        identified. This will form the basis for the identification of eligibility to compensation and
        valuation methodology.
•       Asset Survey: The asset survey will determine the assets owned by affected
        individuals, households or communities. Preliminary data are available.
•       Valuation Methodology: The valuation process will involve the assessment of national
        guidelines, international best practice and local market research. The outcomes of this
        process should be a set of practical and measurable values/rates for each asset
        category.
•       Entitlement Contracts: Contracts will be produced for affected individuals that will
        contain a summary of all their assets, adopted compensation rates or options and final
        valuations as well as compensation offers.

For the purposes of drawing up the RAP and implementing resettlement a village liaison
committee (VLC) is envisaged. This should form part of the broader Stakeholder
Engagement Process (SEP) that MCA has put in place. This is not a statutory body but
advises on all community related issues and forms part of the consultative process for the
RAP. The VLC will meet as often as is deemed necessary. Following standard accepted
practices, they make relevant documentation available to interested and affected parties. The
consultative body will also make such records, as well as minutes of meetings, available to
the independent monitoring team.

As indicated the identification of a dedicated host site is not required. However the
identification of residential plots to resettle households displaced by the road diversion and,
in the case of the police station, by the spillway is required. For the households on the
eastern side of the dam wall and displaced by the road diversion the most logical
resettlement zone appears to be the area north of the existing road and east of the pump
station and water treatment works. This would mean relocating households a maximum of
150 metres. The Frelimo offices and the police station could also be relocated into this zone.

For the households west of the dam wall it would make sense to relocate structures north of
the existing road. Here relocation would entail a move of no more than 200 metres.

In neither instance should the relocation of the households impact on their livelihood
strategies.
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As indicated some impact on agricultural practise is expected as recession agriculture will
probably become less practical once the dam is re-habilitated. The argument that this
practise was technically illegal and as such should not be taken into account in designing
mitigation has some merit. However given the strategy nature of the project, particularly in
light of the MCC desired goals of alleviating poverty, there are a number of issues that
warrant consideration.

In the first place the fact that no active measures appear to have been taken to fence the
boundaries of the dam and to demarcate limits of resources that can be used by
communities has given rise to the notions that activities in the dam margins are condoned by
authorities. Secondly, there is little room for the dam authorities on site to impose such
restrictions even if they so desired. They lack the authority to police the margins and even if
the attempted to do so community resistance would undermine their license to operate in the
area. Thirdly, alienating the resource form the community is probably not in the best interest
of the developer given the circumstances of poverty and resource scarcity.

What is suggested, both the fulfil poverty alleviation criteria and to mitigate possible impacts
on agricultural practise is to develop the dam and its estate as a community resource area.
To unlock this a number of steps are proposed. These are:

•       Development of the VLC and the MCA into a consultative body as set out in Chapter 8
        and extension of its mandate to cover formulation of a resource management and dam
        zonation plan.
•       Zoning of dam to cater for safety aspects as well as identifying areas that are
        appropriate for resource development.




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                                           TABLE OF CONTENTS
1     Introduction .................................................................................................................... 1
    1.1    Project Overview ..................................................................................................... 1
    1.2    Objectives of this report ........................................................................................... 1
    1.3    Magnitude of Displacement ..................................................................................... 2
2     legal Framework ............................................................................................................. 4
    2.1    Legislative Overview ............................................................................................... 4
    2.2    Applicable Mozambican legislation .......................................................................... 4
      2.2.1      Land ................................................................................................................. 4
      2.2.2      Environment ..................................................................................................... 4
      2.2.3      Resettlement/expropriation and compensation ................................................. 5
    2.3    International Guidelines and Treaties ...................................................................... 5
      2.3.1      MCC................................................................................................................. 5
      2.3.2      World Bank ...................................................................................................... 5
      2.3.3      IFC ................................................................................................................... 6
      2.3.4      World Commission on Dams ............................................................................ 6
    2.4    Gap Analysis ........................................................................................................... 8
3     Existing Data and requirments for the Implmentation Phase RAP .................................. 9
    3.1    Status Quo with regard to resettlement data ........................................................... 9
    3.2    Process for converting the RPF into a full RAP ....................................................... 9
      3.2.1      Task 1 Screening ............................................................................................10
      3.2.2      Task 2: Authority and Community Consultation ...............................................10
      3.2.3      Task 3: Household and Community Surveys ...................................................10
      3.2.4      Task 4: Identification and Evaluation of Resettlement Sites ............................11
      3.2.5      Task 5: Determination and Negotiation of Entitlements and Compensation.....11
      3.2.6      Task 6: Income Restoration and Sustainable Development Initiatives .............12
      3.2.7      Task 7: Resettlement Planning, Scheduling, Budget and Responsibilities .......12
      3.2.8      Task 8: Production of Resettlement Action Plans ............................................12
      3.2.9      Task 9: Initiation of Resettlement and Compensation ......................................12
      3.2.10 Task 10: Monitoring .........................................................................................12
4     Guiding Principles .........................................................................................................14
5     Socio Economic Context ...............................................................................................16
    5.1    Introduction ............................................................................................................16
    5.2    Local Administrative and Authority Structures ........................................................16
    5.3    Demographics and Community and Household Structure ......................................16
    5.4    Livelihood Strategies ..............................................................................................17
    5.5    Employment ...........................................................................................................20
    5.6    Standards of Living ................................................................................................20
    5.7    Gender ...................................................................................................................21
    5.8    Health ....................................................................................................................22
    5.9    Education ...............................................................................................................23
    5.10 Transport and Communication ...............................................................................23
    5.11 Overview of households to be physically displaced ................................................23
6     Eligibility Criteria and entitlements .................................................................................27
7     Valuation and compensation Process............................................................................28
    7.1    General Approach ..................................................................................................28
    7.2    Valuation Guidelines for Asset Categories .............................................................28
      7.2.1      Homestead Structures and other Fixed Property .............................................28
      7.2.2      Land ................................................................................................................31
      7.2.3      Crops and Trees .............................................................................................31
      7.2.4      Graves ............................................................................................................31
      7.2.5      Community Infrastructure ................................................................................32
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    7.2.6     Businesses and Enterprises ............................................................................32
8   Consultation, participation and grievance mechanisims ................................................33
  8.1    Overview ................................................................................................................33
  8.2    Village Liaison Committee ......................................................................................33
  8.3    Grievance Redress ................................................................................................34
9 Host Site and Livelihood Replacement ..........................................................................37
  9.1    Introduction ............................................................................................................37
  9.2    Host Site ................................................................................................................37
  9.3    Community Resource Area ....................................................................................37
10    Institutional arrangements for implementation ............................................................39
  10.1 Implementation Arrangements ...............................................................................39
    10.1.1 Government of Mozambique ...........................................................................40
    10.1.2 Consultative Fora ............................................................................................40
11    Monitoring ..................................................................................................................42
12    Budget for resettlement..............................................................................................44
13    Conclusion and recommendations .............................................................................46
14    References ................................................................................................................47




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                                             LIST OF FIGURES
Figure 1: House made with reeds and plaster and zinc roof .................................................24
Figure 2: Clay Brick house with thatch..................................................................................24
Figure 3: Plaster house with zinc roof ...................................................................................25
Figure 4: Police Station ........................................................................................................25
Figure 5: Toilet/Shower Structure .........................................................................................26
Figure 6: Proposed Grievence Mechanism Process based on IFC Compliance Advisory
    Ombudsman (CAO) recommendations..........................................................................36


                                              LIST OF TABLES
Table 1: Entitlement Framework ...........................................................................................27
Table 2: Costs for structures per model ................................................................................44
Table 3: Values for Trees .....................................................................................................44
Table 4: Summary of Resettlement Costs ............................................................................45



                                     LIST OF ABBREVIATIONS
CBO: Community based organisation
FAO: Food Aid Organisation
GDP: Gross Domestic Product
GPS: Global Positioning System
HH: Household
IBP: International Best Practice
IFC: International Finance Corporation
ILO: International Labour Organisation
NGO: Non-governmental Organisation
ODA: Official Development Assistance
PAP: Project Affected Person
PS: Performance Standards
RAP: Resettlement Action Plan
RPF: Resettlement Policy Framework
SIA: Social Impact Assessment
SEP: Stakeholder Engagement Plan
UNDP: United Nations Development Programme
UNHRC: United Nations Human Rights Council
WB: World Bank
WFP: World Food Programme




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1 INTRODUCTION
1.1     Project Overview

Nacala Dam is located on the Muecula River approximately 35km south-west of Nacala City
and 150km north-east of Nampula City, in Nampula Province, Mozambique. Nacala Dam is
considered to be a large dam. The reservoir or the main body of water, depending on
volume, extends for approximately 2km from the embankment upstream and is
approximately 400m at its widest. The volume of water stored in the reservoir varies based
on management practices and rainfall. The maximum or gross storage capacity is estimated
at 5.3 million cubic metres.

Nacala Dam is the principal water source for Nacala City, and is thus of strategic importance.
A baseline analysis (Baker, 2006) was undertaken in 2006 to determine the water supply
capacity of Nacala Dam and its ability to meet the current and future water demands of
Nacala City. The dam is under stress as a result of the collapse of the bottom outlets,
critically necessitating intervention.

The Government of Mozambique has entered into an agreement with the Millennium
Challenge Corporation (MCC) which is a foreign assistance program based in the Unites
States of America. This agreement provides public funding for water, sanitation and private
sector development. The Millennium Challenge Account (MCA) Mozambique and the
National Directorate of Water propose to rehabilitate and raise the water level of Nacala
Dam. The aim of this project is to improve the safety associated with the use of the dam, and
to increase water storage and supply capacity for the City of Nacala.

As part of this project, a number of activities are proposed, including the rehabilitation and
elevation of the dam wall; an upgrade of the spillway; a road deviation; and the excavation of
materials for these activities. Should Nacala Dam not be rehabilitated, the risk of dam failure
is a concern both in terms of the structural stability of the dam and community safety. The
proposal for the construction project, estimates it to cost US$38 million, will include the repair
and elevation of the dam wall, improving the sluices, and other engineering work.

Expansion of the dam will increase the dam's storage capacity and contribute to solving the
water supply problems in Nacala-Porto city. The expansion will involve building a water
treatment and collection plant with a capacity of 20,000 cubic metres a duct for the
distribution network, reservoirs, and raised water storage tanks. MCA also plans to refurbish
the water supply system in the city of Nampula, and to the town of Monapo.

This project is of high economic and social importance to Mozambique’s Nampula Province
and Nacala-a-Velha. A similar project, the Massingir Dam and Smallholder Agricultural
Rehabilitation project (MDSARP), has already achieved important tangible benefits in terms
of increased crop production and potable water supply and the model could be followed to
enhance peoples’ lives in Northern Mozambique. Furthermore, Mozambique is prone to
floods and there is a serious risk that flooding while the bottom outlets are closed could lead
to a total collapse of the dam with serious consequences to human lives and property.


1.2     Objectives of this report

The project has the potential to displace people due to the need to physically resettle
households so as to be able to construct the new road deviation. The rehabilitation of the
dam will also inundate lands used for recession agriculture. This will arguably lead to loss of
some resources and disruption of livelihood patterns. This triggers international best practise


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safeguards for projects of this nature. In particular the World Bank Op 4.12 and IFC
Performance Standard 5 are relevant as the MCC defaults to these safeguards.

This document, the Resettlement Policy Framework (RPF) for the Nacala Dam, considers
the displacement induced and the measures taken so as to comply with the requirements of
World Bank OP 4.12 and IFC Performance Standard 5. Evidence from resettlement projects
around the world reveals the following fundamental and recurrent risks1:

•       landlessness
•       joblessness
•       homelessness
•       marginalisation
•       increased morbidity and mortality
•       educational losses
•       food insecurity
•       loss of common property and
•       social disarticulation.

This document is not intended as a full Resettlement Action Plan (RAP). The RAP can only
be produced once horizontal alignment is finalised. This document is intended to accompany
the EHSIA suite of reports. However it is designed so that it can be adapted to become the
“backbone of a full RAP.

As such the RPF clarifies the principles for social impact mitigation with regards to
compensation for loss of property, livelihood and relocation or resettlement (of directly
affected people). The operational objective of the framework is to provide guidelines to
stakeholders (including investors and developers) participating in the mitigation of adverse
social impacts of the project, in order to ensure that project affected persons (PAPs) will not
be impoverished by resettlement.

Best Practice implies that PAPs should be: compensated for any attendant loss of livelihood;
compensated for loss of assets at replacement costs; given opportunities to share project
benefits; and be assisted in case of relocation or resettlement. The paramount purpose is to
restore the income earning capacity of the project-affected persons. The aim is to improve or
at the very least sustain the living conditions of the PAPs prior to project operations or to
resettlement. PAPs must be no worse off than prior to resettlement.

1.3     Magnitude of Displacement

Physical resettlement – 19 separate entities are affected. These include 17 residential
homesteads and a Frelimo Party office affected by the road deviation and the local police
station affected by the re-developed spillway.

Economic displacement – This will occur, albeit to a limited extent. There are a number of
households (approximately 30) that live in the village area surrounding the dam and that
make use of the margins of the dam basin to practise recession agriculture. Recession
agriculture makes use of the falling levels of the dam to open up the dam margins for
cultivation. With the re-habilitated dam it is assumed that there will be less dramatic seasonal
fluctuation and as such the amount of land available to recession agriculture will be reduced.
Further, according to the Nacala Dam operational staff this is not legal use of the land.
Technically the dam margins are part of Nacala Dam estate and not part of the community
lands. However community members contest this interpretation. They saw that the
development of the dam resulted in loss of their lands used for cultivation and the fact that no

1
    (Cernea and McDowell 2000)
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effort has been made to stop their cultivation in the dam margins means that by implication
the dam authorities do not dis-approve. This is an important consideration and a critical
concern for many of the residents of the communities in and around the dam.




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2 LEGAL FRAMEWORK
2.1     Legislative Overview

Following many years of conflict in Mozambique, and the recent switch from socialism to
democracy, the country began a process of examining legislation with a view to its
applicability and appropriateness in a democracy. A consequence is that the present
legislative framework for Mozambique is not totally cohesive and contradictions in legislation
and policy can be expected.

In addition, and of importance to the Nacala Dam EIA project, is that although there is a
democratically elected Government in Mozambique, traditional leaders remain recognised for
their valuable role, particularly at the level of local government. Nevertheless, the
Government of Mozambique is the highest authority in the country with extensive and
expansive powers of eminent domain. This power grants them the ultimate say over land use
and enables them to make changes to land use through decrees issued at any of the
appropriate levels of government.

2.2 Applicable Mozambican legislation

2.2.1    Land

Law Number 6/79, which has been in force since 25 September 1979, is the primary element
of legislation determining access to and the allocation of land. Under this law, land in
Mozambique belongs to the State. The Nacala Dam as a national asset with state ownership
has an embedded entitlement to use of land.

2.2.2    Environment

The Mozambican Constitution lays out certain principles relating to the environment. These
principles are, however, general in nature and, for the most part, are not backed by specific
and applicable legislation.


Environmental Law Number 20/97 was passed in July 1997. Extracts of this law relevant to
the Nacala Dam rehabilitation project, are as follows:

•       Environmental Law is applicable to all public and private activities that may influence
        the environment either directly or indirectly.
•       Polluters, or anyone who degrades the environment, are obliged to remedy the
        pollution, repair the damage or compensate financially for the resulting damage.
•       The Law forbids pollution of the environment at any stage of a project.
•       Law Number 20/97 stipulates the obligation of the Government in determining
        standards for environmental quality.
•       Also, it forbids the establishment of infrastructures, which by virtue of size, nature or
        location may cause a significant negative impact on the environment.
•       Lastly, the Law forbids all activities that may threaten the conservation, reproduction,
        quality and quantity of biological resources, especially those in danger of extinction.

Furthermore, as a consequence of meeting the requirements of a convention established for
proposed industrial development projects in Mozambique, the GOM has formulated a
National Strategy and Action Plan for the Conservation of Biological Diversity. The primary
objectives of this plan are to conserve biological diversity, promote the sustainable use of its
components and to encourage the equitable sharing of benefits arising out of the utilisation of
genetic resources. MICOA (Ministry for the Co-ordination of Environmental Affairs) is
responsible for the administration of the Strategy and Plan.
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2.2.3    Resettlement/expropriation and compensation

At present, there is no legislation or policy guiding the resettlement of people in Mozambique.
The Constitution of Mozambique states that all land is owned by the State. As such, it is not
necessary for the State to compensate or consult existing land- users in the case of
involuntary resettlement.

The Regulamento Lei Ordenamento do Territorio (2008) sets out criteria for orderly planning
of settlements. Although not strictly a set of legal steps for resettlement it sets out how the
planning of settlements should be enacted.

Furthermore, investigations indicate that there are “general action” steps that are followed in
the case of involuntary resettlement:


1. Submission of application: The relevant government authority (depending on the size of
land involved) would be:
•     District Agricultural Officer: Family sector agricultural lands usually less than 20 ha in
      size.
•     President of the Urban Authority: Family residential plots in urban areas.
•     Provincial Governor: Larger units of land (urban or agricultural). Once an application
      has been approved, requirements are determined according to future land-use, and
      suitable sites for development are identified.
2. Identification of alternative residential sites: The identification of sites for affected people is
the responsibility of the local authority. The local authority is also responsible for compiling a
register of all affected people.
3. Construction: The applicant then undertakes construction of houses for the affected
people.
4. Transport: Furthermore, the applicant is responsible for providing transport to facilitate the
resettlement of affected people at the new site.

These “general steps” are, however, not authenticated policy or procedure of the GOM and
appear to be unknown to the local people. Rather, local people seem to accept that they will
be shown a new residential site without any additional assistance from the State or
developer. In the case of Nacala Dam the developer has undertaken to go further and adopt
“international best practise”.

2.3     International Guidelines and Treaties

2.3.1    MCC

The MCC does not have an internal document that prescribes approaches to resettlement.
However it subscribes to international best practise and in particular the World Bank OP
4.12.

2.3.2    World Bank2

World Bank Operational Policy 4.12 (World Bank, 2004) is seen as the standard set of
resettlement guidelines internationally. The fundamental objective of resettlement planning,
as encapsulated in OP 4.12 is to avoid resettlement whenever feasible, or, when
resettlement is unavoidable, to minimize its extent and to explore all viable alternatives.

2
 Detailed guidelines for preparing a RAP and an abbreviated RAP are available on the World Bank’s website
(www.worldbank.org) and in the World Bank’s Resettlement and Rehabilitation Guidebook. The IFC (www.ifc.org)
has a similar site and a similar handbook (IFC: Handbook for Preparing a Resettlement Action Plan).
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Where land acquisition and involuntary resettlement are unavoidable, resettlement and
compensation activities are carried out in a manner that provides sufficient opportunity for the
people affected to participate in the planning and implementation of the operation.
Furthermore, if incomes are adversely affected, adequate investment is required to give the
persons displaced by the project the opportunity to at least restore their income.

2.3.3   IFC

IFC Performance Standard 5: Land Acquisition and Involuntary Resettlement (IFC, 2006)
was developed by the IFC (as part of the World Bank group) from OP 4.12. IFC Performance
Standard 5: Land Acquisition and Involuntary Resettlement (IFC, 2006) relates to
resettlement directly. This document states:

“Where involuntary resettlement is unavoidable, the client will carry out a census with
appropriate socio-economic baseline data to identify the persons who will be displaced by
the project, to determine who will be eligible for compensation and assistance, and to
discourage inflow of people who are ineligible for these benefits. In the absence of host
government procedures, the client will establish a cut-off date for eligibility. Information
regarding the cut-off date will be well documented and disseminated throughout the project
area.”

This is a critical policy document for this RAP, and states the following basic principles in
terms of resettlement:
•     To avoid or at least minimize involuntary resettlement wherever feasible by exploring
      alternative project designs.
•     To mitigate adverse social and economic impacts from land acquisition or restrictions
      on affected persons’ use of land by:
      • Providing compensation for loss of assets at replacement cost.
      • Ensuring that resettlement activities are implemented with appropriate disclosure of
      information, consultation, and the informed participation of those affected.
•     To improve or at least restore the livelihoods and standards of living of displaced
      persons.
•     To improve living conditions among displaced persons through provision of adequate
      housing with security of tenure at resettlement sites.

The IFC also requires that the provision of compensation and the restoration of livelihoods of
those affected are ensured prior to any actual resettlement.

In particular, the policy requires that possession of land for project activities may take place
only after compensation has been paid, or alternatively, if adequate guarantees of
compensation have been made to the PAPs satisfaction. If the latter is chosen compensation
payments must not be delayed once resettlement has taken place. Resettlement sites, new
homes and related infrastructure, public services and moving allowances must be provided
to the affected persons in accordance with the provisions of the RAP.

The policy further requires particular attention to be given to the needs of vulnerable groups.
These are generally defined as those below the poverty line, the landless, the elderly,
women and children, indigenous groups, ethnic minorities, orphans, and other disadvantaged
persons.

2.3.4   World Commission on Dams

With support from the World Bank and IUCN, the independent World Commission on Dams
(WCD) was created in May 1998. Its mandate was to review the development effectiveness
of dams, and to develop standards and guidelines for future dams.
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During its two-year lifetime, the WCD reviewed experiences from 1,000 dams in 79 countries.
The WCD concluded that while “dams have made an important and significant contribution to
human development,” in “too many cases an unacceptable and often unnecessary price has
been paid to secure those benefits, especially in social and environmental terms, by people
displaced, by communities downstream, by taxpayers and by the natural environment.” For
example, dams have physically displaced 40-80 million people worldwide, and most of these
people have never regained their former livelihoods. In many cases, dams have led to a
significant and irreversible loss of species and ecosystems, and efforts to mitigate these
impacts have often not been successful.

To improve development outcomes of water and energy projects, the World Commission on
Dams presented a new framework for decision-making based on recognizing the rights and
assessing the risks of all interested parties. The WCD framework puts forward seven general
“strategic priorities” each based on a set of “policy principles.” A set of 26 “guidelines for
good practice” lay out specific actions for complying with the strategic priorities at five key
stages of the project development process.

After publishing its final report in November 2000, the WCD dissolved. Several governments
– including Germany, Nepal, South Africa, Sweden and Vietnam – have organized dialogue
processes to integrate WCD recommendations into national policy. The World Bank, export
credit agencies and the International Hydropower Association, while critical of specific
recommendations, have endorsed the WCD’s strategic priorities. The following are key
recommendations of the WCD.
• Development needs and objectives should be clearly formulated through an open and
    participatory process, before various project options are identified.
• A balanced and comprehensive assessment of all options should be conducted, giving
    social and environmental aspects the same significance as technical, economic and
    financial factors.
• Before a decision is taken to build a new dam, outstanding social and environmental
    issues from existing dams should be addressed, and the benefits from existing projects
    should be maximized.
• All stakeholders should have the opportunity for informed participation in decision-making
    processes related to large dams through stakeholder fora. Public acceptance of all key
    decisions should be demonstrated. Decisions affecting indigenous peoples should be
    taken with their free, prior and informed consent.
• The project should provide entitlements to affected people to improve their livelihoods
    and ensure that they receive the priority share of project benefits (beyond compensation
    for their losses). Affected people include communities living downstream of dams and
    those affected by dam-related infrastructure such as transmission lines and irrigation
    canals.
• Affected people should be able to negotiate mutually agreed and legally enforceable
    agreements to ensure the implementation of mitigation, resettlement and development
    entitlements.
• The project should be selected based on a basin-wide assessment of the river ecosystem
    and an attempt to avoid significant impacts on threatened and endangered species.
• The project should provide for the release of environmental flows to help maintain
    downstream ecosystems.
• Mechanisms to ensure compliance with regulations and negotiated agreements should
    be developed and budgeted for, compliance mechanisms should be established, and
    compliance should be subject to independent review.
• A dam should not be constructed on a shared river if other riparian States raise an
    objection that is upheld by an independent panel.

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2.4     Gap Analysis

As is evident, regulations and laws relating to resettlement are, in general, not well defined.
Furthermore, Government policies are in a state of change, making the application of existing
laws difficult. Also, the Government, at present, lacks sufficient capacity to fully enforce
legislation, regulations and policies. As a consequence, many are often ignored or poorly
implemented.

Although accommodated within the resettlement panning mooted for the Nacala Dam
project, these limitations do not detract from the primary objective of resettlement planning,
viz. to ensure that resettled people are not adversely affected by the investment project.
Despite poorly defined or non-existent legislation, the resettlement planning process will be
designed in such a way that it ensures that the best interests of affected people is
fundamental to any decision.

Where available and applicable, existing Mozambican resettlement legislation, regulations
and policies will be followed. In addition, World Bank policies, procedures and standards
have been considered. At times this can be problematic because Mozambican legislation
and World Bank policies, procedures and standards appear to be in conflict. For example:
• In most cases, legislation makes no provision for community participation. In contrast,
   World Bank policies, procedures and standards are centred on this basic principle.
• In Mozambique there appears to be no clearly defined resettlement planning procedure.
   In contrast, the World Bank advocates the formulation of a Resettlement Action Plan.
• Within Mozambican legislation, neither financial compensation for the loss of assets nor
   the affects of resettlement on the present means of income are considered. The World
   Bank, however, stipulates that compensation for lost assets must be made prior to
   resettlement at full replacement cost. Furthermore, affected people must be left, in at
   least the same, but preferably in an improved state as a result of the resettlement action.
• Mozambique legislation does not call for resettlement to be guided by prior and informed
   consent or to be consultative in its planning. Both of these are key elements for World
   Bank and international Best practise requirements.


Given the above apparent and real contradictions, the RAP takes into account legislation,
regulations and policies but simultaneously interprets them in such a way that expansion and
improvement are possible.




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3 EXISTING  DATA    AND                                REQUIRMENTS                FOR         THE
  IMPLMENTATION PHASE RAP

3.1       Status Quo with regard to resettlement data

As indicated this is not a full RAP. However a considerable amount of data has been
collected to data and this will simply conversion of the RFP into a full RAP. Three week long
field visits have been carried out to collect data. The first was undertaken in October 2009 to
generate a scoping level understanding of potential social impacts as well as resettlement
requirements. In February 2010 a household survey was conducted in Nacala Barragem, the
villages around the dam, with 21 of the potentially affected households. This was a full
sample of the largest land users in the dam basin. A household in this study refers to an
extended family (led by a patriarch), which forms an economic unit (living in the same
compound, working the same communal land and eating together).The household
questionnaire is attached as Appendix 1.

In late April 2010 the design of both the spillway as well as the road deviation was advanced
enough to be able to identify households likely to have to be physically displaced. As such a
third visit was undertaken in May 2010. All 17 households potentially impacted were
interviewed. Details of the Frelimo office affected were also collected. The police station was
not interviewed as no senior officers willing to answer the survey were present at the time of
the fieldwork.

Households were interviewed and the required fixed assets belonging to each household
have been described and measured. As per IFC guidelines the following information was
collected during the survey:

      •    Household demographic data: This includes details on the age, sex, relationship to
           household head, education and occupation of each household member;
      •    Household structures;
      •    All secondary structures owned by the homestead owner;
      •    Economic activities (if any) undertaken on the site;
      •    Disease and illness - the incidences of disease or illness amongst household member
           in the last six months was established;
      •    Deaths and births- details of deaths and births within the household in the past year
           were established;
      •    Household income and expenditure -details of average annual income, monthly
           sources of income, annual agricultural sales and sales sources were established;
      •    Material possessions- ownership of a predetermined collection of possessions (e.g.
           bicycle, radio, cell phone, iron kettle, plastic chairs,) was used to determine the socio-
           economic status of the households
      •    Economic access -in particular this allowed the consultant to concentrate on any
           economic disruption of households that may occur due to the development of the
           project;
      •    Usage of social infrastructure – e.g. nearest schools.

3.2       Process for converting the RPF into a full RAP

This section describes the tasks that will be required to convert the RPF into an World Bank
compliant RAP.




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3.2.1   Task 1 Screening

The RPF is a very detailed screening exercise and as such the RAP would simply have to
update this document.

3.2.2   Task 2: Authority and Community Consultation

Successful resettlement ensures stakeholder participation during all stages of the
resettlement. Stakeholders may be defined as any individuals or group that may be affected
or have some vested interest in the resettlement, or play a critical role in developing the
resettlement process.

Consultation with affected people and stakeholders is mandatory and the single most critical
component in the resettlement process. Without effective consultation “due process” and
best practice will not ensue. Effective authority and community consultation should include
the following:
•     Information exchange: Awareness building of the project and the resettlement should
      be promoted in local communities.
•     Capacity Building and Education: Affected people should be informed of their options
      and rights pertaining to resettlement and compensation.
•     Participation Promotion: All stakeholders should be allowed to openly voice their
      concerns, any issues and possible disputes without fear of recrimination.
•     Discussion and Negotiation: Affected people should be consulted with, and offered
      choices among technically and economically feasible resettlement and compensation
      alternatives.

The process undertaken for the RPF has built the foundations for this process

3.2.3   Task 3: Household and Community Surveys

A critical aspect in undertaking a resettlement programme is to determine the existing socio-
economic context of potentially affected households and communities. This is accomplished
by undertaking a suite of socio-economic studies, including:

   1. Mapping: Depending on data availability, the resettlement process may be supported
      by a Geographic Information Systems (GIS) interface and field mapping. Maps may
      include both socio-economic spatial patterns and natural features (such as
      vegetation, soils) of the resettlement site and host site.

   2. Census: A census will be undertaken of directly affected households (i.e. either
      physically or economically displaced) to provide socio-economic and demographic
      baseline information. These will include households that have leased land and will
      establish baseline incomes. This census is critical as it provides a register of affected
      households and allows for the determination of households that are eligible for
      compensation and for protection under the auspices of the RAPs.

   3. Asset Inventory: The asset inventory records all permanent and temporary losses
      likely incurred by households, enterprises and communities as a result of the
      proposed project. This inventory will focus on individual, households and community
      losses of physical structures and loss of access to natural resources. This includes:
              Homesteads and homestead structures
              Trees and natural resources
              Graves associated with each household
              Community resources including schools, churches and health facilities
              Community land and natural resources
              Sites of cultural or historical importance
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                 Suite of assets owned e.g. bicycles, television, radios, mobile phones, etc.

These are in place as part of the data already collected and described in Section 3.1 above.
However no moratorium on development is in place and as such people in the project area
are not prohibited from developing thjeir homesteads or other assets. Depending on when
the resettlement needs to take place for the Nacala Dam the existing data may have to be
revisited and updated.

3.2.4    Task 4: Identification and Evaluation of Resettlement Sites

Resettlement requires the physical relocation of people to a new site or location. The process
of identifying and selecting potential resettlement sites should be transparent and include
consultation with affected households and notably the host community.

Ideally, multiple resettlement sites should be considered and made available for individual
households to select their preference.

However in the site selection process the following should be considered:

•       Location
•       Access to natural resources
•       Maintaining community structure
•       Continued access to existing economic activities
•       Impacts on host communities
•       Land ownership and tenure rights

From discussion held to date it appears as if all physical resettlement will take place in and
around the village of Barragem. As such there will be resettlement plots developed but no
requirements for a host village to be developed.

3.2.5    Task 5: Determination and Negotiation of Entitlements and Compensation

The resettlement process will be required to identify households, individuals and
communities that are deemed to be entitled to compensation. The nature of the entitlement
will vary between each individual and households. For the most part the operation entity and
unit of entitlement is envisaged as being the household as a whole. In some instances this
may have to be re-examined and negotiated with individuals within the household. These
criteria need to be defined early in the resettlement process and should be agreed to by all
stakeholders.

Affected households, individuals and communities are entitled to compensation based on
agreed values. Multiple compensation options should be discussed with affected parties via
the consultative fora in order to obtain agreement on the adequacy and acceptability of the
compensation package. Compensation valuations should focus on the following:

•       Compensation options in terms of replacement of homesteads, structures and
        replacement land for physical resettlement – again this will be negligible.
•       Relocation and replacement of any community structures (i.e. the police station and the
        Frelimo offices).




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For the purposes of this document the values of the structures to be replaced have been
valued and as such there exists estimates of the value of the impacts of resettlement. The
value of crops around the dam that may be destroyed is not know as this is particular to the
point at which impact is manifest. However it is unlikely that this will be significant. In fact the
nature of the development is such that the timing of the rising water associated with the dam
rehabilitation will have been made known prior to planting and no significant impact would
occur.

3.2.6    Task 6: Income Restoration and Sustainable Development Initiatives

Economic displacement and disruption of livelihoods is often an ‘invisible’ impact of
resettlement. In essence, resettlement may lead to the disruption of income-earning capacity
or livelihood strategies such as subsistence farming. Often the restoration of income streams
and livelihoods lost during the resettlement is difficult to value and thus often overlooked. In
the case of Nacala Dam the physical displacement process should have a negligible impact
on livelihoods as economic assets are not being acquired or destroyed. In the case of the
recession agriculture this aspect will have to be examined in more detail.

3.2.7    Task 7: Resettlement Planning, Scheduling, Budget and Responsibilities

The RAPs should provide detailed information in terms of resettlement planning, schedules,
budget and responsibilities. These various components should be developed based on the
outcomes of the previous steps, negotiated and discussed with the consultative fora and
relevant authorities. Some of the key factors that need to be defined include:

•       Resettlement Planning: Define overall strategy in terms of resettlement, likely phasing
        and means of compensation. Further consideration will be needed in terms of
        construction of any resettlement structures, labour and other issues.
•       Scheduling: Define timing for resettlement in terms of the physical resettlement,
        payment of any cash compensation and ensure it aligns with any civil engineering
        required by the project.
•       Budget: Resettlement costs are often underestimated and thus detailed
        budgeting/costs for the implementation of the resettlement should be provided.
•       Role and Responsibilities: Organisational structures and responsibilities must be
        clarified prior to resettlement. This includes all actions that must be adopted by relevant
        stakeholders including, amongst others, the proponent and government departments.

Typically the preparation of each individual RAP will run over more than six months. Time
frames are often dictated by the consultative process that has to be followed and the need to
reach agreement with affected people. Pointers with regard to these aspects are developed
as part of this RPF.

3.2.8    Task 8: Production of Resettlement Action Plans

The Resettlement Action Plan (RAP) is a plan that provides a synthesis of the outcomes of
the above tasks.

3.2.9    Task 9: Initiation of Resettlement and Compensation

The physical resettlement and compensation should be initiated in line with the relevant
RAP. Overall responsibility for the implementation of the RAPs will lie with the proponent but
managed by a resettlement team, with close co-operation from local authorities.

3.2.10 Task 10: Monitoring


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Monitoring is a critical part of a resettlement project. The database as established and
described in Task 3 is designed to provide a baseline against which all standard World
Bank/IFC indicators for resettlement can be monitored. Requirement for monitoring are set
out in Chapter 11.




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4 GUIDING PRINCIPLES
The core principle of resettlement is that no one defined as project-affected, should be worse
off after resettlement. Indeed international best practice goes further than this and stipulates
that resettled people should be project beneficiaries. While these are noble sentiments and
need to be borne in mind, practical application is often impossible. Definitions of what
constitutes “worse off” are difficult to define with universal acceptance. The notion of whether
the principle applies to every individual or to a household is also hotly debated. In order to
ensure, however, that the core principle is borne in mind, the following are sub-principles that
the developer will adopt with respect to the resettlement process.

The core principle of resettlement is that no one defined as project-affected, should be worse
off after resettlement. Indeed international best practice goes further than this and stipulates
that resettled people should be project beneficiaries. While these are noble sentiments and
need to be borne in mind, practical application is often impossible. Definitions of what
constitutes “worse off” are difficult to define with universal acceptance. The notion of whether
the principle applies to every individual or to a household is also hotly debated. In order to
ensure, however, that the core principle is borne in mind, the following are sub-principles that
the developer will adopt with respect to the resettlement process.

Principle 1: Resettlement Must Be Avoided or Minimised
Action: To comply with the principle the developer will demonstrate that the proposed
resettlement is both necessary and viable, and that its scope and extent cannot be lessened.
The current layout of of the spillway and road deviations has taken the location of villages
into account, in order to avoid all villages and exclude these from resettlement impact where
ever possible.

Principle 2: Genuine Consultation and Participation Must Take Place
Action: Given its focus on resettlement, the primary concern of the resettlement planning will
be to take seriously the rights and interests of the displaced and “to-be-resettled” people.
Structures and procedures need to be put in place for this to occur, which will be through the
formation of a local level consultative forum. This consultative body will be given official
recognition within the MCA/Nacala Dam implementing agencies institutional framework.
Project boundaries should be made known to all interested and affected parties and should
not be changed without sufficient consultation and notice.

Principle 3: A Pre-Resettlement Data Baseline Will Be Established
Action: To support the successful re-establishment of affected homesteads, the following
activities will be undertaken prior to displacement or property acquisition:
•      An inventory of landholdings and immovable/non-retrievable improvements (buildings
       and structures) to determine fair and reasonable levels of compensation or mitigation.
•      A census detailing household composition and demography, and other relevant socio-
       economic characteristics.

The asset inventories will be used to determine and negotiate entitlements3, while the census
information is required to monitor homestead re-establishment. The information obtained
from the inventories and census will be entered into a computerised database to facilitate
resettlement planning, implementation and monitoring.

Principle 4: Assistance with Relocation to be Made Available
Action: MCA and or its agents will provide transport for affected households’ assets from the
impacted homesteads to new locations.


3
 Entitlement is the standard resettlement nomenclature and refers to what people who are defined as project
affected can expect in terms of the compensation package.
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Principle 5: A Fair and Equitable Set of Compensation Options Must Be Negotiated
Action: MCA and its agents will guarantee the provision of any necessary compensation for
people who will be disturbed to make way for the dam and road, or any other disturbances of
residence and/or productive land associated with the project in accordance with the Law and
not below the rates as set out by law. Compensation will be according to set rates that are
deemed fair and equitable to all parties. No one will be resettled without full and fair
compensation having been handed over.

Principle 6: Resettlement Must Take Place In Accordance With Legal Requirements
And International Best Practice
Action: Resettlement and compensation of PAPs will be carried out in compliance with
Mozambican legislation and the requirements of the World Bank OP 4.12 and IFC
Performance Standard 5.

Principle 7: Vulnerable Social Groups Must be Specifically Provided For
Action: Special account of vulnerable groups will be taken in the consultation and planning
processes, as well as in establishing grievance procedures. In particular, physically disabled
and weak persons, female-headed households, child-headed households, the aged and
youth may be disadvantaged This will entail that MCA specifically identifies vulnerable social
groups in the pre-resettlement database and makes provision for them to be included in
consultative fora. Data derived from the pre-resettlement baseline survey will assist in a real
definition of vulnerable households.

Principle 8: Resettlement Must Be Seen as an “Upfront” Project Cost
Action: MCA will ensure that compensation costs, as well as those resettlement costs that
fall within their scope of commitment, are built into the overall project budget and are clearly
defined as such. Experience across the world shows that unless resettlement is built in as an
“upfront” project cost, it tends to be under-budgeted, that money gets whittled away from the
resettlement budget to ‘more pressing’ project needs, and that it tends to be seen as
peripheral to the overall project.

Principle 9: An Independent Monitoring Procedure Must Be In Place
Action: An independent team will monitor the implementation of the resettlement
components of the project. Monitoring will specifically take place via measurement against
the pre-resettlement database.

Principle 10: A Grievance Procedure Must Be In Place
Action: Grievance procedures will be organised in such a way that they are accessible to all
affected parties, with particular concern for the situation of vulnerable groupings. The
resettlement planning documents will spell out a grievance process.




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5 SOCIO ECONOMIC CONTEXT
5.1     Introduction

Mozambique was a Portuguese colony for five centuries till it earned its independence in
1975 following an eleven-year war. A Marxist government took over the country at the time,
which soon led to a 15-year civil war, ending in 1992. The ruling government formally
abandoned Marxism in 1989 making way for free market economy. A UN-negotiated peace
agreement with rebel forces ended the fighting in 1992. During the civil war, Mozambique
lost nearly its entire infrastructure and hundreds of thousands of lives.

Nampula province belongs to the northern region of Mozambique and the municipality of
Nacala Porto is an independent administrative unit that borders with Memba, Nacala-a-Velha
and Mossuril districts. Nacala Porto is situated on the east coast and is one of Mozambique’s
main ports. It is part of the Nacala corridor that links the coastal region to the city of
Nampula, Niassa province and neighbouring Malawi. This has brought a relatively high
degree of economic activity and commerce to the area.

However, for the peri-urban and rural populations living outside the town centre of Nacala,
fishery and small-scale agriculture (cassava, rice, cashew and coconut) remain the main
sources of family income. Traditionally the northern parts of the country are characterized by
matrilineal kinship systems. The majority of the population adheres to Islam and the Macua
are the principal ethnic group. HIV prevalence is significantly lower in comparison with the
central and southern regions of the country. Nampula province has an HIV incidence rate of
9.4 percent (Food and Agriculture report: Northern Mozambique. UN, 2007).

5.2     Local Administrative and Authority Structures

Nacala Dam is located in Nampula Province, with the capital being Nampula City. The
province is divided into 20 districts of which the Nacala-A-Velha District is relevant to this
study. The Nacala-A-Velha District is further divided into Nacala-a-Velha (Sede) Locality.

Neighbourhood (bairro) secretaries were appointed many years ago in the one-party-state
era as the lowest level of both party and government structures. They carry out semi-official
government functions, such as signing certificates indicating residency, couple co-habitation,
and access to agricultural land given to certain people and under certain conditions.

The project area falls into the Moilete Bairro, which has a typical bairro leadership of a
president or chefe, vice president or cabo, secretary or regulo and council members.

5.3     Demographics and Community and Household Structure

The Nacala-A-Velha District has a total population of 89 336, 45 938 are females and 43 398
are males. Also relevant to this study is the population of Nacala City, which would be the
primary benefactor of improved water supply. Based on Census 2007 (Instituto Nacional de
Estatística, 2007) Nacala Port District has a population of 207 894.




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The community and household structure of the village located adjacent to the dam is
characteristic of rural villages in Mozambique. Such villages have concentrated numbers of
households within a defined area which shows a sharp transition to true rural scattered
households in the village outskirts. This linear settlement is due to the Communal Village
Programme of the FRELIMO Government that was carried out in the 1970s and 1980s. In
the aftermath of Mozambique’s successful bid for independence, the new single-party,
Marxist Front for the Liberation of Mozambique (FRELIMO) government began instituting a
massive “villagization” scheme. FRELIMO believed communal villages would be an efficient
way to manage the redistribution of scarce resources and services to the peasantry as well
as to urbanize and modernize the countryside. They would also be a useful response to
internal insecurity.

Schools, literacy classes, and health clinics were launched in some villages, and young
people found village living appealing socially. It also facilitated expanded communication and
the sharing of news. At the same time (even at the outset) reactions to the “villagization”
schemes depended largely on their effects on individuals’ livelihood and future economic
prospects. Small traders viewed themselves better off in villages, as they had a larger
clientele.

In contrast, as is the case in counter-insurgency campaigns, those who worked mainly on the
land and found themselves living far from their fields found “villagization” more difficult.
Increased distance to farmers’ fields adversely affected productivity and also differentiated
economically between farmers who lived further from or closer to their fields. But, in those
areas where people were particularly unhappy with “villagization”, RENAMO found a
population with no great desire to inform on them, and even had an active welcome. For
example, in the northern province of Nampula, RENAMO had its greatest successes in those
areas where villagization had been most extensive, but where populations found the new
way of living difficult.

Typically mashamba (rotational subsistence agricultural fields) are located outside the
villages and vary from small homestead gardens to 1 hectare fields located on the outskirts
of the village. The local village has developed in a linear fashion along the N12. Transport
corridors in Mozambique play a vital role in terms of economic development and the N12
may play a vital role in the development of the town.

Households or families tend to be centred on the homestead, which are the physical
structures that make up the living area occupied by the household. The homestead is
generally made up of a primary household with a number of secondary structures including
kitchens, toilets and secondary residential units.

5.4     Livelihood Strategies

Subsistence agriculture in conjunction with an informal economy is the dominant livelihood
strategy for local households and communities. Subsistence agriculture is primary aimed at
producing basic foods for households with any surplus food being sold at local markets. At a
regional level the dominant crops include cassava, maize beans and seasonal crops.
Location, soil quality and water are the driving factors in terms of crop type.

 Almost all of the land that will in the project iarea s agricultural land, used for gardens
(mashamba) in varying degrees of shifting cultivation. Most of the woody vegetation consists
of fruit trees, such as cashew and mango trees. There is very little left of the natural
vegetation, due to clearing for mashamba. There are no conservation areas either for forest
or wildlife in the vicinity of the dam. No areas with specific conservation needs were
observed.


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The project area is comprised of a mosaic of different land uses. There are both extensive
and intensive agricultural areas with patches of natural vegetation punctuated by mango and
cashew nut trees in and around the homesteads.

Subsistence agriculture is the dominant land-use. Mashamba, or small subsistence-based
agricultural fields, are the primary units in terms of farming and vary from small plot gardens
to larger fields. A number of mashamba are located along the seasonal inundation area
along the perimeter of the dam reservoir.

Rural livelihoods depend on access to land. Customary land tenure rules apply in the area.
Through customary law, ownership of land is vested in the government who in turn gives it to
the chiefs and communities to divide up; it can never be owned freehold. Land always
belongs to the communities under the different forms of tenure under customary law.

In the area, the customary land tenure system is based on family tenure. This is based on
lineage which unites all the descendents of a particular farmer who had been given use of a
certain area of land. When the individual dies, the land is inherited by his immediate family or
next of kin. Families owning large pieces of land allocate portions of it to individual members
of the family for the purpose of establishing their individual mashamba.

Land is regarded by the local landowners as their most precious possession. It is their only
security in an otherwise economically insecure environment. Even if yields are poor, land is
still regarded as a safeguard for the maintenance of their livelihoods and those of future
generations.

The greater population around the dam have dry land mashamba, which are away from the
dam and rely on ground water. Very few households have access to the coveted wet land
mashamba which are around the dam and along the small inlets that feed into the dam.

There are about 30 “dam/river mashamba” owners affected by the proposed project. In
addition to small plots of land around the dam all have larger portions of land that have been
given to them by the local bairro administration. The mashamba owners divide their land into
small portions and pay people to work on each portion. The work includes cleaning and
clearing of vegetation, but not planting. Only family members plant, tend and harvest their
crops.

Clearing and cutting normally happens in February and March, for both seasonal reasons
and financial reasons. People who work on these dryland mashamba usually need money at
this time of the year, due to their own mashamba not producing enough food to feed their
families during these months. The large dam/river mashamba produce all year round.

During the dry season and when the dam level is low there are about 235 people who plant
very small areas of land in the dry river beds that form tributaries to the dam, but these
people operate on a year-to-year basis, and are opportunistic farmers. They all have
mashamba of their own elsewhere. During the dry season they plant tomatoes and onions in
the river mashamba, or dry river and dam inlet beds, in order to sell, and plant cassava,
maize, and peanuts on their own plots.

Almost everybody cultivates during the rainy season while fewer people cultivate during the
dry season. Those who cultivate during the dry season generally cultivate smaller areas. A
general observation is that households overestimated the areas they cultivate; estimates
often referred to the past or may have included fallow land. Through discussion with local
farmers it was estimated, very roughly, that 0.5 of a hectare per adult person was required
for food security and cash to purchase daily necessities.


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The main animal husbandry practices in the area are chicken and duck rearing, but some
people also have goats.

Livestock is a minor economic livelihood in the area; only about 30% of the population keep
livestock other than ducks and chickens. Local residents mainly keep small ruminants and
poultry. They do not keep cattle, or pigs. The average number of chickens per household is
six, and the average number of ducks per household is seven, with only seven households
keeping a combined total of 35 goats.

There is a large range in the number of chickens and ducks per household, from 10 to 14,
and 1 to 23 respectively.

Animals are kept near the homestead, and cared for predominantly by the women. Goats
and ducks are generally kept for sale in situations of urgent need for cash; and are rarely
consumed, except at important socio-cultural events.

There is a high dependence on shared water resources in the area, with families collecting
water from the dam, from boreholes, from self-dug wells and from community-financed hand
pumps.

Fishing within the Nacala Dam and the Muecula River functions as a supplementary
economic activity in the area. This is because access to salt water fish from Nacala is difficult
due to distances, and therefore expensive. Fish, however, seems to be a relatively
unimportant part of the local diet.

As a result of poor agricultural returns, the commercialisation of charcoal has become an
important livelihood strategy in the area for those people who have dry land mashamba and
face crop failure. Some interviewees labelled charcoal production as a ‘lifesaver’.

Both men and women make charcoal, which is regarded as labour intensive. Wood is
collected in fallow land belonging to the charcoal producer or belonging to other members of
the community. In the latter case permission to collect wood is required, but no remuneration
is necessary as wood collection for charcoal constitutes assistance with land clearing for
cultivation. Collected branches are chopped, stacked up in mounds and covered with grass
and soil. A smouldering fire inside the mound slowly burns the wood to charcoal over a
period of approximately 1 week.

Charcoal is produced solely for sale and is not locally consumed. The level of exploitation of
wood for charcoal clearly has a significant effect on the natural resource base.

Local residents identified the natural flora as an important livelihood resource in terms of
medicine, construction, firewood and food. No ethno-biological study was conducted within
the scope of the SIA. However from the focus groups and from the mashamba mapping
exercise it was clear that indigenous flora is an important resource. The availability of useful
plants is greater during the rainy season than the dry season.

Leaves, bark, roots and fruits are used. Both men and women collect wild plants. Wild fruits
are generally collected opportunistically by children and women for subsistence, but are
occasionally sold. Some fruits are available throughout the year. Wild leaves are used as
vegetables. Although no nutrition study was conducted, it could be that wild fruits and leaves
may be important to the local population as a source of vitamins and minerals and in times of
food shortage.




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                               Resettlement Policy Framework – Nacala Dam

Poverty and a poorly stocked local clinic causes a number of families to turn to self-
medication, rather than seeking help from western health services. Medicinal plants, which
may be collected by the user or by traditional healers and herbalists, are an important
resource for the local population.

5.5     Employment

Formal labour in the immediate vicinity of Nacala Dam is limited. As with much of
Mozambique, migration of males to local, regional and international centres is common.
Migrant remittances form a major component in terms of cash availability.

Most villages have a small number of artisans, including carpenters, masons, bakers, tailors,
bicycle and radio mechanics amongst the men and hairdressers and embroiderers amongst
the women. Most artisans who produce for the local market invariably also farm.

Little formal commercial activity takes place in the area. There are a few small trading stores,
and two substantial markets, one of which is permanent. Traders do periodically visit the
area to sell clothing, seeds and other daily necessities. This is however very infrequent
during the rainy season.

Informal commerce, however, is an important part of the local economy. During the fieldwork,
local vendors selling fruit were encountered. These sales were often motivated by the need
for small amounts of immediate cash.

The only state offices/presences identified in the area were the police checkpoint and the
bairro offices. The only state employees in the area are a teacher in a primary school; a
nurse in the clinic, and his support staff; the bairro leadership; and the police at the
checkpoint.

5.6     Standards of Living

Poverty is a problem in the area and most people need to pursue a mixed livelihood if they
can, to obtain sufficient income for survival, since none of their individual strategies are
sufficient, regular and reliable enough to sustain their families. The small number of families
who have wetland mashamba are able to support their families, and feed their families, well
enough to not have to follow other livelihood sources.

Of the 21 households interviewed with land in and around the dam, seven reported monthly
incomes from the sale of beer made with fruit or nuts, and only two of the households had
monthly incomes from egg sales. Of the 17 households interviewed among those to be
physically displaced 11 reported some form of income. Of these 6 were salaries and wages
based on employment provided by the dam.

The diet in the area is based on locally produced staple crops, maize and cassava in
particular, and lacks variety. Fish and meat are eaten occasionally by most families, and
daily by the wealthier families. As a result of poor crop yields in the dry land mashamba there
is very little food security.

62% of the households in the survey indicated that there had been a food shortage at some
stage during the past year. The months of February and March were identified as hungry
months.

Most houses in the area consist of clay bricks or clay bricks plastered with cement, with roofs
made from straw (banana leaves, reeds) or in some cases from corrugated iron. Most of the
houses have a kitchen, although a number of the households cook out in the open outside
their houses.
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Most households have an ablution structure, but many of those are no longer in working
condition due to the long drop having filled up and not being re-dug, so many households
share ablution facilities, or defecate in the bushes near their houses. A number of survey
participants indicated that their project for the near future was to improve their housing.
There is electricity in the area, but not a household supply.

Some of the families that were interviewed have made illegal connections and have
electricity in their homes for lighting only. However the main energy source for lighting is a
paraffin lamp or torch, and energy for heating and cooking consists of wood and charcoal.
Water provision consists of wells, boreholes, hand pumps or in most cases the dam, mostly
collected by women or girls.

 From the survey results it is evident that the local population has few material possessions.
Even basic furniture such as beds, tables and chairs are lacking in certain households.
However, the number of households possessing a radio, mobile phone and bicycle are
relatively high in comparison with basic items, indicating that these are important for local
livelihoods.

In terms of a social impact assessment within the context of a generally poor population, it is
important to identify particularly vulnerable groups. In the area, these include the landless,
those who cannot work the land, have no extended family support and/or no decision making
power. Women, the elderly, the disabled and the sick are often found in these categories.

5.7       Gender

In his statement in March 2005, one week before the start of the International Water for Life
Decade, United Nations Secretary-General Kofi Annan stressed the importance of involving
women and girls in water-management policy by saying: “The world’s water resources are
our lifeline for survival, and for sustainable development in the twenty-first century. We need
to free women and girls from the daily chore of hauling water, often over great distances. We
must involve them in decision-making on water management. We need to make sanitation a
priority. This is where progress is lagging most.”

One goal of the decade is that by 2015 the number of people without access to safe drinking
water and basic sanitation should be halved. It places special emphasis on the participation
of women in turning this aspiration into reality.

The Mozambique Government has made specific efforts to enhance the status of women.
These efforts include the development and implementation of the following:

      •    Agriculture Sector Gender Mainstreaming Strategy and Action Plan in 2005. Its
           purpose is to integrate women in the improvement of the food security and poverty
           reduction initiatives of agriculture development, by ensuring equal access and control
           of the resources, benefits, rights and chances, between women and men.
      •    The National Policy and Strategy on Gender (NPSG) which aims at integrating
           gender components in sector plans and programs of activities and contribute to the
           government’s effort on promoting equality of rights and opportunities between women
           and men.
      •    The National Action Plan for Womens’ Advancement, a strategy planning instrument,
           targeting gender issues both at the government and non-governmental institutions. It
           identifies the government’s priorities in women and gender areas especially the
           needs, actions and decision on the allocation of resources.



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As a result, the status and role of women has advanced in Mozambique and is now higher.
Women feel that they are now recognized as leaders, whereas in the past they were not
valued. Now they find that they have an acceptable status, and the country has grown
because of their contribution. When women give their opinions, they are valued and such
increased visibility and responsibility has changed attitudes of both men and women. This
situation has been helped by increases in girls’ literacy levels as the government has given
them equal access to education.

The Project may impact differently on men and women in the area. To assess this, it is
important to identify gender roles, tasks and responsibilities of both men and women. As in
most traditional African communities, gender roles are clearly defined in the project area.

While men and women will both be affected by the project, women could bear a
disproportionate burden. The expected negative impacts of the Nacala Dam Rehabilitation
Project on women include dislocation, loss of property and land, disruption in income source,
loss of client/ marketing base for products, heightening of social tensions/ conflicts, and
increased vulnerability to HIV/AIDS and STDs for women and girls.

The expected positive impacts on women include additional employment opportunities in the
project works of unskilled jobs; increased sources of income generation; enhanced vocal
contribution of women in projects such as these; and improved access to and use of socio-
economic infrastructure by women and girls.

There are generally more women than men in the area around the dam. Therefore, should
there be any overflow of the dam as a result of non-implementation of the project women and
children would constitute a larger proportion of the population that is likely to be displaced in
the case of flooding. Activities that benefit women both socially and economically would be
affected; for example people living close to the dam directly benefit from water supplied from
the dam, and approximately 55% of these people would be women; the farmers involved in
irrigation in the dam rehabilitation area may be men, but the people who do the majority of
the cultivation and harvesting are women.

The project focuses on rehabilitating the dam to increase its efficiency. It will hopefully
ensure adequate flow of water to support income generation activities. These will likely
increase the socio-economic well-being of women who are actively involved in agricultural
activities.

5.8     Health

From the data collected as part of the social baseline study it can be concluded that health
and hygiene conditions in the area are poor. The main water sources in the area are the dam
and unprotected wells. There is no sewerage system in the area and most of the population
rely on pit latrines, which are untreated. There is no refuse collection or treatment plant in the
area which means that household waste material is either burned or buried.

In the focus group discussions: anaemia, hernias, high blood pressure, intestinal worms,
malaria, skin rashes and chest infections were identified as prevalent in the area. Malaria
and bacterial infections, as well as fungal infections, resulting from unclean water are
regarded as the most prevalent ailments. Intestinal worms, fungal infections and malaria.
were identified as prevalent child health problems

The provision of health care in the immediate area is relatively poor. There is only one
primary health care unit in the bairro. Facilities are hampered by a lack of equipment and
medication. The clinic is run by one nurse assisted by one vaccinator and several traditional
birth attendants. The latter have generally been trained by a specialised NGO to assist with
child birth. The majority of villages in the area have a traditional birth attendant.
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There is a government hospital in Nacala-a-Velha, to which the clinic refers patients with
serious health problems.

5.9       Education

Educational levels in the area are relatively poor, with only 52% of the household members
of the families interviews having some sort of secondary education. There is one primary
school in the area. There are no government high schools in the area, and children have to
travel to Nacala to get secondary schooling. This often creates problems since children have
to live with family or friends in Nacala which is costly, deprives the households of the labour
of the child and which leaves the child without parental control, regularly leading to teenage
pregnancies, truancy and other issues.

During the focus groups, the importance of education was repeatedly stressed by the local
population, especially the women. It was stated that many educated youngsters have left the
area and many do not support their parents.

5.10 Transport and Communication

The main access into the area is the relatively new Nampula - Nacala road, which is in very
good condition. The feeder roads, leading into the proposed project area are sand/dirt roads
and difficult to negotiate by normal vehicle. Taxis, which are largely restricted to the N12 tar
road, are the main mode of transport for long distance transport in the area. Bicycles and
motorbikes are the typical means of local transport of people as well as goods. People walk
long distances on foot.

There is mobile phone reception, and TV reception, in the area.

5.11 Overview of households to be physically displaced4

The survey conducted among the households to be physically displaced revealed the
following:
     • There are 75 people living in the 17 households to be displaced. Of these 52% are
        female and 38% male.
     • All bar one household have land from which they derive agricultural produce. These
        sixteen households poses 34 individual parcels of land.
     • Cassava and maize were the main crops being cultivated at the time of the survey.
     • There were 57 productive trees to be found on the homestead sites. Of these 21 were
        Monkey Oranges (styrychnos madagascarensis), 15 were paw paws, 10 were figs, 6
        were mango, 3 were cashews and 2 were palms.
     • No households own cattle but 4 own goats, 1 has sheep, 1 has pigs, 2 have rabbits ,
        5 have ducks and 9 have chickens.
     • There are 35 structures (including the Frelimo Office and the Police Station) affected
     • The structures total 1463m2 of developed area
     • Households that will probably need to be resettled were concerned that their trees are
        replaced so that they have shade
     • Households are also very concerned that they would have access to water either
        from existing sources or a developed source

Notes associated with each household to be resettled through being physically displaced are
set out in Appendix 2. A list of all structures affected is provided in Appendix 3. Figures 1 – 5
give examples of types of structures affected.

4
    Appendix B sets out a list of households affected by physical displacement with comments.
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Figure 1: House made with reeds and plaster and zinc roof




Figure 2: Clay Brick house with thatch




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   Figure 3: Plaster house with zinc roof




   Figure 4: Police Station




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        Figure 5: Toilet/Shower Structure




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6 ELIGIBILITY CRITERIA AND ENTITLEMENTS
The persons who will be displaced by project activities are those losing assets or
investments, land and property, and/or access to natural and/or economic resources as a
result of the project activities.

There are two possible subsets here:
•    Those with structures that will be impacted by the road deviation or spillway
•    Those with cultivation on and that will be inundated

Table 1 sets out the entitlements per category.
Table 2: Entitlement Framework
    Category                                Compensation
    Having homesteads that will be impacted Entitled to have structure re-built or to
    by the road diversion or spillway       compensation at replacement value. Trees
                                            on the homestead site to be valued and
                                            replacement value paid or production value
                                            paid and seedlings provided.
    Having crops inundated                  Entitled to compensation at replacement
                                            value and to participate in livelihood
                                            restoration programme (community resource
                                            plan) if deemed relevant

In terms of vulnerable households these are a subset of the above. Vulnerable people are
those who by virtue of any characteristic not of their making may be more adversely affected
by resettlement than others, and who may be limited in their ability to claim or take
advantage of resettlement assistance and related development benefits. Specifically, as
defined by the IFC, vulnerable people include, but are not limited to the following:

•       Households headed by women or children. It should be noted that not all female
        headed households are likely to be specifically vulnerable but many, particularly those
        headed by aged widows, are potentially vulnerable.
•       People with disabilities.
•       The extremely poor. The definition of what constitutes extremely poor is difficult to
        establish with absolute certainty, particularly within the context of endemic relative
        poverty.
•       The elderly – specifically households where no members are below the age of 60.

Other vulnerable people will be identified in consultation with the community. The process
will be as follows:

The consultative fora will play a central role in the identification of vulnerable people. It will:
  •  Determine the categories for qualification as vulnerable.
  •  Advertise the qualifications.
  •  Provide notice of MCAs intention to provide appropriate assistance for vulnerable
     people within the PAP population.
  •  Review each case: This will take place in an interview conducted by one MCA staff
     member and a nominated member from among the local authorities.
  •  Generate a report on the case and recommended actions.


Early indications are that the households headed by Ancha Salimo (single widow of 62
years), as well as that of Ancah Chale (also a widow and 58 years old), can be classified as
vulnerable.
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7 VALUATION AND COMPENSATION PROCESS
Compensation is generally the most scrutinised component of resettlement and critical in
terms of the cost implications for the proponent. Thus the methodologies and outcomes in
terms of the valuation procedures should be transparent. This chapter provides a framework
for detailed valuation procedures to be developed in the RAP and in consultation with local
stakeholders.

7.1     General Approach

The valuation of assets that may be lost during resettlement will be a sensitive issue and it
should be done with care and rigor. This is of particular relevance in cases where
compensation may include multiple options including replacement (land and structures) or
monetary compensation. The general approach to the valuation procedures is summarised
below:

•       Identify Eligibility under National Guidelines: All relevant legislation, policy and
        valuations guidelines defined by the government of Mozambique will need to be
        identified. This will form the basis for the identification of eligibility to compensation and
        valuation methodology.
•       Asset Survey: The asset survey as discussed 8 above will determine the assets owned
        by affected individuals, households or communities. Preliminary data are available.
•       Valuation Methodology: The valuation process will involve the assessment of national
        guidelines, international best practice and local market research. The outcomes of this
        process should be a set of practical and measurable values/rates for each asset
        category.
•       Entitlement Contracts: Contracts will be produced for affected individuals that will
        contain a summary of all their assets, adopted compensation rates or options and final
        valuations.

7.2     Valuation Guidelines for Asset Categories

The following sections provide generic valuations of different assets that would be relevant to
this project. These valuations should only act as a guide and will need considerable revisions
prior to adoption. Affected land owners may sign a sell/purchase agreement with MCA where
the compensation amount includes land and all the structures thereon.

7.2.1    Homestead Structures and other Fixed Property

In the valuation of homestead structures and other fixed property, the following steps will be
followed:

•       Undertake a detailed asset inventory of all persons, possessions, and assets found at
        individual households as discussed above and building on current information.
•       Determine values or compensations option for dwelling structures and other fixed
        property. Options may include rebuild and/or cash payment and the final choice should
        rest with the household.
•       Determine the needs of the household and replacement structures with regard to
        potential issues arising out of space required to accommodate polygamous family
        arrangements, etc.
•       Determine compensation package for each affected individual according to valuations
        and preferred options. This package should be signed by the affected individual and a
        community representative.


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•       Where there is dispute within the household such dispute will be referred to a
        grievances and disputes committee.

The valuation of physical structures will be based on the following general criteria:
•    Survey of physical structures (size, build, materials) and all its related structures and
     support services.
•    Determine average replacement costs of different types of structures based on
     information on the cost, quantity, and type of materials used for construction (e.g.
     bricks, rafters, bundles of straw, doors).
•    Costs for transportation and delivery of these items to acquired/ replacement land or
     building site.
•    Estimates of construction of new buildings including labour required.

In terms of compensation for physical structures lost due to resettlement two major options
are provided:

The first option is for MCA to rebuild houses using a contractor under its supervision and will
replace all structures on the homestead plot. Under this option, compensation will be paid by
replacing lost structures (irrespective of the title or lack of title that pertains to the affected
household) with structures of similar or better quality. Two sub options are envisaged here.
The first would include re-building all primary dwellings and any additional outbuildings,
latrines, fences and other impacted structures. Replacement structures will be rebuilt on the
acquired replacement land. In the second sub-option cash compensation may be provided
for smaller auxiliary structures but this would only be for minor structures.

Sub-option two is the recommended option and is less onerous. In terms of this sub-option it
is recommend that MCA will replace the main dwelling structure of the household in lieu of a
cash payment.
The design should reflect community preferences, applying traditional architecture and
locally available materials. The majority of labourers should be recruited from the local
area. Specifications will be explored in more detail but could be:
•      Mud brick walls plastered inside and out with cement plaster and/or investigate cost
       effectiveness of “Hydraform” sand cement bricks.
•      Zinc roof.
•      Wooden doors and wooden shuttered windows complete with locks and bolts.
•      Kitchen in mud blocks (half wall) and tin roof
•      Ventilated improved pit latrine in mud blocks and thatch roof; and
Non-residential Moveable Structures: These include sheds and verandas of various
kinds. These structures are usually almost entirely moveable, and as long as the owner will
be able to salvage the materials, the loss will be very limited. Cash compensation at full
replacement value is recommended and is mainly intended to cover the labour needed to
dismantle and re-establish the structure elsewhere.
Non-residential Immovable Structures: These include latrines, kitchens and other dwelling
structures. The compensation at full replacement value plus 15%, is recommended as this
has proven to be acceptable in past projects. This is recommended and is mainly intended
to cover the labour needed to build the structure at the new site. Non-residential structures
that would not fall in one of the above categories will be valued and compensated on a case-
by-case basis.




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As indicated MCA will, through a formal contractor (or with local builders supervised by an
accredited individual), undertake to rebuild peoples’ main structures. The main advantage of
this option is that MCA has control over the building process and can ensure quality, and
thereby guarantee the structure.

In terms of the replacement of other household structures it is recommended that:
•     The household is responsible for the replacement of all other structures.
•     MCA will pay cash compensation at replacement cost plus 15%.
•     The homestead will be entitled to salvage all movable materials and this will not be
      deducted from the compensation calculation.

To ensure that the move from the original homestead to the new one is as smooth as
possible it is recommended that:
•     Resettlers are required to move to the new homestead within 3 days of notification of
      house availability by MCA following construction (inclusive of all finishing’s) of the
      replacement house.
•     To assist with the resettlement, transport should be made available by MCA to each
      homestead sufficient to move the family and belongings to their new residence. The
      day after the second truck and team has removed any moveable assets, MCA has the
      right to demolish the structure. As such MCA will assist with the transport of:
             o Resettlers’ temporary structures from the old homestead to their new
                 homestead. This material may include roofing materials, structural wood,
                 reeds, doors, security screens and window frames.
             o Livestock, food, seed, planting materials and personal effects.
             o MCA will not be liable to pay for, nor assist with the transport of any brick or
                 mortar, firewood or vehicles.

After moving to the new homestead, the resettled individuals will agree to forego all claims
and rights in relation to the previous homestead. The household head should sign a
document to this effect. All trees and materials left at the old homestead site then become
the property of MCA.

After taking occupation, the resettlers will be visited by an MCA representative to compile a
list of building defects, if any. MCA will guarantee the structure of the primary concrete
dwelling for 5 years. This guarantee covers the structural integrity of the house, base, walls,
toilet building and roof. It does not include doors, windows, guttering and water tank or the
maintenance of the toilet pit. MCA is not responsible for structural problems arising from the
occupants building onto or modifying the structure.

With regard to community and/or social buildings, and to ensure that no resettlers are worse
off after the resettlement process, it is recommended that all existing community and/or
social buildings and structures be replaced.

For partially built cement brick/block houses it is recommended that:
•       MCA compensates households for the lost materials in partially built houses.
•       The amount of compensation will be calculated on the value of the materials in the
        structure and plus the value of labour.
•       MCA does not compensate households for abandoned structures.

Under this option no homestead will be moved by MCA prior to replacement or without
suitable housing being made available. Compensation will be made for structures that are:
•     Within the development area.
•     Directly damaged by construction activities.

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A second option is to replace houses by giving a cash payment equivalent to replacement
value of the structures being lost. Critical here is that for this to be IFC PS 5 compliant value
must be replacement and not market. Where households chose the cash option they should
be counselled as to the consequences and sign a waiver indicating that all adult members of
the household are in agreement that the cash option is preferred. This is not the preferred
option and homesteads will be counselled against pursing this option.

7.2.2   Land

Land belongs to the state and as such no compensation is due. Where land is required for
new residential plots it should be acquired in the village of Barragem. If local taxes are due
for the sites then these should be paid by MCA. Land that is currently cultivated in the dam
margins cannot be compensated for as a) cultivation is not legal as land is part of the dam
estate and b) all land belongs to the state and as such no compensation could be paid.

7.2.3   Crops and Trees

In a rural setting, the valuation of crops, trees and other natural resources is an important
step and is generally costly. If crops or trees are acquired by MCA then compensation is due.

For trees the compensation rates will be based on information obtained through comparing
market rates with government rates. The higher rate will be paid. Only productive trees will
be compensated for. An alternative is to provide a seedling and to pay the tree owner an
annual sum to compensate for the lost production for the period that the tree requires to
come to full maturity.

Standing crops that are acquired should be assessed according to government rates/market
rates for the different crops. Again the higher of the two should be paid. The crop owner/
farmer will be paid the rate by the number of crops acquired or the acreage covered. It
should be noted that international practice usually allows any standing crop to be harvested
even if the family may have physically moved to their new location.


7.2.4 Graves
None were found but should this situation change in the period leading to implementation the
following is provided.

Should graves be found the general principle is that the exhumation and re-burial of
individual graves within the areas to be planted will only commence following the
resettlement of associated families. When this occurs MCA will:
•      Make exhumation and re-burial arrangements with local entities (municipality, and
       traditional leaders, as well as religious leaders).
•      In consultation with the local authorities, identify land for the purposes of preparing
       such land as a formal re-burial within the designated cemeteries or where the
       homestead so chooses. Homesteads may alternatively choose to re-bury people on or
       near their resettlement plot. Providing this does not contradict any by-laws or
       customary restrictions, this should be permitted.
•      Negotiate the timing and arrangements for the relocation and re-burial of the deceased
       with the affected family and record the outcomes of this negotiation.
•      Meet the following costs:
     •    Exhumation, transport and re-burial (re-interment) of the deceased.
     •    Provision of a cloth-lined coffin. An approved supplier will provide the coffin.
     •    Provision of a flat rate per grave to satisfy any customary cost.
     •    All works associated with the burial.
     •    A replacement tombstone where such exists on the site exhumed.
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The family will organize ceremonial process in accordance with its religious beliefs and/or
custom and uses.
MCA will inform the communities, and all other relevant authorities, when the resettlement
and grave relocation process is completed.

7.2.5    Community Infrastructure

Community infrastructure and resources will need to be replaced as part of the resettlement
process. The valuation of community structures and resources will require additional
consultation with community leaders, committees or individuals that have responsibility over
any community structures or natural resources. In this case, community structures or
resources include:

•       Frelimo office
•       Police Station

The resettlement process would need to commit to the replacement of the community
infrastructure in such a manner that maintains existing community services. Such
replacement should be equal or ideally better than what is being replaced. Furthermore, due
consideration will be needed in terms of the appropriate location of the replacement
structures and its catchment (i.e. pupils for schools). Valuation guidelines for community
infrastructure include the following:

Ideally the replacement of community infrastructure should be undertaken in consultation
with the local community, any host communities and the relevant authorities. The latter is
perhaps the most critical as the authority (e.g. health departments) should maintain overall
responsibility of community infrastructure with support from the project proponent.

7.2.6    Businesses and Enterprises

None were found to be affected but in the case where the project would affect commercial
structures, the proponent would need to compensate the affected business or enterprise for
the cost of re-establishing the commercial business at a new location. The valuation would
need to consider the following guidelines:
•     Determine and survey all commercial businesses and describe function, intensity of
      use, locational importance and its market catchment.
•     Valuation should be based on the cost of re-establishing the commercial activity at a
      new location. This may include costs for:
            o Lost net income and where business profits may be affected compensation
               will be paid according to audited results of the enterprises monthly income.
               Similarly lost wages will be determined through enterprise audit.
            o Acquisition of new land.
            o Material and construction costs of replacement structures.
            o Costs of transfer.

Ideally the replacement of commercial businesses should be undertaken in consultation with
the business owner.




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8 CONSULTATION,                      PARTICIPATION                     AND     GRIEVANCE
  MECHANISIMS
8.1     Overview

Consultation has two aspects. The first is the timely dissemination of information regarding
the project and its resettlement component. In this regard consultation is a one way process
of information provision from the project, its sponsors and staff to the public. The second
aspect is the two-way free flow exchange of information that gives stakeholders a chance to
air their concerns and have a voice in the actual planning of the resettlement. It is the second
aspect which is the most important in resettlement planning and implementation.

Participation of and consultation with the affected community and authorities is vital to the
success of the resettlement and compensation programme. WB OP 4.12 specifically states,
as a policy objective, that “displaced persons should be meaningfully consulted and should
have opportunities to participate in planning and implementing resettlement programs”
(paragraph 2[b]). Consultation and participation of the public allows the project management
to design resettlement such that it is able to benefit affected peoples. Effective consultation
can also assist in reducing the costs of implementing the RAPs (IFC 2005:7) by avoiding
implementation that is contrary to the needs of PAPs and which does not breed antagonism
towards the project by withholding information. Consultation is an ongoing aspect of the
resettlement process that takes place through every stage of resettlement planning and
implementation and thereafter – once the development project has started.

Broadly defined, stakeholders include any individual or group that feels that it is going to be
affected by the project, the affected community and any individuals or groups that may have
any significant role to play in shaping or affecting the project, be it in a positive or negative
manner. In a narrower vein, Project Affected People (PAPs) are those individuals and groups
who are directly affected by the project through the loss of assets and or land, or for whom
the project disrupts or affects their livelihoods.

From an early stage the project management have acted so as to identify all stakeholders in
the project. Stakeholders include:

•       Project Affected People
•       The Developer
•       Local Authorities (Municipality, Government Departments)
•       Local Businesses
•       Residents’ Associations
•       Individuals who feel they are impacted upon (positively or negatively) by the creation of
        the project or the resettlement process.

Every effort has been made to inform stakeholders of the project and its resettlement
components. In this regard the ESHIA had a consultative process that has been followed.

8.2     Village Liaison Committee

For the purposes of drawing up the RAP and implementing resettlement a village liaison
committee (VLC) is envisaged. This should form form part of the broader Stakeholder
Engagement Process (SEP) that MCA has put in place. This is not a statutory body but
advises on all community related issues and forms part of the consultative process for the
RAP.



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The VLC will meet as often as is deemed necessary. Following standard accepted practices,
they make relevant documentation available to interested and affected parties. The
consultative body will also make such records, as well as minutes of meetings, available to
the independent monitoring team.

The VLC will act as the primary advisory body in all matters relating to resettlement. It should
be constituted in such a manner as to be regarded as the primary representative voice of
those affected by resettlement and should be recognized by all stakeholders as such. Under
the overall authority of its chairperson (elected by the group itself), the forum should have the
following functions:

•       To act as the primary channel of communication between the various interest
        groups/organisations involved in the resettlement process. In particular, it will serve to
        facilitate communication between the proponent and the affected populace.
•       To act as a focus group forum in which the proponent can consult on various
        resettlement aspects.
•       To debate the Entitlement Framework that is generated for each RAP and make
        recommendation as to how it is best structured to ensure equity to all parties involved
        in the resettlement process.
•       To serve as the court of first appeal to solve any grievance that arises relating to the
        resettlement process. If it is unable to resolve any such problems, it is to channel them
        through the appropriate grievance procedures.
•       To assume primary responsibility for assisting the proponent in overseeing the
        resettlement processes in all its phases.

The consultative body should be constituted and run in such a way that the affected
constituencies are adequately represented and fairly heard. This ensures that the affected
community’s concerns and suggestions are taken seriously by the project. Members of the
directly affected community and in equal gender balance should be part of the VLC. The
MCA should appoint a community liaison office (CLO) in the pre-implementation phase to
oversee the establishment and then the running of the VLC.

8.3     Grievance Redress

Even when the project can ultimately claim successful resettlement, there may still be
individuals and groups who feel that they have been treated inadequately or unfairly.
Providing credible and accessible means for PAPs to pursue grievances allows the project to
address genuine issues in a timely manner and decreases the chances of overt resistance to
the project from disgruntled PAPs.

Grievances relating to any aspect of the project must be dealt with through negotiations
aimed at reaching consensus between the project and the affected parties. A procedure for
the submission of grievances and how they will be managed has been put in place. This
philosophy that governs the process is described below and illustrated in Figure 6.

Grievance boxes should be located in a number of points within the project area. A custom
designed grievance book should be set up and the grievance process must be made known
to stakeholders. The process is as follow:

•       Step 1: Receipt of grievance: Grievances will be received by the CLO either verbally
        or by written notification and will be entered in a complaints register. The person
        submitting the grievance will be given a receipt of his submission. People will also have
        the option of making their initial complaint either through the chef de pos or bairro
        secretary. A receipt will be provided to the person lodging the complaint.

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•       Step 2: Assessment: The community liaison officer will assess the grievance in terms
        of his/her capacity to resolve it locally MCA Management for further action.
•       Step 3: Acknowledgement of complaint/grievance: Written information (accompanied
        with verbal explanation) as to steps that will be undertaken to resolve the grievance
        and the expected time for its resolution will be provided to the complainant within two
        weeks. This exchange will be recorded in the register.
•       Step 4: Investigation and resolution of grievance:          MCA conduct an internal
        investigation to determine the underlying cause of the grievance and make any
        changes required to internal systems to prevent reoccurrence of a similar grievance.
        As appropriate, MCA will also hold meetings with the person/group expressing the
        grievances to discuss, clarify and solve the issue, and prevent it from reoccurring.
•       Step 5: Closure: Once the investigation has been completed and necessary measures
        been taken, the results will be communicated to the complainant and entered in the
        register.
•       Step 6: Outcome of the corrective action is verified with the complainant: Following
        completion of the corrective action, the appropriate Community Liaison Officer will
        verify the outcome with the complainant. The complainant will be asked to sign off on
        his/her acceptance of the `solution' (or nominate someone to do so on his/her behalf).
        In the event that the complainant remains dissatisfied with the outcome, additional
        corrective action may be agreed and carried out by MCA.




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Figure 6: Proposed Grievence Mechanism Process based on IFC Compliance Advisory
Ombudsman (CAO) recommendations




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9 HOST SITE AND LIVELIHOOD REPLACEMENT
9.1     Introduction

Chapter 7 sets out the mechanisms through which compensation can be calculated and
made over to those protected under the RAP. However in the eyes of the World Bank
resettlement involves more than compensation. Active steps are expected to be taken by
developers to ensure that livelihoods are not negatively affected. This chapter examines
these issues at a preliminary level.

9.2     Host Site

As indicated the identification of a dedicated host site is not required. However the
identification of residential plots to resettle households displaced by the road diversion and,
in the case of the police station, by the spillway is required. For the households on the
eastern side of the dam wall and displaced by the road diversion the most logical
resettlement zone appears to be the area north of the existing road and east of the pump
station and water treatment works. This would mean relocating households a maximum of
150 metres. The Frelimo offices and the police station could also be relocated into this zone.

For the households west of the dam wall it would make sense to relocate structures north of
the existing road. Here relocation would entail a move of no more than 200 metres.

In neither instance should the relocation of the households impact on their livelihood
strategies.

9.3     Community Resource Area

As indicated some impact on agricultural practise is expected as recession agriculture will
probably become less practical once the dam is re-habilitated. The argument that this
practise was technically illegal and as such should not be taken into account in designing
mitigation has some merit. However given the strategy nature of the project, particularly in
light of the MCC desired goals of alleviating poverty, there are a number of issues that
warrant consideration.

In the first place the fact that no active measures appear to have been taken to fence the
boundaries of the dam and to demarcate limits of resources that can be used by
communities has given rise to the notions that activities in the dam margins are condoned by
authorities. Secondly, there is little room for the dam authorities on site to impose such
restrictions even if they so desired. They lack the authority to police the margins and even if
the attempted to do so community resistance would undermine their license to operate in the
area. Thirdly, alienating the resource form the community is probably not in the best interest
of the developer given the circumstances of poverty and resource scarcity.

What is suggested, both the fulfil poverty alleviation criteria and to mitigate possible impacts
on agricultural practise is to develop the dam and its estate as a community resource area.
To unlock this a number of steps are proposed. These are:

•       Development of the VLC and the MCA into a consultative body as set out in Chapter 8
        and extension of its mandate to cover formulation of a resource management and dam
        zonation plan.
•       Zoning of dam to cater for safety aspects as well as identifying areas that are
        appropriate for resource development.


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•       Feasibility level studies into the potential to stock the dam with fish for local
        consumption
•       Feasibility level investigation into potential to abstract some water for local vegetable
        garden irrigation

Once the VLC and MCA has developed its zonation and resource development plan then a
steering committee to mange implementation of the plan can be set up.




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10 INSTITUTIONAL ARRANGEMENTS FOR IMPLEMENTATION
10.1 Implementation Arrangements

MCA will provide the financial resources necessary for the resettlement and compensation
process and will provide significant additional managerial and technical expertise. The role of
MCA may be broken down into two distinct phases: pre-implementation and implementation.
This is conceptual and will be further refined during the resettlement planning phase.

Pre-Implementation Role

During pre-implementation, MCA must ensure it has:
•     Collected all data required to effect resettlement.
•     Drawn up Terms of Reference and contract all major planning services needed to
      effect resettlement.
•     Put in place a project manage system and financially supported the development of
      the land-use plan for the dam.
•     Attend consultative meetings, and provide administrative support and ad hoc
      managerial and technical support as required.

Implementation Role

In the implementation phase, MCA must continue to finance implementation of the RAP. This
will be done via the establishment of a dedicated team. The team will have as its primary
responsibilities the following5:

•        Drawing up offer documents for each individual household affected.
•        Managing compensation and resettlement payments.
•        Ensuring that the principles of the RAP is respected.
•        Providing technical and managerial input to the implementation of the RAP.
•        Establishing a socio-economic monitoring programme for the affected households.
•        Identifying households that are “failing” as a result of the resettlement impacts of the
         project and, together with the relevant local authorities, defining and implementing
         appropriate corrective action.
•        Attending consultative fora meetings and providing support and input as and when
         required.
•        Addressing compensation and resettlement grievances.
•        Defining and implementing the FDP and monitoring programmes to ensure that
         affected households are not worse off in the post-implementation phase.


Ensuring compliance with the resettlement and social commitments contained in this
document will be the responsibility of the manager of the resettlement team. The precise
nature and composition of the resettlement team will be spelled out in the RAP.

However it is envisaged that the Resettlement Team will have operational, daily responsibility
for the execution of the RAP, including the following specific programme components:

•        Survey and value assets taken during project construction.
•        Conduct census updates of affected households.
•        Plan and supervise compensation activities, including for lost crops, land buildings and
         livestock, and to restore lost livelihoods.

5
    This is speculative at this time and will be reviewed during the RAP planning phase.
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•       Coordinate selection of alternative resettlement sites.
•       Monitor and report on the construction of replacement village structures.
•       Plan and coordinate the move into replacement housing for affected parties.
•       Supervise ongoing consultation with affected parties via communication with
        resettlement consultation committees, with affected individuals, in community-wide
        consultation venues.

The Community Liaison Officer (CLO) will serve as the primary point of contact between
communities of the area and MCA, and will have the following primary areas of responsibility:

•       Liaise with local government with regard to local community liaison and issues and in
        consultation with appropriate MCA personnel.
•       Assist with ensuring compliance with implementation of MCA policies on recruitment.
•       Log and respond to grievances lodged by members of the community.
•       Assist in identification of individuals to receive compensation through intended or
        accidental damages during field work as required by the law, and as described in
        internal procedures.
•       Together with the Resettlement Team organise and facilitate compensation payment
        actions.
•       Obtain prior written permission from community leaders/affected members for any
        intended damage to any infrastructure, crops or land as a result of the project activities.

10.1.1 Government of Mozambique

It is envisaged that the Government of the Mozambique will act as the primary support agent
to resettlement with MCA implementing the resettlement. MCA will work in close association
with the local authorities and the Traditional Leaders, who will represent the Mozambique
Government. It is envisaged that a representative from MICOA will hold (or delegate) the
following key responsibilities:
•      Act as the primary Government representative.
•      Ensure that the Mozambique Government support MCA in providing assistance to
       relocated households as and when required.
•      Ensure that the moratorium on settlement within the project area is observed.
•      Ensure compatibility of the resettlement process with overall development visions for
       the area.
•      Ensure that the Land Use Plan for the host resettlement area meets requisite
       legislative criteria.

10.1.2 Consultative Fora

The consultative fora are the primary channel of communication between MCA and the
Mozambique Government. They meet as necessary and, for the duration of the resettlement
programme, will continue to meet. In addition to acting as a conduit of information, the fora
have the following key responsibilities:

•       Ensure that the terms of the RAPs are followed.
•       Monitoring the implementation of the RAPs and suggesting modifications if and when
        necessary.
•       Identify issues/areas of concern that may have been overlooked/under emphasised in
        the SIA or RAPs and suggesting ameliorative and or mitigation measures.
•       Assist in the finalisation of a land use plan for the resettlement area(s) and dam
        community resource aspect.
•       Facilitate land acquisition in areas under its control, i.e. both in the project area and in
        the host resettlement area.

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•       Agree on the principles of a means test to determine which households qualify for
        extended support.
•       Monitor the project area so as to prevent illegal encroachment.




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11 MONITORING

Monitoring is a critical part of a resettlement project. The database as discussed Section 3 is
designed to provide a baseline against which all standard World Bank/IFC indicators for
resettlement can be monitored.

Monitoring is required in order to assess whether the goals of the resettlement and
compensation plan are being met. Such a plan would include monitoring criteria, milestones
and the resources needed to carry out the monitoring. Monitoring primarily involves the
systematic use of information to determine the extent to which plans are being implemented
effectively. The WB has this to say about the role of monitoring in the resettlement process:

“Because of the myriad social and economic contingencies that arise during project
implementation, resettlement is better conceived not as a rigid blueprint, but as a learning
process in which tentative plans are adapted responsively to unfolding obstacles and
opportunities” (WB 2004:205).

The monitoring plan will be designed to be undertaken at two levels as follows.

Internal monitoring, sometimes called performance monitoring, is an internal management
function allowing the project management (or agency elected to implement the RAP) to
measure physical progress against milestones set out in the four RAPs. Internal monitoring
will:
     • Ensure that due process has been followed in the notification of stakeholders with
        adequate public meetings being held.
     • Verify that there are no outstanding or unresolved land acquisition issues regarding
        the project or any of its subprojects, that the census of all PAPs has been carried out,
        that the RAPs and socio-economic survey has been prepared, and that property
        valuation and resettlement has been carried out in accordance with the provisions of
        the RPF.
     • Maintain records of any grievances that require resolution.
     • Oversee that all resettlement measures are implemented as approved by the project
        management and relevant local authorities.
     • Verify that funds for implementing resettlement activities are provided in a timely
        manner, are sufficient for their purposes, and are spent in accordance with the
        provisions of the RAP.
     • Document timely completion of project resettlement obligations (i.e. payment of the
        agreed-upon sums, construction of new structures, etc.) for all permanent and
        temporary losses, as well as unanticipated, additional construction damage, while
        updating the database with respect to any such changes.
     • Ensure that monitoring and evaluation reports are submitted.

External Independent Monitoring, which takes the form of effects and impact monitoring,
should be conducted half annually for at least the two years following resettlement by an
independent consultancy (preferably with resettlement experience), academic or research
institution or an NGO. An external monitoring protocol will be designed in detail during the
RAP construction.




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Both internal and external monitoring reports should be used to assess whether any changes
should be made to a RAP in its implementation. The MCA project provides a unique situation
in that continuous improvement will be possible for the first four years of the project since it is
being rolled out in phases. This provides an opportunity for frequent monitoring and
evaluation, and results of this can be incorporated into the following year’s RAP. Monitoring
reports are a valuable tool in identifying problems in the implementation of the resettlement
project and should be used as such. Project management should meet after each monitoring
exercise to consult over findings of the monitoring evaluation and whether steps should be
taken to rectify issues that have been highlighted by the monitoring reports. A manual for the
usage of the protocols will be developed by the consultant.

Monitoring indicators will include the following. These are based on the standard World Bank
required suite of variables that relate to measuring resettlement impacts.

•    Agriculture: food production and marketing:
     Crop production (tonnage or bushels per hectare and land use type). The FDP aims to
     create the conditions to achieve a minimum of 100kg or rice per person per annum but
     this will be expanded to include a broader basket of productive and income generating
     crops, goods and services.
     Livestock per household.
     Incidence of animal disease/type.
     Farmers’ groups, involvement of women.
•    Education:
     Where applicable, primary and basic enrolment levels by gender.
     Secondary (and possibly tertiary) enrolment levels by gender.
     Pupil/teacher ratio.
     Distance to primary school.
•    Health:
     Availability of and distance to safe drinking water and sanitation.
     Incidence of main diseases/gender/age.
     Death rates of main diseases/gender/age.
     Trained health staff/catchment population.
     Distance to health centre.
     Child nutrition: height for age (stunting), weight for age (wasting).
     Possibly incidence of HIV/AIDS and of other STDs by gender and age.
•    Household economy:
     Housing, quality of roof, walls, floor.
     Road to next village, footpath, dust/motor road.
     Income per household.
     Indebtedness
     Suite of assets owned (e.g radios, bicycles, iron bed stead’s, television, etc)
     Capacity building, skills / vocational training.
     Community infrastructure.
     Improvement in production/income for women/youths.




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12 BUDGET FOR RESETTLEMENT
The following is the estimated budget for the various phases of the project based on current
understanding of the impacts.

By far the greatest cost will be the replacement of the structures affected. Three models have
been costed. The first involves rebuilding all residential structures to the standard described
in Section 7.2.1. This implies that contractors re-build structures using “modern” materials
and to a standard that incorporates a guarantee. Building rates of USD 375 per m2 have
been used. This is consistent with other houses of a similar nature built elsewhere. For the
purposes of the costing this is described as model 1. The second model (model 2) is based
on paying replacement value of the current buildings. These are either traditional materials or
“transitional” materials. Rates here vary from 45 USD per m2 to 135 USD per m2. Values
include labour required to acquire the materials and transport to site as well as to rebuild.
Model 3 is based on the assumption that the developer could rebuild one main structure, as
per model 1, and then pay replacement value for all additional structures. A summary of
costs is provided in Table 2 below. Appendix 4 provides the costs per model for each
structure. Model 3 is recommended as the most effective system for replacing structures and
still complying with international best practise. All costs are in US Dollars.

        Table 3: Costs for structures per model
Model                                           Total Cost
Model 1: Rebuild by Contractor                  $ 545625
Model 2: Pay Replacement Cost                   $ 182 270
Model 3: Rebuild main structure             and $ 460 370
replacement cost for ancillary


Values for mature trees that currently exist in the homestead complex are as per government
rates provided by the Government of Mozambique. This are however for 2004 as no more
recent figures could be located. They have been adjusted at a rate of 10% per annum to take
account for inflation. Values and adjustments are given in Table 3 below.

Table 4: Values for Trees
     Species/Type            Value of total          Current Value 2010   Current Value USD
                            production over
                             the life of tree
                                 (2004)

Coconut Palm                MZM 1 000.00               MZM 1 771.56            $52.49
Cashew                      MZM 750.00                 MZM 1 328.67            $39.37
Fig                         MZM 250.00                 MZM 442.89              $13.12
Mango                        MZM 250.00                 MZM 442.89             $13.12
Paw-Paw                      MZM 75.00                  MZM 132.87             $3.94
Other native fruit trees     MZM 180.00                 MZM 318.88             $9.45
– Monkey Orange

Table 4 sets out a summary of the total anticipated costs for the implementation of
resettlement. Costs include the facilitation of the establishment and the development of the
Community Resource Plan. The rebuilding of the police station and potentially its ancillary
structures (depending on relocation site) has been estimated at USD 100 000. Cost for the
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Frelimo office are include with the other structural costings. It should be noted that Frelimo
officials claim that their building costs were MZM 120 000 or USD 3555. This appears very
conservative and probably takes into account that much of the labour was voluntary.
Table 5: Summary of Resettlement Costs
Item                                                             Cost
Structures            Model 1                                              $545 625.00
                      Model 2                                              $182 270.00
                      Model 3                                              $460 370.00
                      Police Station                                       $ 100000.00
Trees                                                                          $690.52



Crops on Field                                                                $2 500.00

VLC and
Community
Resource Plan         VLC Remuneration                                         $500.00
                      MCA Management                                         $15 000.00

Close Out Audit                                                              $10 000.00

Total - Model 3                                                            $589 060.52
Total - Model 2                                                            $310 960.52
Total - Model 1                                                            $674 315.52




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13 CONCLUSION AND RECOMMENDATIONS
In cases in the world where resettlement has been successful, in the sense of leaving the
affected people economically better off, in a socially stable condition, and in a manner that
they are themselves able to sustain over time, the process has been characterised by a
number of best practice enabling factors such as follows:

   •    An appropriate understanding of the complexities of resettlement.
   •    Proper legal and policy frameworks at national level.
   •    Adequate funding.
   •    Sufficient capacity, including experience in working with resettlement.
   •    Genuine consultation and negotiation with the affected people.
   •    Rigorous and effective planning, implementation and monitoring.
   •    Integration of the resettlement project into its regional economic and political context.
   •    The necessary political will to ensure that the above enabling factors are obtained,
        and that resettlement is properly carried out.

International experience of many projects shows that, unless these best practice factors are
obtained, resettlement exposes affected people to a range of risks such as:

   •    Landlessness
   •    Homelessness
   •    Joblessness
   •    Economic and social marginalisation.
   •    Increased morbidity and mortality.
   •    Food insecurity.
   •    Loss of access to common property resources.
   •    Social and cultural disarticulation/disruption.

Unless consciously countered, these risks become reality, negatively reinforcing each other
in an interactive and cumulative manner. On the other hand, if these risks are incorporated
as part of planning and project design, and if the necessary best practice factors are
obtained, these risks can be turned into development opportunities, resulting in resettlement
with development.




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14 REFERENCES
  •     Action Aid (2008) Participatory vulnerability analysis on violence against women,
        Report

  •     Ajei, M.O (2008). Government of Mozambique/World Bank mining sector technical
        assistance project resettlement policy framework final draft. Nimba research &
        consulting co. Ltd.

  •     CIA (May 2009) World Fact Book (https://www.cia.gov/library/publications/the-world-)

  •     Cermea M, and McDowell C. (2000 )Risks and Reconstruction: Experiences of
        Resettlers and Refugees. World Bank

  •     Crop Production Guidelines for Mozambique


  •     Government of Mozambique (2005). Poverty Reduction Strategy Paper

  •     Government of Mozambique (2009). National Sustainable Agricultural Development
        Programme 2010-2030


  •     Government of Mozambique (2004). Agricultural Sector Review


  •     International Finance Corporation (2006) Performance Standard 5. Land Acquisition
        and Involuntary Resettlement.

  •     Levinson, D. (1998). Ethnic groups worldwide. A ready hand reference. Oryx press.


  •     World Bank OP 4.12 (2002) Involuntary Resettlement




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Appendix 1


                                                                          NACALA DAM
                                                                         Monitoring Survey

   In order to complete the planning for the upgrading of the dam and to measure how the project will affect people we need information about your
homestead. This information will be treated as confidential but is required to ensure that we have a proper record of your homestead assets and the land
                             that you make use of. Please assist us by providing the information to the best of your ability.


           Interviewer name

           Household number (unique)

           GPS Location (UTM) Homestead
                                              E                                                 N

           Village name if applicable

           Area

           Date: Interview
                                                          /   / 2010

           Date: Data input
                                                      /       / 2010

           Checked by supervisor



Q1      Name of the household head                …………………………………………………………………..................................................

Q 1.1   Name of person who was interviewed        ………………………………………………………………………………………………………..




SIA Baseline Survey_Nacala Dam_Jan 2010                                                     1
        Appendix 1

        Q2      Please tell us about the members who make up your household

                                                                  Residence
No.             Name                  Relation HH   Sex   Age                 Education       Occupation   Cash Wage Earner – Tick if yes
                                                                   Status

 1
 2
 3
 4
 5
 6
 7
 8
 9
10
11
12
13
14
15
16
17
18
Total No in Household …………




        SIA Baseline Survey_Nacala Dam_Jan 2010                                           2
       Appendix 1

       Q3      Description of Main Homestead Structures

                                                                                     Description of construction materials


      Main purpose of building
      1 = Multifunctional                                                  Floor            Walls                  Roof
      Residential
      2 = Sleeping only                                                    1 = Mud, Earth   1 = Reeds              1 = Thatch
      3 = Kitchen only                                                     2 = Concrete     2 = Reeds with         2 = Zinc
      4 = Toilet, Shower                                                   3 = Other        Plaster                3 = Tiles
                                       Round     No. of
No.   5 = Combined Residential                            Length   Width   (specify)        3 = Concrete Blocks    4 = No roof
                                       1 = Yes   Rooms
      Business(specify                                                                      4 = Clay Bricks        5 = Other
      business)                        2 = No
                                                                                            5 = Coral              (specify)
      6 = Business only (specify)                                                           6 = Other (specify)
      7 = Spiritual or House used
      for ceremonial purposes
      8 = Other (Specify)




      TOTAL




       SIA Baseline Survey_Nacala Dam_Jan 2010                               3
         Appendix 1


         Q4       Other Homestead Structures/Fixed Assets on the site (include graves and GPS for these graves)

                                                          Main Construction Material      If grave, GPS East      If grave, GPS North

                                                      1 = Reeds
                                                      2 = Sticks (Wicker)
                                                      3 = Wire Fence and Posts
                                                      4 = Hedge
           Purpose                 No of Structures   5 = Concrete Blocks
                                                      6 = Stone and Mud
                                                      7 = Wood
                                                      8 = Other (specify)
                                                      1           2         3

Livestock Kraal

Chicken Poultry Coup

Grain Storage

Water Outlet

Shamba Watch Tower

Graves
Other (specify)




         SIA Baseline Survey_Nacala Dam_Jan 2010                                                   4
  Appendix 1

  Q5       Where did you get water from today for use in your house? - tick only one.

               Rain water tank                                                                        1
               Well                                                                                   2
               Communal pump or tap – not on your property                                            3
               Piped water from the Municipality – on your property                                   4
               Stream, River or Dam                                                                   5
               Bought water                                                                           6
               Other (specify)
                                                                                                      7


  Q6     Did any members of your household suffer from the following disease or illness in the past six
  months? If yes please tell us how many of the household members were affected by each?


  Disease or Illness                              Number of household members affected
  TB
  Malaria
  Skin Rash
  Diarrhea

  Q 7 Of the women in this household how many gave birth last year. Are all these children still alive
  today? NOTE TO FIELDWORKER: APPROACH THIS QUESTION WITH SENSITIVITY. Last year
  means the last 12 months

  Mother                       Mother’s     Number of children born to     Number of babies who did
                               age          this mother in last year       not survive in the last year




  Q 8.1 How many members of the household died in the last year?
  Last year means the last 12 months

  Number……………

  Q 8.2 If there was a death in the household please ask whether the cause of death is known.

Deceased Person                 Cause of Death Known                         Cause




  Q 9.1 Does your homestead currently have access to arable land that you use, or have used, for
  cultivation?

        YES                          NO
        Go to Q 9.2                  Go to Q 10




  SIA Baseline Survey_Nacala Dam_Jan 2010                                                       5
Appendix 1


Q 9.2 Please tell us about each Shamba

                            Was it
                                                            Was produce
          When did          cultivated in   If Yes – was                   Was produce
                                                            used to feed
          you first         last 12         it harvested?                  sold?             Main               Secondary         Tertiary Crop
  No.                                                       family?
          plant/use         months?                                                          Crop Type?         Crop Type?        Type?
          the shamba                        Yes/No                         Yes/No
                                                            Yes/No
          (date)?           Yes/No
    1

    2

    3

    4

    5

    6

    7

    8

    9

   10

   11

   12

  1 = Maize, 2= Beans, 3 = Groundnuts, 4 = Vegetables, 5 = Cassava, 6 = Pineapples, 7 = Coconuts,
  8 = Rice, 9 = Cowpeas, 10 = Sweet potato, 11 = Mangoes, 12 = Casuarina, 13 = Cashew, 14 = Other (please specify what this is)




SIA Baseline Survey_Nacala Dam_Jan 2010                                                  6
Appendix 1

Q 9.3 GPS details of each shamba (following from above)


   1


   2


   3


   4


   5


   6


   7


   8


   9


   10


   11


   12

Q 9.4     Are any of the Shambas held with a formal title deed?

YES                         NO



SIA Baseline Survey_Nacala Dam_Jan 2010                           7
Appendix 1

Go to Q 9.4                 Go to Q 9.5

Q 9.5   If so, how many are held with a formal title deed?
Number …………

Q 9.6     Did you sell agricultural products in the last year/12 months?

          YES                                          NO

          Go to Q 9.6                                  Go to Q 10

Q 9.7    If yes, estimated income from sales.

                        Agricultural Product                               Value

Crops (e.g. cassava, maize)
Vegetables
Fruit
Nuts
Beer from fruit or nuts
Milk, or dairy products
Eggs
Other (e.g. honey from bees, mats, baskets. Please specify)

TOTAL

Q 10.1 Do you have any trees?

          YES                                   NO

          Go to Q 10.2                          Go to Q 11

Q 10.2 Did you sell any fruit that you harvested from your own trees?

          YES                       NO

Q 11.1 Did any members of your household go to bed hungry last night?

          YES                       NO


Q 11.2 Was there a shortage of food in the household at any time last year?


          YES                                   NO

          Go to Q 11.3                          Go to Q 12




SIA Baseline Survey_Nacala Dam_Jan 2010                                            8
Appendix 1

Q 11.3 Could you tell us which of the following months were periods in which the household went
hungry?

Month                                                                  Household was Hungry
January
February
March
April
May
June
July
August
September
October
November
December

Q 12    How many of the following livestock does the homestead have?

Type                           No.
Cattle
Goats
Donkeys
Sheep
Pigs
Rabbits
Chickens
Other Poultry
Other (specify)


Q 13 Please tell me how much money, if any, was received by your homestead from each of the
following sources in December 2009? We are only interested in cash income available to the homestead.
(Interviewer please emphasize that the information will be kept confidential and is required to measure
whether people are better or worse off after the project is in place.)

                                                                                               MT
Migrant remittances (working outside of home area)
                       Gross profits from
                       Self-employment
Employment
                       Salaries, wages of resident household members

                       Livestock sales
                       Crop, vegetable, fruit, nut sales
Agriculture            Animal product sales
                       Other
(excluding
compensation)



TOTAL CASH INCOME FOR THE LAST MONTH




SIA Baseline Survey_Nacala Dam_Jan 2010                                                   9
Appendix 1


Q 14 If the homestead has children that attend school, where do they go to school? (nearest primary
school)

Village/Town ………………………………                            District …………………………………

Q 15.1 Of the children currently in junior school or who will shortly be going to junior school will you send
them to high school?

       YES                                   NO
       Go to Q 16                            Go to Q 15.2

Q 15.2 Why Not? Tick main reason (one only)

 Not applicable. No children of school going age
 High school is too far for children to travel
 High school is too expensive
 Children are needed to work for the homestead
 Only have girls and they are not necessary to educate
 Other: Specify



Q 16    Do you have any of the following available in your household in a working condition?

                                      Item
              Motor Car                                                   Yes         No
              Bicycle                                                     Yes         No
              Television                                                  Yes         No
              Radio                                                       Yes         No
              Fridge                                                      Yes         No
              Iron Cooking Pots and Pans                                  Yes         No
              Iron Kettle                                                 Yes         No
              Cell Phone                                                  Yes         No
              Bed with Mattress                                           Yes         No
              Motor Cycle                                                 Yes         No
              Plastic Chairs                                              Yes         No
              Gas/Paraffin Cooker                                         Yes         No
              Tractor                                                     Yes         No
              Plough                                                      Yes         No
              Generator                                                   Yes         No

Q 17     Comments:




SIA Baseline Survey_Nacala Dam_Jan 2010                                                       10
 Appendix 1


                                                                                        Health Impact Assessment

   Line         PLEASE TELL ME IF DURING THE LAST 4   WHAT WAS THE FIRST STEP TAKEN?           .          WHY DID YOU NOT BRING THE ILL PERSON   IF TREATMENT WAS GIVEN AT HOME, WHAT WAS THE KIND?   WHO DECIDED WHAT TO
 No of who      WEEKS, ANY FAMILY MEMBERS HAVE HAD                                      DID YOU TAKE          TO THE MEDICAL CARE FACILITY?                                                                  DO?
 has been        ANY OF THE FOLLOWING COMPLAINTS?     1 GAVE PLENTY OF FOOD/WATER       THIS PERSON TO   REASONS:                                TREATMENT:
complaining.                                          2 SOUGHT HELP FROM TRADITIONAL    THE MEDICAL      1 NO CLINIC AVAILABLE                   1 WESTERN MEDICAL TREATMENT
               1 FEVER/FEVERISH                            HEALER                       CARE FACILITY?   2 LOCATION CLINIC TOO FAR AND NO        2 TRADITIONAL TREATMENT                              DECISION:
               2 COUGH/BREATHING DIFFICULTY           3 HOME/HERBAL REMEDY                                    TRANSPORT                          3 HOME REMEDY (TEA/BATH)                             1 FATHER
               3 DIARRHEA                             4 TOOK TO MEDICAL CARE FACILITY                    3 THERE WAS NO MEDICAL PERSONNEL        4 PRAYING WITH A PREST/IMAN                          2 MOTHER
               4 BLOODY URINE                         5 DRUG STORE / CHEMICAL /                          4 TOO EXPENSIVE                         5 NOTHING                                            3 MOTHER IN LAW
               5 SKIN PROBLEM /ITCH/SCAB                   PHARMACY                                      5 MEDICAL TREATMENT FOR THIS            Z OTHER                                              4 CHIEF VILLAGE
               6 INJURY/ACCIDENT                      6 CHURCH/PRIEST/IMAN                                    SEAKNESS WAS NOT NECESSARY                                                              Z OTHER
               7 EYE INFECTION                        X DK                                               Z OTHER                                                                                      X DK
               Z OTHER                                                                                   X DK
               X DK
    LINE                    COMPLAINT                            FIRST STEP             YES       NO                  REASONS                                        TREATMENT                              DECISION
                      1 2 3 4 5 6 7 Z X                     1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                  1       2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                 1        2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                 1        2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X


                     1 2 3 4 5 6 7 Z X                      1 2 3 4 5 6 X                 1        2              1 2 3 4 5 Z X                                   1 2 3 4 5 Z                           1 2 3 4 Z X




 SIA Baseline Survey_Nacala Dam_Jan 2010                                                                                         11
Appendix 1

HIV/AIDS MODULE                                                                                                                            HA
HA1. HAVE YOU EVER HEARD OF THE VIRUS HIV OR AN        Yes ..................................................................... 1
    ILLNESS CALLED AIDS?
                                                       No....................................................................... 2   2   END
HA2. Can people get infected with the AIDS virus       Yes ..................................................................... 1
   because of witchcraft or other supernatural         No....................................................................... 2
   means?                                              DK ...................................................................... X
HA3. Can people reduce their chance of getting the     Yes ..................................................................... 1
   AIDS virus by using a condom every time they        No....................................................................... 2
   have sex?                                           DK ...................................................................... X
HA4. Can people reduce their chance of getting         Yes ..................................................................... 1
   infected with the AIDS virus by not having sex at   No....................................................................... 2
   all?                                                DK ...................................................................... X
HA5. Can people get the AIDS virus from mosquito       Yes ..................................................................... 1
   bites?                                              No....................................................................... 2
                                                       DK ...................................................................... X
HA6. Can people get the AIDS virus by sharing food     Yes ..................................................................... 1
   with a person who has AIDS?                         No....................................................................... 2
                                                       DK ...................................................................... X
HA7. Is it possible for a healthy-looking person to    Yes ..................................................................... 1
   have the AIDS virus?                                No....................................................................... 2
                                                       DK ...................................................................... X
HA8. If a female teacher has the AIDS virus but is     Yes ..................................................................... 1
   not sick, should she be allowed to continue         No....................................................................... 2
   teaching in school?                                 DK/not sure/depends .......................................... X
HA9. Would you buy fresh vegetables from a             Yes ..................................................................... 1
   shopkeeper or vendor if you knew that this          No....................................................................... 2
   person had the AIDS virus?                          DK/not sure/depends .......................................... X
HA10. If a member of your family became infected       Yes ..................................................................... 1
   with the AIDS virus, would you want it to remain    No....................................................................... 2
   a secret?                                           DK/not sure/depends .......................................... X

HA11. Do you know of a place where you can go to       Yes ..................................................................... 1
   get such a test to see if you have the AIDS
   virus?                                              No....................................................................... 2




HEALTH RELATED HOUSEHOLD AMENITIES
WHAT IS THE PRINCIPAL FUEL USED FOR COOKING?           Firewood............................................................. 1
                                                       Charcoal ............................................................. 2
                                                       Kerosene ............................................................ 3
                                                       Gas ..................................................................... 4
                                                       Electricity ............................................................ 5

                                                       Other .................................................................. Z

DO YOU COOK INDOORS OR OUTDOORS                        Indoors .............................................................. 1
                                                       Outdoors ............................................................ 2

WHAT IS THE PRINCIPAL FUEL USED FOR LIGHTING?          Firewood............................................................. 1
                                                       Charcoal ............................................................. 2
                                                       Kerosene ............................................................ 3
                                                       Gas ..................................................................... 4
                                                       Electricity ............................................................ 5

                                                       Other .................................................................. Z

WHAT IS THE MAIN SOURCE OF DRINKING WATER FOR          Piped water ........................................................ 1
MEMBERS OF YOUR HOUSEHOLD ?                            Borehole ............................................................. 2
                                                       Purified water from standpipe ............................. 3
                                                       Protected well ..................................................... 4
NB THERE IS ONLY ONE CORRECT ANSWER- THE MAIN          Unprotected well................................................. 5




SIA Baseline Survey_Nacala Dam_Jan 2010                                                                                     12
Appendix 1

SOURCE                                              Dam .................................................................... 6
                                                    River downstream from wall ............................... 7
                                                    Collected rain water ............................................ 8

                                                    Other .................................................................. Z

WHO USUALLY GOES TO THIS SOURCE TO FETCH THE        Female .............................................................. 1
WATER FOR YOUR HOUSEHOLD?                           Male ................................................................... 2
                                                    Female child (under 15) ..................................... 3
PROBE:                                              Male child (under 15) .......................................... 4
IS THIS PERSON UNDER AGE 15? WHAT GENDER?           Not anyone specific ............................................ 5
CIRCLE CODE THAT BEST DESCRIBES THIS PERSON THAT
GOES MOST OF THE TIME.                              DK ...................................................................... X
HOW LONG DOES IT TAKE TO GO THERE,
GET WATER , AND COME BACK?                          No. of minutes ........................................ __ __ __

                                                    DK ...................................................................... X
DO YOU ALWAYS FIND WATER THERE?                     Yes ..................................................................... 1
                                                    No....................................................................... 2
                                                    DK ...................................................................... X


DO CHILDREN IN THE COMMUNITY COMPLAIN OF BLOOD IN   Yes ..................................................................... 1
THEIR URINE?                                        No....................................................................... 2
                                                    DK ...................................................................... X
IF YOUR CHILD HAD BLOOD IN THEIR URINE WOULD YOU    Yes ..................................................................... 1
TELL YOUR NEIGHBOUR OR THE TEACHER?                 No....................................................................... 2
                                                    DK ...................................................................... X
IF YOUR CHILD HAD BLOOD IN THEIR URINE WOULD YOU    Yes ..................................................................... 1
TAKE HIM/HER TO THE CLINIC?                         No....................................................................... 2
                                                    DK ...................................................................... X
HOW DOES THIS HOUSEHOLD PRIMARILY DISPOSE OF        Collected by government ................................... 1
HOUSEHOLD WASTE?                                    Community open dumping ................................. 2
                                                    Dumped in compound ........................................ 3
PRIMARY SOURCE ONLY                                 Dumped in street/empty plot............................... 4
                                                    Burned ................................................................ 5
                                                    Buried ................................................................. 6
                                                    Composted ......................................................... 7
                                                    Fed to animals .................................................... 8
                                                    Other ................................................................. Z
WHAT KIND OF TOILET FACILITY DO MEMBERS OF YOUR     Flush Toilet ........................................................ 1
HOUSEHOLD USUALLY USE?                              Ventilated improved pit latrine with slab cover.... 2
                                                    Pit latrine with no slab cover .............................. 3
                                                    Community shared pit latrine .............................. 4
                                                    Pan/bucket ......................................................... 5
                                                    Toilet in another house ....................................... 6
                                                    No toilet-free range............................................. 7

                                                    Other ________________________________ Z
IN THE PAST 12 MONTHS, WERE THERE MONTHS IN WHICH   Yes ..................................................................... 1
YOU DID NOT HAVE ENOUGH FOOD TO MEET YOUR           No....................................................................... 2
HOUSEHOLD NEEDS?                                    DK ___________________________________ X




                                                                                                                                  95   END
IF YES, WHY WERE YOU NOT ABLE TO MEET YOUR          Could not produce enough food ........................ 1
HOUSEHOLD’S FOOD NEED?                              No money to buy food ........................................ 2




SIA Baseline Survey_Nacala Dam_Jan 2010                                                                                  13
Appendix 1

                                                 Not enough land to cultivate .............................. 3
                                                 Not enough water ............................................... 4
                                                 No enough labour ............................................... 5
                                                 Calamity (fire,disease,pests) .............................. 6

                                                 Other ................................................................. Z

HOW IS YOUR HOUSEHOLD FOOD SECURITY SITUATION    Better ................................................................. 1
COMPARED TO LAST YEAR?                           Same .................................................................. 2
                                                 Worse ................................................................ 3

HOW WOULD YOU RATE YOUR HEALTH?                  Very healthy ...................................................... 1
                                                 Fairly healthy ...................................................... 2
                                                 Somewhat unhealthy .......................................... 3
                                                 Unhealthy ........................................................... 4
WHAT DO YOU THINK IS THE CAUSE OF YOUR CURRENT   Age ..................................................................... 1
HEALTH STATUS?                                   Life style ........................................................... 2
                                                 Environment ...................................................... 3
                                                 Socio economic conditions in the country ......... 4
                                                 Don’t know/ Can’t tell ......................................... 5

                                                 Other ................................................................. Z




SIA Baseline Survey_Nacala Dam_Jan 2010                                                                               14
Appendix 1

                                               CODES

           Relationship                                    Education
1    Household Head (HH)                  1   Illiterate
2    Spouse of HH                         2   Never attended school but literate
3    Son/daughter                         3   Kindergarten 1 - Kindergarten 2
4    Son/daughter in law                  4   Standard 1 - 4
5    Grandchild                           5   Standard 5 – Form 2
6    Parent                               6   Form 3 - 4
7    Parent in law                        7   Post School/Tertiary
8    Brother/sister
9    Grandparent                                        Residential Status
10   Other relative                       1   Living at home
11   Adopted/foster/step child            2   Student in other part of Mozambique
12   Not related but dependent            3   Student outside Mozambique
13   Uncle, aunt                          4   Working other Mozambique
14   Other                                5   Working outside Mozambique
                                          6   Living other part Mozambique
                                          7   Living outside Mozambique

      Sex                                           Age
1    Male                                      Age (number) in
2    Female                                    completed years


              Main Occupation
1 Unemployed
2 Farming
3 Own business locally
4 Own business elsewhere Mozambique
5 Own business outside Mozambique
6 Wage labour locally
7 Wage labour elsewhere Mozambique
8 Wage labour outside Mozambique
9 Dependent student
10 Dependent pre-school child
11 Teacher
12 Health worker
13 Other government/service
14 On pension/retired
15 Other
16 Don't know




SIA Baseline Survey_Nacala Dam_Jan 2010                                             15
APPENDIX 2 – NACALA RESETTLEMENT ASSETS SURVEY NOTES
  HH             Status             Number of                                                       Notes
number                              structures
                                     affected

  1      DEFINITELY affected    1                Lives in Nacala during the week, and spend weekends at Barragem to tend to his sugar cane. 3 workers
                                                 live in the house during the week, and his father joins him over the weekends also.

  2      DEFINITELY affected    1                Has 3 dryland mashambas. Household head is female and relatively elderly, so can be considered
                                                 vulnerable. Has electricity that is used for lighting.

  3      POTENTIALLY affected   1                Brother of Number 1. Has electricity that is used for lighting.

  4      DEFINITELY affected    1                Lives in semi-communal arrangement with Number 6 and would like the same arrangement when
                                                 resettled. The households share duties such as child minding, and milling. Male household head has a
                                                 job.

  5      DEFINITELY affected    2                Widow, with small house and large house. Small house definitely affected and large house potentially
                                                 affected. Small house used as a sleeping room for sons. Has electricity used for lighting and radio.

  6      DEFINITELY affected    1                Household head is local PE, art and music teacher. Number 4 is a close neighbour, and must be
                                                 resettled close together.

  7      DEFINITELY affected    2                Male headed household. Thinks that there is enough rain to fill a much bigger dam, and is very sure that
                                                 there will be lots of jobs for people.

  8      DEFINITELY affected    2                Family away harvesting; spending the week in their mashambas house in the next bairro. Interviewed
                                                 Number 6 who is brother of wife of Number 8. Household head has expressed concern about loss of
                                                 houses and mashambas, and is worried that the social fabric of the area will be destroyed.

  9      DEFINITELY affected    1                Local chief answered on behalf of owner. Owner is in Nacala Porto with sick wife. Built the house about
                                                 3 years ago. Household head is maths teacher at local school. Survey form answered by neighbours
                                                 also. House has electricity for lighting.

  10     POTENTIALLY affected   1                FRELIMO HQ. Party members insist that they built the HQ with 120 000 MTn of their own money, with
                                                 no help from FRELIMO, but community members say that all materials and labour were donated by the
                                                 community.,

  11     POTENTIALLY affected   1                Speaks Portuguese. Has electricity for lighting. Probably far enough away from new road to leave, but
                                                 may be affected by construction.

  12     DEFINITELY affected    3                Vulnerable household. Main structure is for nuclear family, and two others are for household head’s
                                                 sisters who both live part-time elsewhere.
  13      DEFINITELY affected         2                 New house in Number 13’s backyard; the new house is out of the way of the road but is part of the
                                                        household structures so would have to be relocated at the same time.

  14      DEFINITELY affected         2                 Relatively elderly woman, so vulnerable. Has a chronic sore back and a cat that is her companion.

  15      DEFINITELY affected         1                 Lots of shade, and very large yard. Works for FIPAG. Worried that he won’t have water and good soil
                                                        where he is moved to.

  16      DEFINITELY affected         1                 Household head in Nacala Porto. Number 15 is her son, so he answered on her behalf. Household head
                                                        is a relatively elderly woman, so vulnerable. Lives alone, but is in Nacala to visit her husband who is
                                                        paralysed after an accident. They get a disability allowance. Number 15 and Number 16 must be
                                                        relocated as neighbours because mother and son rely on one another heavily.

  17      DEFINITELY affected         1                 Newly built a year ago. Built here because owner of the plot he was on “expelled” him and number 18.
                                                        First person we have met who keeps pigs.

  18      DEFINITELY affected         1                 Newly built a year ago. Built here because owner of the plot he was on “expelled” him and number 17.
                                                        Used to live with number 17. Would like to be moved with number 17, as they are close neighbours and
                                                        friends. They rely on one another for some resources.

Poste     DEFINITELY affected         1                 Spoke to policeman on duty. Allowed us to take photos but said that the Mozambique Police must talk to
  de                                                    them about the project before we speak with them. He mentioned that they would need to be relocated
Policia                                                 next to the road again, since they are a checkpoint.



General notes

   •   Houses must be relocated in their current pattern, or at least with neighbours next to one another. Neighbours reply pretty heavily on one another, and
       are often family members.

   •   Trees around the homestead are very important for shade. Most people not worried about replacement type, as long as there is immediate shade.

   •   Most households have at least one of the following tree types: mango, paw paw, monkey orange, fig. Monkey oranges are seen as the most important
       trees for food and shade.
APPENDIX 3 – DESCRIPTION OF STRUCTURES TO BE RELOCATED
     Household                                    No of                                 Total Floor
      Number              Main Purpose           Rooms        Length        Width          Area           Floor           Walls            Roof
1                1 Multifunctional residential            4             7           7             49    Mud/Earth   Clay Brick           Thatch
2                1 Multifunctional residential            4             9           7             63    Mud/Earth   Reeds with Plaster   Zinc
2                4 Toilet/shower                          2             2           2               4   Mud/Earth   Reeds                No Roof
3                1 Multifunctional residential            4             8           7             56    Mud/Earth   Clay Brick           Thatch
3                4 Toilet/shower                          1             2           2               4   Mud/Earth   Reeds                No Roof
4                1 Multifunctional residential            4             8           7             56    Mud/Earth   Clay Brick           Thatch
4                4 Toilet/shower                          2             2           2               4   Mud/Earth   Reeds                No Roof
5                1 Multifunctional residential            5             9           9             81    Mud/Earth   Clay Brick           Thatch
5                2 Sleeping only                          2             3           5             15    Mud/Earth   Clay Brick           Thatch
6                1 Multifunctional residential            4            11           7             77    Mud/Earth   Clay Brick           Thatch
6                4 Toilet/shower                          2             3           2               6   Mud/Earth   Reeds                No Roof
7                2 Sleeping only                          5             8           8             64    Mud/Earth   Clay Brick           Thatch
7                3 Kitchen only                           2             5           5             25    Mud/Earth   Clay Brick           Thatch
7                4 Toilet/shower                          1             2           2               4   Mud/Earth   Reeds                No Roof
8                2 Sleeping only                          4             8           7             56    Mud/Earth   Clay Brick           Thatch
8                3 Kitchen only                           2             6           4             24    Mud/Earth   Clay Brick           Thatch
8                4 Toilet/shower                          2             2           4               8   Mud/Earth   Reeds                No Roof
9                1 Multifunctional residential            4             9           8             72    Mud/Earth   Clay Brick           Thatch
9                2 Sleeping only                          2             3           3               9   Mud/Earth   Reeds with Plaster   No Roof
10               1 Multifunctional residential            3            10           7             70    Mud/Earth   Clay Brick           Thatch
11               1 Multifunctional residential            4            10           8             80    Mud/Earth   Clay Brick           Thatch
11               4 Toilet/shower                          2             2           3               6   Mud/Earth   Reeds                No Roof
12               1 Multifunctional residential            5            10           8             80    Mud/Earth   Clay Brick           Thatch
12               2 Sleeping only                          3             6           5             30    Mud/Earth   Clay Brick           Thatch
12               2 Sleeping only                          2             6           5             30    Mud/Earth   Clay Brick           Thatch
13               1 Multifunctional residential            4             8           8             64    Mud/Earth   Clay Brick           Thatch
14               2 Sleeping only                          4             8           8             64    Mud/Earth   Reeds with Plaster   Zinc
14               3 Kitchen only                           2             4           4             16    Mud/Earth   Reeds with Plaster   Thatch
14   4 Toilet/shower                 1    2    2     4   Mud/Earth   Reeds                No Roof
15   1 Multifunctional residential   5   10    9    90   Mud/Earth   Clay Brick           Thatch
16   1 Multifunctional residential   4   11   10   110   Concrete    Clay Brick           Thatch
17   1 Multifunctional residential   3   10   10   100   Mud/Earth   Reeds with Plaster   Thatch
18   1 Multifunctional residential   2    7    6    42   Mud/Earth   Clay Brick           Thatch
APPENDIX 4 – COSTS PER STRUCTURE
                                                                                                                  Replacement
                                            Total                                                    Rebuild       Cost Type
Household                                   Floor                                                    Cost Model   USD per m2    Replacement
Number      Main Purpose                    Area m2       Floor       Walls                Roof      1                          Cost Model 2   Model 3
                                                                                                                     135
1           1 Multifunctional residential         49      Mud/Earth   Clay Brick           Thatch    $18 375.00                    $6 615.00     $18 375.00
                                                                                                                     100
2           1 Multifunctional residential         63      Mud/Earth   Reeds with Plaster   Zinc      $23 625.00                    $6 300.00      $6 300.00
                                                                                                                      45
2           4 Toilet/shower                           4   Mud/Earth   Reeds                No Roof    $1 500.00                     $180.00       $1 500.00
                                                                                                                     135
3           1 Multifunctional residential         56      Mud/Earth   Clay Brick           Thatch    $21 000.00                    $7 560.00     $21 000.00
                                                                                                                      45
3           4 Toilet/shower                           4   Mud/Earth   Reeds                No Roof    $1 500.00                     $180.00         $180.00
                                                                                                                     135
4           1 Multifunctional residential         56      Mud/Earth   Clay Brick           Thatch    $21 000.00                    $7 560.00     $21 000.00
                                                                                                                      45
4           4 Toilet/shower                           4   Mud/Earth   Reeds                No Roof    $1 500.00                     $180.00         $180.00
                                                                                                                     135
5           1 Multifunctional residential         81      Mud/Earth   Clay Brick           Thatch    $30 375.00                   $10 935.00     $30 375.00
                                                                                                                     135
5           2 Sleeping only                       15      Mud/Earth   Clay Brick           Thatch     $5 625.00                    $2 025.00      $2 025.00
                                                                                                                     135
6           1 Multifunctional residential         77      Mud/Earth   Clay Brick           Thatch    $28 875.00                   $10 395.00     $28 875.00
                                                                                                                      45
6           4 Toilet/shower                           6   Mud/Earth   Reeds                No Roof    $1 500.00                     $270.00         $270.00
                                                                                                                     135
7           2 Sleeping only                       64      Mud/Earth   Clay Brick           Thatch    $24 000.00                    $8 640.00     $24 000.00
                                                                                                                     135
7           3 Kitchen only                        25      Mud/Earth   Clay Brick           Thatch     $9 375.00                    $3 375.00      $3 375.00
                                                                                                                      45
7           4 Toilet/shower                           4   Mud/Earth   Reeds                No Roof    $1 500.00                     $180.00         $180.00
                                                                                                                     135
8           2 Sleeping only                       56      Mud/Earth   Clay Brick           Thatch    $21 000.00                    $7 560.00     $21 000.00
                                                                                                   135
8    3 Kitchen only                  24    Mud/Earth   Clay Brick           Thatch     $9 000.00          $3 240.00    $3 240.00
                                                                                                   45
8    4 Toilet/shower                   8   Mud/Earth   Reeds                No Roof    $1 500.00           $360.00      $360.00
                                                                                                   135
9    1 Multifunctional residential   72    Mud/Earth   Clay Brick           Thatch    $27 000.00          $9 720.00   $27 000.00
                                                                                                   45
9    2 Sleeping only                   9   Mud/Earth   Reeds with Plaster   No Roof    $3 375.00           $405.00      $405.00
                                                                                                   135
10   1 Multifunctional residential   70    Mud/Earth   Clay Brick           Thatch    $26 250.00          $9 450.00   $26 250.00
                                                                                                   135
11   1 Multifunctional residential   80    Mud/Earth   Clay Brick           Thatch    $30 000.00         $10 800.00   $30 000.00
                                                                                                   45
11   4 Toilet/shower                   6   Mud/Earth   Reeds                No Roof    $1 500.00           $270.00      $270.00
                                                                                                   135
12   1 Multifunctional residential   80    Mud/Earth   Clay Brick           Thatch    $30 000.00         $10 800.00   $30 000.00
                                                                                                   135
12   2 Sleeping only                 30    Mud/Earth   Clay Brick           Thatch    $11 250.00          $4 050.00    $4 050.00
                                                                                                   135
12   2 Sleeping only                 30    Mud/Earth   Clay Brick           Thatch    $11 250.00          $4 050.00    $4 050.00
                                                                                                   135
13   1 Multifunctional residential   64    Mud/Earth   Clay Brick           Thatch    $24 000.00          $8 640.00   $24 000.00
                                                                                                   100
14   2 Sleeping only                 64    Mud/Earth   Reeds with Plaster   Zinc      $24 000.00          $6 400.00   $24 000.00
                                                                                                   80
14   3 Kitchen only                  16    Mud/Earth   Reeds with Plaster   Thatch     $6 000.00          $1 280.00    $1 280.00
                                                                                                   45
14   4 Toilet/shower                   4   Mud/Earth   Reeds                No Roof    $1 500.00           $180.00      $180.00
                                                                                                   135
15   1 Multifunctional residential   90    Mud/Earth   Clay Brick           Thatch    $33 750.00         $12 150.00   $12 150.00
                                                                                                   135
16   1 Multifunctional residential   110   Concrete    Clay Brick           Thatch    $41 250.00         $14 850.00   $41 250.00
                                                                                                   80
17   1 Multifunctional residential   100   Mud/Earth   Reeds with Plaster   Thatch    $37 500.00          $8 000.00   $37 500.00
                                                                                         135
18   1 Multifunctional residential   42   Mud/Earth   Clay Brick   Thatch   $15 750.00         $5 670.00   $15 750.00
                                                                             $545 625          $182 270     $460 370
APPENDIX 5 – FRELIMO CORRESPONDENCE

				
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